(2)

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6)

(a) denies, suspends, revokes, limits, or terminates a license (except as
allowed at Section 412(A) and (C) of this Ordinance);
(b) imposes sanctions upon a licensee; or
(c) may affect an individual’s or entity’s ability to obtain or maintain a
gaming license issued by the Commission or other regulatory agency.
Notice shall be served on the affected party clearly setting forth the following:
(a) The legal basis for the proposed adverse action;
(b) All evidence relied upon by the Commission in making its initial
determination;
(c) The time, date, and place of the hearing; and
(d) The party’s right to present testimony, exhibits, and any other evidence
or testimony.
All hearings shall be on the record and the affected party or parties may be
represented by an attorney.
(a) Any attorney appearing before the Commission must be duly qualified
and admitted to practice before the Tribal Court.
A party’s failure to appear at a hearing may constitute grounds for:
(a) Refusal to grant. a license to the applicant;
(6) Imposition of proposed sanctions; or
(©) _ Revocation, modification, or suspension of a license, as proposed in the
notice.
The Commission shall not be bound by technical rules relating to evidence and
witnesses but the basic principles of relevancy, materiality, and probative force
shall govern the proof of all questions of fact.

@) Appeals

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4)

6)

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The Tribal Court shall have exclusive appellate jurisdiction over a final
determination made by: the Commission related to licensing and enforcement
actions.
An affected party shall have the right to appeal a final determination of the
Commission to the Tribal Court provided that a notice of appeal is filed with the
Tribal Court and the Commission within thirty (30) days of receiving the written
determination. Upon receipt of the notice of appeal, the Commission shall
promptly file the full record of the Commission’s proceedings with the Tribal
Court.
Failure to seek review of a final determination of the Commission within thirty
(30) days of receiving the written determination shall constitute a waiver of all
rights of appeal arid further shall deprive the Tribal Court of jurisdiction over the
matter.
In all appeals, the Tribal Court shall give proper deference to the Commission’s
interpretation of its regulations,
The Tribal Court shall not set aside, modify, or remand any determination by the
Commission unless it finds that such determination is:

(a) Arbitrary and capricious;

(b) — Anabuse of the Commission’s discretion;

(c) Unsupported by substantial evidence; or

(d) Contrary to law.
The Tribal Court shall issue a written decision on all appeals and such decision
shall be final.

COMANCHE NATION GAMING. ORDINANCE
AS REVISED, CODIFIED, AND AMENDED Page 15 of 34

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PART 600. BOARD OF REVIEW FOR EMPLOYEE DISPUTES

Section 601. Board of Review Established

The Nation has determined that, in order to adhere to adopted personnel policies and procedures and
to provide a fair process, there shall be established an Employee Board of Review that shall serve
as the final review body for disputes by any employee of CNE or the Commission, except those
employees specifically excluded by this Ordinance, for appealable adverse employment actions
taken pursuant to the applicable personnel policy.

Section 602. Authorized Disputes

For purposes of this Part, disputes subject to appeal to the Board of Review shall include only such
disagreements with CNE management or Commission management concerning adverse employment
actions for which the applicable personnel policy provides a right of appeal, but does not include
those adverse employment actions taken based on the Commission’s licensing actions.

Section 603. Composition

The Board of Review shall consist of five (5) members comprised of one member from the. CBC,
one Commission employee with management responsibilities and one Commission employee
without management responsibilities, one CNE employee with management responsibilities, and one
CNE employee without management responsibilities.

Section 604. Selection

(A) | The CBC shall select one committeeman to serve as an ex-officio member of the Board
of Review and designate them as such by CBC resolution. The CBC-representative to
the Board of Review shall not, vote in any decision rendered by the Board of Review
except to break a tie vote.

(B) The employees representing the Commission shall be elected from their representative
groups in accordance. with procedures adopted by the Board of Review.

(C) The employees representing CNE shall be elected from their representative groups in
accordance with procedures adopted by the Board of Review.

Section 605. Terms

(A) Board of Review members shall serve three (3) year terms and may be re-appointed by
the CBC, or re-elected, as applicable, without limitation on the number of terms served.

(B) Board of Review members shall serve until their successor is duly appointed and qualified
unless removed in accordance with this Part prior the expiration of their term.

Section 606. License

A member of the Board of Review shall be subject to a background check and licensure, as set forth
in regulations promulgated under this Part and approved by the CBC, and must be licensed
accordingly prior to taking office and in order to retain office.

COMANCHE NATION GAMING ORDINANCE 7
AS REVISED, CODIFIED, AND AMENDED Page 32 of 34
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Provide a copy of all Gaming-related contracts to the Commission to review for
compliance with this Ordinance and other applicable Gaming laws and regulations;
Establish wager limits, prize limits, and pay-out ratios;

Develop marketing and strategic development plans;

Oversee the investigation, negotiation, and informal resolution of Patron complaints
related to tort claims and prize claims and, if applicable, assist Gaming Facilities
throughout the Commission’s hearing process;

Ensure CNE’s operations comply with applicable laws and regulations;

Delegate performance of duties, as needed, to other members of management;

Other Gaming-related duties as assigned or delegated by the CBC; and

Any other duties or powers not prohibited herein that the CEO determines are necessary
to monitor and oversee the management of CNE.

Section 208. CEO’s Contracting Limitations

CBC approval, by resolution, is needed prior to the CEO entering into any contract or agreement that

1s:

(A)
(B)

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(D)
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a Management Contract, as defined by IGRA;

for the construction or purchase of buildings or any other improvements to real property

or buildings thereon exceeding $3,000,000.00;

with any other Indian tribe or its agency, or any unit of federal, state, tribal or local

government; provided however that a contract or agreement for the following is not

included in this limitation:

(1) __ the routine provision of emergency services and utilities (including but not limited
to water, electric, telephone, sewer, sanitation, fiber optics); and

(2) other goods and services related to a Gaming Facility or a Related Enterprise
(including but not limited to marketing, transportation, lodging, and distribution);

granting any person a possessory interest in real property;

in violation of, by its terms, the Nation’s Gaining laws, IGRA, or other applicable federal

law; or

purporting to waive the Nation’s sovereign immunity; provided however that a contract

or agreement satisfying the following requirements is not included in this limitation and

may be entered into without prior CBC approval:

(1) Waiver and consent to suit is non-assignable, non-transferable, and limited to
claims against CNE arising only from acts or omissions of CNE that breach the
contract, and such waiver and consent shall terminate upon expiration of the
contract;

(2) Enforcement under such contract is limited to injunctive relief or to actual contract
damages and limited to specifically identified security or assets within the sole
control of CNE, excluding property held in trust by the United States on behalf of
the Nation and excluding identifiable assets of the Nation, and such damages shall
not exceed $3,000,000.00;

(3) Jurisdiction is limited to the Tribal Court and/or such other courts or arbitration
deemed prudent by the CEO; provided that the courts of the State of Oklahoma
shall not have jurisdiction over CNE or the Nation; and

(4) Expressly approved as to form by legal counsel for the CEO and legal counsel for
the Nation.

COMANCIIE NATION GAMING ORDINANCE.
AS REVISED, CODIFIED, AND AMENDED Page 9 of 34

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Section 319.

(A)

8)

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Section 320,

Commission Budget

The Commission shall develop annually, prior to the beginning of each fiscal year, a
budget for its operations, including personnel costs, capital expenditures, and equipment
upgrades. This budget shall include a projection of fees expected to be collected over the
year. Surplus cash reserves at the end of the fiscal year shall be included in the following
year’s budget. Such fees shall not overlap the authority of the Nation’s Tax Commission
as set forth in the Nation’s General Revenue and Taxation Act of 1995.

The Commission shall submit said proposed budget to. the CBC for approval by
resolution. The CBC shall distribute to the Commission monthly, or less frequently if
requested by the Commission, a pro rata share of the Commission’s CBC-approved
budget,

The Commission may obtain such furnishings, equipment, supplies, stationery,
subscriptions, employees, and service(s) as it deems necessary or desirable to carry out
its functions within the limit of the budgeted funds approved by the CBC pursuant to this
Section.

Commission Annual Audit

The Nation, through the Commission, shall cause to be conducted an annual outside independent
audit of the Commission’s operations, which may be encompassed within existing independent audit
systems of the Nation. The resulting audit reports shall be submitted to the CBC within one hundred
twenty (120) days from the close of the fiscal year.

Section 321. Patron Dispute Resolution

(A)

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The. CBC shall approve regulations, with input from CNE and the Commission,
governing the procedures for resolving Patron. tort claims and prize claims against the
Gaming Facilities, its employees, or Management Contractor.

Such procedures shall at a minimum be consistent with any applicable legal requirements.
The maximum amount of damages payable for any tort claim for personal injury or
property damage shall be limited to the amount of liability insurance coverage maintained
by the Gaming Facility which shall, at a minimum, be consistent with any applicable
Compact requirements.

The maximum amount payable for any prize claim shall be the amount of the prize which
the claimant establishes they were entitled to be awarded and shall not exceed the
maximum payout available for that particular Game.

Sections 322-329 RESERVED.

Section 330.

Office of Executive Director Established

There is established the position of Executive Director of the Commission because efféctive
operation of a Commission requires active supervision on a daily basis, and also requires that fair
regulation should be separated from the daily management and activities of a Commission workforce.

COMANCHE NATION GAMING ORDINANCE, .
AS REVISED, CODIFIED, AND AMENDED Page 19 of 34

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Sections 322-329 Reserved

Section 330
Section 331
Section 332
Section 333
Section 334
Section 335
Section 336
Section 337

Office of Executive Director Established. wld
Appointment of Executive Director.
Removal of Executive Director.
Duties of Executive Director.
Executive Director Licenst
Qualifications of Executive Director
Compensation of Executive Director..
Eligibility of Executive Director ..

Sections 338-399 Reserved

Part 400

Section 401
Section 402
Section 403
Section 404
Section 405
Section 406
Section 407
Section 408
Section 409
Section 410
Section 411
Section 412
Section 413
Section 414

LICENSING

Employee Licenses ....
License Application Forms
Licensing Fee

Fingerprints. 24
Background Investigations. 24
Gaming License Eligibility Determination 25
Report to the NIGC... 26

Granting an Individual Gaming License.
Licenses for Gaming Vendors..
Gaming Facility Licenses.
License Ineligibility ...
License Suspensions and Revocations
License Hearing .
Retention of License Recor

Sections 415-499 Reserved

Part 500

Section 501
Section 502
Section 503
Section 504
Section 505

ETHICS
Standards for CEO and Commissioner:
Guiding Principles of Ethical Conduct
Prohibited Complimentary Items
Gambling Prohibited.....
Consequences of Ethical Violations.

Sections 506-599 Reserved

Part 600

Section 601
Section 602
Section 603
Section 604
Section 605
Section 606
Section 607
Section 608
Section 609
Section 610
Section 611
Section 612
Section 613
Section 614

BOARD. OF REVIEW FOR EMPLOYEE DISPUTES
Board of Review Established
Authorized Disputes.
Composition.

Compensation ..
Operational Costs and Administrative Assistance .
Regulation:
Organization.

ii


PART 500. ETHICS

Section 501. Standards for the CEO and Commissioners

The Nation recognizes that the duties of the CEO and the Commissioners include making important
decisions on highly sensitive, pecuniary, and sometimes controversial issues, and as such, the Nation
has determined that the CEO and the Commissioners shall be held to extremely high ethical
standards.

Section 502. Guiding Principles of Ethical Conduct

Prior to taking: their positions as CEO or Commissioners, each shall agree to be bound by the
following principles:

(A) No CEO or Commissioner shall use or attempt to use, any actual or apparent authority of
their position or office, which places or could reasonably be perceived as placing their
financial interests, or the financial interests of a family member, or any other business
interest with which they are associated, before the best interests of the Comanche Nation.

(B) The CEO and Commissioners are operating with the paramount goal of carrying out the
best interest of the Comanche Nation.

(C) _ Itis the intent of this Part, that the CEO and Commissioners avoid any action, whether or
not specifically prohibited herein, which could result in, or create an appearance of:

(1) __-Using their position or office for private gain;

(2) Giving improper preferential treatment to any person or business;

(3) | Compromising the complete independence or impartiality of their actions;

(4) Making a decision outside of the scope of his or her official duties and capacity
that interferes with, as a Commissioner, the conduct of Gaming, or as the CEO,
the actions of the Commission; or

(5) Adversely affecting the confidence of the Comanche Nation members in the
integrity of Gaming or the Commission.

() No CEO or Commissioner shall use or disclose Confidential Information gained in the
course of, or by reason of, their official position or duties to unauthorized persons or
entities, or to further the financial interest or personal interest of any entity or person other
than the Nation.

(E) ACEO or Commissioner desiring to take employment under the supervision of the other
entity must resign their position prior to applying for such employment.

(F) No CEO or Commissioner may serve in an operational or policymaking capacity with a
tribal Gaming organization. of another tribe.

Section 503. Prohibited Complimentary Items

(A) _ The use of complimentary items shall be governed by regulations approved by. the CBC
and promulgated by the Commission.

(B) No Key Employee, Primary Management Official, CBC member, CEO, Commissioner,
Commission employee, or any person directly related to or sharing a residence with such
persons, shall accept complimentary items except those that are:

(1) Valued at twenty-five dollars ($25) or less;

COMANCHE NATION GAMING ORDINANCE
AS REVISED, CODIFIED, AND AMENDED Page 30 of 34
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(7) The Tribal Court may award the prevailing party or patties reasonable costs and
attorney fees, as set by the Tribal Court.

Section 308. Commission Contracting Limitations

CBC approval, by resolution, is needed prior to the Commission entering into a contract or agreement
that is:

(A) _ for the construction or purchase of buildings or any other improvements to real property
or buildings thereon;

(B) with any other Indian tribe or its agency, or any unit of federal, state, tribal or local
government; provided however that a contract or agreement for the following is not
included in this limitation:

(1) the routine provision of utilities (including but not limited to water, sewer,
electric, telephone, sewer, sanitation); and

(2) _ other goods and services related to the Commission operations (including but not
limited to transportation and lodging);

(C) granting any person a possessory interest in real property;

() _ inviolation of, by its terms, the Nation’s Gaming laws, IGRA, or other applicable federal
law; or

(E) purporting to waive the Nation’s and/or the Commission’s sovereign immunity.

Section 309. Void Contracts

Any contract or action of the Commissioners or other authorized signatory that, by its terms, violates
any provision of Section 308 of this Ordinance shall be hull, void, and unenforceable ab initio in its
entirety including any provision for dispute resolution therein.

Section 310. CBC Review or Approval Needed

The adoption of, and any changes to, the Commission’s regulations, rules, procedures, and/or
standards that.are applicable to any person or entity outside of the Commission, including but not
limited to those set forth in Section 306(C), shall be considered rulemaking and shall not be effective
until CBC approval is secured by resolution. At least thirty (30) days prior to submitting the
proposed changes to the CBC for review and approval, the Commission shall forward a copy of the
proposed changes to the CEO and shall provide-notice of the proposed changes to all affected parties.
Such notice shall set forth the proposed changes and the process and deadlines for submitting
comments. The Commission shall compile all comments received and submit them, along with the
proposed changes, to the CBC. The CBC shall receive copies of and provide due consideration to
all comments received from persons and/or entities affected by the proposed changes.

Section 311. Confidentiality of Commission Records

(A) | The Commission shall ensure that all records and information obtained as a result of an
investigation or other function. shall be deemed Confidential Information and treated in
accordance with Section 112 of this Ordinance.

(B) — Confidential Information obtained during the course of an investigation may be disclosed
to the CEO, members of CNE’s management team, and Nation’s legal counsel. This

COMANCHE NATION GAMING ORDINANCE
AS REVISED, CODIFIED, AND AMENDED Page 16 of 34
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business in a highly-regulated industry, which shall include at least two (2) years’ work experience
in Gaming.

Section 336. Compensation of Executive Director

The Executive Director shall be compensated at a level determined by the Commissioners and such
compensation shall of be based on a percentage of Gaming revenue.

Section 337. Eligibility of Executive Director

The Executive Director shall be subject to the same eligibility requirements that are imposed on the
Commissioners, as found in Section 314 of this Ordinance.

Sections 338-399 RESERVED.

COMANCHE NATION GAMING ORDINANCE
AS REVISED; CODIFIED, AND AMENDED Page 22 of 34
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@)

Section 315.

Persons ineligible to be licensed as Key Employees or Primary Management Officials.

Removal of Commissioner

The independence of the Commission is essential to.the well-regulated conduct of Gaming. For this

reason:

(A)

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(C)
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Section 316.

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Section 317.
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Section 318.

A Commissioner may only be removed ftom office by the CBC prior to the expiration of
their respective term for neglect of duty, misconduct, malfeasance, or other acts that
would render a Commissioner unqualified for their position.

When the CBC believes that a removal is appropriate, it shall notify the Commissioner,
in writing, setting forth the grounds for such removal and the date, time, and place of the
hearing on the matter, providing the Commissioner at least three (3) days’ advance notice.
The CBC may opt to preliminarily remove a Commissioner pending the hearing,

Any allegations of neglect of duty, misconduct, malfeasance, or other acts that would
render them unqualified for their position must be substantiated by a preponderance of
the evidence.

At the hearing, such Commissioner will be given an opportunity to provide evidence
rebutting the grounds for their proposed removal before the removal is voted upon.

A vote of the CBC on the appropriateness of removal shall be final and not subject to
further appeal.

A finding by the CBC that a preliminary removal was wrongful shall entitle the affected
Commissioner to compensation for expenses incurred in an appeal and any compensation
withheld.

The: unexpired term of a Commissioner removed under this Section shall be filled in
accordance with this Ordinance.

Commissioner Compensation

Commissioners shall be compensated at a level determined by the CBC.

Commissioner compensation shall not be based. on a percentage of Gaming revenue to
ensure the Commissioners are not improperly influenced.

Commissioners shall not be considered employees of the Nation, the Commission, or a.
Gaming Facility for any purpose and shall carry out the responsibilities of their terms on
a part-time periodic basis.

Commissioner Meetings

The Commissioners shall hold regular meetings monthly and special meetings or hearings
as needed.

The Commission shall keep a written record of all Commissioner meetings and hearings
and make such records available to the CBC upon request.

Commission Reports

The Commission shall make reports, at least monthly, to the CBC summarizing the Commission’s
activities. Upon request, compliance reports shall be provided to the CEO.

COMANCHE NATION GAMING ORDINANCE
AS REVISED, CODIFIED, AND AMENDED Page 18 of 34

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(2) Offered to the general public at a public event;
(3) Ceremonial gifts; or
(4) Traditionally or customarily offered by the Nation to such officials.

Section 504, Gambling Prohibited
The CEO, all Commissioners, and those employees of CNE and the Commission that hold licenses
for all Gaming Facilities are: prohibited from gambling in any of the Nation’s Gaming Facilities.
Gaming Facility employees may gamble in the Nation’s Gaming Facilities at which they are not
directly employed or for which they do not hold a license.

Section 505. Consequences of Ethical Violations

Violations of this Part shall constitute just cause for removal of a CEO or Commissioner or adverse
action against an employee.

Sections 506 — 599 RESERVED

COMANCHE NATION GAMING ORDINANCE
AS REVISED, CODIFIED, AND AMENDED Page 31 of 34
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appointed and qualified unless removed in accordance with this Ordinance prior to the
expiration of a term.

Section 304. Commissioner License

Commissioners shall be subject to the same background check and license eligibility requirements
as Key Employees and Primary Management Officials, found in Part 400 of this Ordinance and
regulations promulgated hereunder, and each must be licensed accordingly in order to qualify for
and retain office.

Section 305. Commissioner Qualifications

In addition to satisfying the licensing eligibility standards set forth for Key Employees and Primary
Management Officials, each candidate for Commissioner shall have a demonstrated knowledge of
federal Indian law, IGRA, and related statutes and. regulations and must meet the requirements of
either (A) or (B) of this Section:

(A) A high school diploma; four (4) or more years’ work experience in a highly- regulated
industry in the field of business management, compliance, or regulation; and at least one
of the following:

(1) Demonstrated knowledge of licensing requirements for Gaming Facilities; or
(2) Demonstrated knowledge of compliance and audit requirements for Gaming
Facilities; or

(B) A Bachelor’s degree in Business Administration, Management, Accounting, Marketing,
Law, or another relevant field, with a preference given to candidates with a relevant
graduate degree; two (2) or more years’ work experience in a highly-regulated industry
in the field of business management, compliance or regulation; and at least one of the
following:

(1) Demonstrated knowledge of licensing requirements for Gaming Facilities; or
(2) Demonstrated knowledge of compliance and audit requirements for Gaming
Facilities.

Section 306. Commissioners’ Duties
Commissioners shall have the following duties:

(A) — Hire, direct, and supervise an Executive Director of the Commission in accordance with
Sections 330-337 of this Ordinance;

(B) Comply and ensure conrpliance with this Ordinance, IGRA, the Compact, and any other
applicable Gaming laws and regulations, including but not limited to any and all reporting
requirements;

(C)  Promulgate. the following tribal internal control standards, regulations, and procedures,
all of which must be approved by the CBC, to implement the provisions of this Ordinance,
to comply with other applicable Gaming laws and regulations, to track and audit the
generation and expenditure of Gaming revenue, and to promote effective regulation of
Gaming:

(1) Regulations for the licensure, including tiered licensure, or registration of
vendors, employees, and Gaming Facilities as required in Part 400 of this

COMANCHE NATION GAMING ORDINANCE
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Section 106. Per Capita Payments

The Nation shall authorize and issue per capita payments to its members only in accordance with the
Revenue Allocation Plan submitted to and approved by the Secretary of the Interior as required by

25 U.S.C. § 2710(b)(3).
Section 107. Environment and Public Health and Safety

(A) Gaming Facilities shall be constructed, maintained, and operated in a manner that
adequately protects:the environment and the health and safety of the public.

(B) The CBC shall, with input from CNE and the Commission, adopt and enforce laws and
standards applicable to Gaming Facilities to ensure adequate protection of the
environment and the health and safety of the public,

Section 108. Agent for Service of Process

The Nation hereby designates the Chairman of the Comanche Nation as its agent for service of
process, with notice sent to:

584 N.W. Bingo Road

Lawton, OK 73507;
With concutrent notice to:

CEO, Comanche Nation Entertainment

302 NW Rogers Lane

Lawton, OK 73507;

and.

Chair, Comanche Nation Gaming Commission

1915 East Gore Boulevard

Lawton, OK 73501.

Section 109. Compliance with Federal Law

The Nation, CNE, and the Commission shall comply with all applicable federal law, including the
Bank Secrecy Act, 31 U.S.C. § 5311 et seq., regulating the conduct of Gaming on Indian lands.

Section 110. Repealer
All prior Gaming ordinances and/or codes of the Comanche Nation are hereby repealed.
Section 111. Tribal Member Access to Financial Information

A copy of the annual outside independent audit, required by Sections 213 and 320 of this Ordinance,
shall be available for review by Comanche Nation tribal members in accordance with established
procedures that protect proprietary. data.

Section 112. Confidential Information

(A) — Confidential Information shall be safeguarded with strong custody and access procedures
by the Nation, CNE, and the Commission.

COMANCHE NATION GAMING ORDINANCE
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Section 411.

Section 412.

(C)

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(A)

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compliance therewith.
Each subsequent application. for the renewal of a Gaming Facility license shall identify
any changes or additions to said legal description and applicable environmental, health,
and safety standards, and shall include current certifications of compliance therewith.
The Commission shall only issue a Gaming Facility license if the application includes the
required information and certifications and such further conditions as specified in the
applicable regulations.
The Nation or Commission shall submit to the NIGC Chair a notice that issuance of a
facility license is under consideration by the Commission. This notice must be submitted
at least 120 days before the opening of any new Gaming Facility.

License Ineligibility

Any person or entity determined ineligible for a Gaming license shall be afforded the

opportunity for a hearing, in accordance with applicable law and regulations, prior to the

Commission making a final determination on license eligibility.

After a hearing, the Commissioners shall issue a written determination whether the

applicant is eligible for a Gaming license.

The Commissioners’ eligibility determination shall be considered a final determination.

If the Commission decides not to issue a Key Employee or Primary Management Official

license to an applicant, the Commission shall:

(1) Notify the applicant of the basis for such denial;

(2) Notify CNE of such denial;.and

(3) Notify the NIGC of the denial and forward copies of its eligibility determination
and notice of results of the applicant’s background investigation to the NIGC for
inclusion in the Indian Gaming Individuals Records System after the expiration
of any waived appeal process or after the conclusion of an unsuccessful appeal
process.

License Suspensions and Revocations

If, after a license is issued to a Primary Management Official or a Key Employee, the

Commission receives notice from the NIGC that the Primary Management Official or

Key Employee is not eligible for licensing and employment, the Commission shall:

(1) Immediately suspend the license;

(2) Provide written notice of the suspension and proposed revocation to the licensee;

(G3) Provide written notice of a time and place for a hearing on the proposed
revocation of the license to the licensee;

(4) Conduct the hearing in accordance with Section 413 of this Ordinance and
applicable regulations; and 7

(6) Notify the NIGC of its decision to revoke or reinstate a license within forty-five
(45) days of receipt of notice from the NIGC that the person is not eligible for
licensing and employment as a Primary Management Official or Key Employee.

If, after the issuance of any Gaming license, the Commission receives or discovers

reliable information indicating that any licensed employee, official, or vendor may no

longer meet the applicable eligibility standards to retain such license, the Commission

shall immediately notify the licensee, in writing, of the suspension and proposed

revocation of such license and shall afford the licensee an opportunity for a hearing,

COMANCHE NATION GAMING ORDINANCE
AS REVISED, CODIFIED, AND AMENDED Page 28 of 34

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and date of disposition;

(9) For each misdemeanor conviction or ongoing misdemeanor prosecution
(excluding minor traffic violations), within ten (10) years of the date of the
application, the name and address of the court involved and the disposition, if any,
and date of disposition,

(10) For each criminal charge (excluding minor traffic charges), 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 paragraph (B)(8) or (B)(9) of
this Section, the criminal charge, the name and address of the court involved, and
the disposition, if any, and date of disposition;

(11) Thename and address of any licensing or regulatory agency with which the person
has filed an application for an occupational license or permit, whether or not such
license or permit was granted;

(12) A photograph taken within a year of the date of application;

(13) Fingerprints obtained in accordance with CBC-approved procedures required by
25 GRR. § 522.2(h); and

(14) Any other information required by the CBC-approved procedures for the
Commission’s background investigations of Primary Management Officials and
Key Employees.

(C) The identity of persons interviewed in the course of conducting a background
investigation shall be Confidential Information.

(D) The Commission shall create and maintain an investigative report for each background
investigation of a Primary Management Official or Key Employee. The investigative
report must be created prior to issuing a Gaming license to a Primary Management
Official or a Key Employee and shall include all of the following information:

(1) Steps taken in conducting the investigation;

(2) Results obtained;

(3) Conclusions reached; and

(4) The basis for those conclusions.

Section 406. Gaming License Eligibility Determination

(A) Before a Gaming license is issued to a Primary Management Official or a Key Employee,
the Commission shall make a finding concerning the eligibility of that person for
receiving such a license, according to CBC-approved eligibility standards, by reviewing
that person’s prior activities, criminal record, if any, and reputation, habits, and
associations.

(B) If the Commission, in applying the CBC-approved eligibility standards, determines that
licensing that person poses a threat to the public interest or to the effective regulation of
Gaming, or creates or enhances the dangers of unsuitable, unfair or illegal practices,
methods, and/or activities in the conduct of Gaming, the Commission shall not license
that person as a Key Employee or Primary Management Official,

(C) Copies, of the eligibility determination shall be included with the notice of results that
must be submitted to the NIGC before the-licensing of a Primary Management Official
or Key Employee.

COMANCHE NATION GAMING ORDINANCE
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(3) Any sports betting and pari-mutuel wagering, including, but not limited to,
wagering on horse racing, dog racing or jai alai; or

(4) Lotteries.

Comanche Nation Entertainment (CNE) means the unincorporated entity wholly-

owned by the Nation composed of the Nation’s Gaming Facilities, Surveillance

Department, and Related Enterprises,

Commission means the Comanche Nation Gaming Commission established by the CBC,

which performs regulatory oversight and. monitors compliance with applicable Gaming

laws and regulations in accordance with the authority provided herein.

Commission Employee means a person employed by the Commission,

Commissioner means a person appointed by the CBC to serve on the Comanche Nation

Gaming Commission.

Compact means the Comanche Nation — State of Oklahoma Gaming Compact

concerning Class III Gaming approved by the Secretary of the Interior and published in

the Federal Register pursuant to 25 U.S.C. § 2710(d).

Confidential Information means all private and/or proprietary information of the

Comanche Nation, CNE, the Commission, and/or the Board of Review that may have a

significant adverse impact on the Nation, CNE, the Commission, the Board of Review,

or any employees, Patrons, and/or Vendors of the fotegoing entities if it is published or

its integrity compromised. Confidential Information includes information protected by

tribal law, federal privacy laws, and the kind of information exempted from disclosure

under the federal Freedom of Information Act.

Game means the actual activity qualifying as Class II or Class III Gaming or, as

appropriate, to engage in Class II or Class III Gaming.

Gaming, as used throughout this Ordinance, means conducting or, as appropriate,

engaging in Class II and/or Class HI Gaming on the Nation’s Indian lands, but shall not

include bona fide business transactions.

Gaming Activity means an endeavor associated with or directly related to (i) the

manufacture, distribution, service, or maintenance of Gaming devices or (ii) the

supervision, conduct, or operation of any Gaming. Gaming Activity does not include

commercial activity that is not directly related to Gaming, such as, but not limited to,

hospitality services and retail activity.

Gaming Employee means an employee of CNE or the Commission whose duties:

(1) are directly connected with a Gaming Activity; or

(2) require or authorize unescorted access to areas of a Gaming Facility that are highly
restricted.

Gaming Facility means any building, part of a building, or area located on Indian lands

where Gaming Activities authorized and regulated by this Ordinance are conducted but

does not include any Non-Gaming enterprises that are adjacent or attached to a Gaming

Facility.

Gaming Facility License is a separate license issued by the Commission to each Gaming

Facility.

Gaming Vendor means any person, business, or entity, who manufactures, distributes,

sells, leases, supplies, markets, services, repairs, updates, installs, removes, or otherwise

provides goods or services to CNE or the Commission and such goods or services are

directly related and unique to a Gaming Activity.

IGRA means the Indian Gaming Regulatory Act, 25 U.S.C. § 2701 ef seq., including

regulations promulgated thereunder, as now enacted or as may from time to time be

COMANCHE NATION GAMING ORDINANCE
AS REVISED, CODIFIED, AND AMENDED Page 2 of 34

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PART 100. GENERAL PROVISIONS

Section 101. Purpose

The Comanche Business Committee, empowered by Article VI § 7(j) of the Comanche Nation
Constitution to enact ordinances and codes, hereby enacts this Gaming Ordinance in order to govern
Class II and Class III] Gaming on the Nation’s Indian lands.

Section 102. Definitions

Unless a different meaning is clearly indicated in this Ordinance, the terms used herein shall have
the same meaning as set forth in the Indian Gaming Regulatory Act , 25 U.S.C. § 2701 ef seq., and
its regulations, 25 C.F.R. § 501 et seq., or as either may be amended. Capitalized words and phrases
used in this Ordinance shall have the meanings respectively ascribed to them in this Section.

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Board of Review or Employee Board of Review means the final review body for
disputes by an employee of CNE or the Commission, as authorized by this Ordinance.
CBC means the Comanche Business Committee.
Chief Executive Officer (CEO) means the person appointed by the CBC to oversee
and manage CNE
Class I gaming means:
(1) _ social games played solely for prizes of minimal value; or
(2) traditional forms of Indian gaming when played by individuals in connection with
tribal ceremonies or celebrations.
Class Il Gaming means:
ql) Bingo or lotto (whether or not electronic, computer, or other technologic aids are
used) when players:
(a) _ play for prizes with cards bearing numbers or other designations;
(b) cover numbers or designations when objects, similarly numbered or
designated, are drawn or electronically determined; and
(c) winthe game by being the first person to cover a designated pattern on such
cards;
(2) Pull-tabs, punch boards, tip jars, instant bingo, and other games similar to bingo,
if played in the same location as bingo or lotto; and
(3) Non-banking card games that:
(a) State law explicitly authorizes or does not explicitly prohibit and are played
legally anywhere in the State; and
(b) players play in conformity with State laws and regulations regarding hours,
periods of operation, and limitations on wagers and pot sizes.
Class IIT Gaming means all forms of gaming that are not Class I or Class I, including,
but not limited to:
(1) Any house banking games, including but not limited to:
(a) Card games such as baccarat, chemin de fer, blackjack (21), and pai gow (if
played as house-banking games); and
(b) Casino games such as roulette, craps, and keno;
(2) Any slot machines, as defined in 15 U.S.C. §1171(a)(1), and electronic or
electromechanical facsimiles of any game of chance;

COMANCHE NATION GAMING ORDINANCE
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Section 307.

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Ordinance;

Q) Regulations and procedures governing the conduct of background investigations
that set forth eligibility standards for the different tiers of licensing and the
registration of vendors, employees, and Gaming Facilities;

@) Regulations providing for the levying of fees, including a schedule of such fees,
associated with registering, permitting, and licensing, as applicable, of
employees, vendors, and Gaming Facilities, and the certification, as applicable,
of Gaming devices;

(4) Regulations governing enforcement actions, the levying of fines, including a
schedule of such fines, and the denial, suspension, or revocation of any individual
or vendor license, for violations of this Ordinance or any other applicable Gaming
laws and regulations;

(a) Fines may be assessed against employees of CNE or employees of the
Commission pursuant to the authority provided in the Indian Civil Rights
Act of 1968 (as amended);

(5) A list of regulatory authorities that conduct background investigations of, and
license vendors;

(6) Procedures and standards for the internal audit of all major Gaming areas of the
Nation’s Gaming Facilities in accordance with the internal audit requirements set
forth in 25 C.F.R. Parts 542 and 543;

(7) Procedures and regulations to provide any affected person or entity the right to
due process and the right to appeal any adverse action taken by the Commission;

(8) Regulations governing hearings, the issuance of subpoenas, receipt of evidence,
and adjudication of appeals, as stated in Section 307 of this Ordinance;

(9) Regulations to allow for the voluntary and involuntary exclusion of certain
persons from the Nation’s Gaming Facilities;

Certify gaming devices:in accordance with established procedures and as required by the
Compact and 25 C.F.R. Parts 543 and 547;

Hold hearings, issue subpoenas, receive evidence, and adjudicate appeals, all in
accordance with CBC-approved ‘regulations, on matters related to licensing and
enforcement actions taken by the Commission;

Adjudicate Patron tort claims and prize claims in accordance with applicable laws and
CBC-approved regulations;

Approve and enter into contracts and other agreements on behalf of the Commission
subject to the limitations set forth at Section 308 of this Ordinance;

Establish, adopt, and cause to be implemented policies and procedures, including
personnel policies, that are applicable to the Commission and its employees;

Monitor and oversee the regulation and enforcement of the Nation’s Gaming by ensuring
that the Executive Director and Commission staff accomplish the duties set forth in
Section 333 of this Ordinance; and

Any other duties or powers not prohibited herein that the Commission determines are
necessary to monitor and oversee the regulation of the Nation’s Gaming.

Hearings and Appeals
Hearings

(1) | The Commission shall afford applicants for licenses and licensees an opportunity
for a hearing prior to any final action that:

COMANCHE NATION GAMING ORDINANCE
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(6) _ Any person or entity that will receive an interest from those listed above through
attribution, grant, pledge, or gift.
Primary Management Official means:
(1) The person(s) having management responsibility for a Management Contract;
(2) Any person who is employed by CNE and has authority:
(a) To hire and fire Gaming Facility employees;
(b) To establish and supervise working policies for a Gaming Facility; or
(c) The chief financial officer or other person who has financial management
responsibility for the Nation’s Gaming; or
(3) Any other Gaming or Gaming-related position that the Commission designates by
regulation as a Primary Management Official.
Related Enterprise, as used in this Ordinance, means any Non-Gaming enterprise
managed and operated by CNE.
Revenue Allocation Plan or RAP means that document setting forth the Nation’s plan
for allocating Net Gaming Revenue and, as required by IGRA, has been submitted to and
approved by the Secretary of the Interior.
State means the State of Oklahoma.
Tribal Court means any court established by the Nation to hear disputes and that
complies with the due process requirements set forth in the Indian Civil Rights Act, 25
US.C. §1302.

Gaming Authorized and Regulated

Class II and Class II] Gaming are hereby authorized to be conducted on the Nation’s
Indian lands in accordance with this Ordinance.

Any Class III Gaming shall be authorized if conducted in accordance with a Compact
between the Nation and the State of Oklahoma or Secretarial procedures approved by the
Secretary of the Interior.

No person under the age of eighteen (18) years may participate in Gaming Activities.

Section 104. Ownership of Gaming

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

Section 105. Use of Net Gaming Revenues

Net Gaming Revenues shall be distributed in accordance with the Nation’s RAP and the CBC shall
ensure that such funds are used only for the following purposes, as prescribed by IGRA:

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To fund the Nation’s government operations and programs;

To provide for the general welfare of the Nation and its members;
To promote the Nation’s economic development;

To donate to charitable organizations; or

To help fund operations of local government.agencies.

COMANCHE NATION GAMING ORDINANCE
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Section 331. Appointment of Executive Director

The Commissioners shall hire and direct an Executive Director of the Commission to oversee and
manage the day-to-day operations and employees of the Commission, and who shall serve as an at-
will, full-time employee of the Commission.

Section 332. Removal of Executive Director

The Commissioners shall have the authority to remove the Executive Director at their discretion
upon a majority vote of the Commissioners at a meeting duly convened for such purpose; a decision
to remove the Executive Director shall be final and not subject to further appeal to the Board of
Review or any other venue.

Section 333. Duties of Executive Director

The Executive Director shall have the following duties:

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Management of the Commission budget;

Development of regulations, rules, standards, and procedures necessary for the effective
regulation of the Nation’s Gaming;

Implementation of Commission-approved policies and procedures and annual operating

budget;

Direct supervisory authority over all employees of the Commission;

Organize: the Commission staff and functions to carry out its duties efficiently and
effectively;

Commission employee.scheduling;

Execution of approved Commission policy and procedure;

Enforcement of this Ordinance and CBC-approved regulations, including but not limited

to:

(1) Conduct appropriate background investigations of Primary Management
Officials, Key Employees, and other persons required to be licensed or permitted;

(2) Report results of background investigations, as required, to the NIGC;

(3)  Obtain.and process fingerprints;

(4) Make licensing eligibility determinations and issue tiered Gaming licenses for
Gaming Employees, Gaming Vendors, and others whose licensute is required;

(5) Make. permitting eligibility determinations and issue: permits for Non-Gaming
Employees, Non-Gaming Vendors, and others requiring a permit;

{6) May issue Gaming Vendor licenses by reciprocity to applicants that are currently
licensed by trustworthy regulatory authorities;

(7) Issue permits, registration, and waivers to employees or vendors, if they meet
requirements;

(8) Issue Gaming Facility licenses;

(9) Assess and collect fees related to the processing of applications for permits,
registration, and licensure, as applicable, of employees of CNE, employees of
the Commission, and vendors;.

(10) Assess fines, as applicable, related to enforcement actions for violations of this
Ordinance or any other applicable Gaming laws and regulations; all fines
assessed shall be paid directly to the Comanche Nation Tax Commission;

COMANCHE NATION GAMING ORDINANCE
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October 5, 2017

VIA FACSIMILE AND
FIRST CLASS MAIL

Mr. William Nelson, Chairman
Comanche Nation

584 NW Bingo Road

Lawton, OK 73507

Re: Amended Gaming Ordinance

Dear Chairman Nelson:

This letter responds to your request for the Chairman of the National Indian Gaming
Commission to review and approve the Comanche Nation’s (Nation) Amended Gaming
Ordinance. The Gaming Ordinance was authorized by Resolution #79-17 on July 08, 2017. The
NIGC received a copy of the Gaming Ordinance on July 13, 2017.

Thank you for bringing the amended Gaming Ordinance to our attention. The Gaming
Ordinance is approved as it is 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 Heather McMillan Nakai at (202) 527-5577.

Sincerely,

Lh,
Jonodev O. Chaudhuri
NIGC Chairman

NEW MAILING ADDRESS: NIGC/DEPARTMENT OF THE INTERIOR 1849 C Street NW, Mail Stop # 1621 Washington, DC 20240 Tel: 202.632.7003 Fax: 202.632.7066

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; St. Paul, MN; Tulsa OK; Oklahoma City, OK
WWW.NIGC.GOV


Section 201.

PART 200. COMANCHE NATION ENTERTAINMENT

Comanche Nation Entertainment Created

There is hereby established an unincorporated entity wholly-owned by the Nation, comprising the
Nation’s Gaming Facilities, Surveillance Department, and Related Enterprises, and this entity shall
be known as Comanche Nation Entertainment (CNE). CNE shall possess the same immunity and
tax status of the Nation.

Section 202.

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Section 203.
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Section 204.

Office of CEO Established

CNE shall be led and managed by the Chief Executive Officer (CEO) because the
effective operation of CNE requires active supervision by a qualified individual on a daily
basis. The office of the CEO, including management and staff hired thereby, shall be an
authorized Gaming-related operating expense for purposes of audit and determining Net
Revenue, as defined by IGRA, and for purposes of determining Net Gaming Revenue
subject to distribution under the Nation’s RAP.

In the event that the Nation enters into a Management Contract approved by the NIGC,
the CEO may delegate some or all of its duties to the approved Management Contractor.
The actions and duties of the CEO shall not violate applicable Gaming laws or interfere
with the Commission’s regulation of the Nation’s Gaming Activities.

CEO Appointment, Term, and Compensation

The CBC shall appoint the CEO to serve as a full-time employee of CNE pursuant to an
employment agreement and the requirements established herein.

If the CEO position is vacant, the Chairman of the Comanche Nation shall call for
resumes from qualified candidates.

The CBC shall review resumes received and shall choose from among them a person
meeting the qualifications tequired herein,

The CBC shall confirm such appointment by resolution.

The CEO’s term shall be three (3) years and an individual may be reappointed by the
CBC without limitation on the number of terms.

The CEO shall be compensated at a level determined by the CBC and such compensation
shall be an authorized Gaming-related operating expense for purposes of audit and
determining Net Revenues, as defined by IGRA, and for purposes of determining Net
Gaming Revenue subject to distribution under the Nation’s RAP.

CEO License

The CEO shall be subject to the same background check and license eligibility requirements as Key
Employees and Primary Management Officials, found in Part 400 of this Ordinance and regulations
promulgated hereunder, and must be licensed accordingly in order to qualify for and retain the
position of CEO.

COMANCHE NATION GAMING ORDINANCE
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Section 113.

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Confidential Information shall be made: available only to authorized persons or for
authorized functions on a “need to know” basis.

Confidential Information shall not be considered tribal records subject to disclosure to
Comanche Nation tribal members as set forth at Article X § 4 of the Comanche Nation

Constitution.
Political Activity Prohibited

Commissioners and the CEO shall have the right to vote as they choose and to express

their personal opinion on political subjects and candidates, but shall not, at any time,

while holding the position of Commissioner or CEO:

(1) take an active part in political campaigns for election to the Nation’s public
offices;

(2) use his or her official authority or influence for the purpose of interfering with or
affecting the result of an election to a public office of the Nation; or

(3) knowingly solicit, accept, or receive a political contribution from any person.

No CEO, Commissioner, vendor, contractor, employee of CNE, or employee of the

Commission shall engage in any partisan political activity or political activity related to

the Nation’s public offices while:

(1) on duty;

(2) in any room or building where he or she performs his or her official duties; or

(3) wearing a uniform or official insignia identifying the office or position of the
person.

No CEO, Commissioner, vendor, contractor, employee of CNE, or employee of the

Commission shall engage in or promote any partisan political activity or political activity

related to. the Nation’s public offices while:

(1) using any vehicle owned or leased by CNE or the Commission; or

(2) using any equipment or property of CNE or the Commission.

Sections 114 - 199 RESERVED

COMANCHE NATION GAMING ORDINANCE
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registration, permitting, and waivers of Non-Gaming Vendors.

(C) Such regulations shall set forth the process and the eligibility standards for the licensing
and background investigation of Gaming Vendors that must be licensed and the process
for the permit, registration, and waivers of vendors that do not need to be licensed.

(D) The following types of vendors shall be exempt from the licensing and background

investigation process:

(1) Tribal, local, state, or federal governments and associated agencies;

(2) Businesses and companies owned and/or chartered by the Nation;

(3) Sponsorships or charitable organizations;

(4) Public Utilities;

(5) Vendors that are regulated by a state or the federal government;

(6) Entertainment in the form of single event contracts;

(7) Restaurants and caterers;

(8) Insurance companies;

(9) Travel companies;

(10) Commercial transportation companies;

(11) Fleet service providers;

(12) Attorneys, accountants, and other professionals providing services covered by
their respective professional license;

(13) Vendors licensed by regulatory authorities recognized as trustworthy;

(14) Publishers of newspapers, magazines, journals, periodicals, and other print media
for routine subscriptions, provided that licensure shall be required if the services
of such publisher are secured to publish tickets, coupons, or other instruments
that may be used or redeemed for value for gaming activities in the Nation’s
gaming facilities;

(15) Television, radio, and other media companies, unless such entity is to publish,
provide, ot distribute tickets, coupons, or other instruments that may be used or
redeemed for value for gaming activities in the Nation’s gaming facilities;

(16) Providers of training and/or educational services if such provider is affiliated with
an educational institution, professional association, not-for-profit organizational
institution, tribal, federal, or state agency, or other public institution;

(17) Federally- or state-chartered financial institutions;

(18) Providers of medical equipment, supplies, and/or services; and

(19) | Any other vendor that provides goods or services of insubstantial or insignificant

amounts or quantities and that shall not pose a threat to the public interest if they
are not licensed.

Section 410. Gaming Facility Licenses

(A) | The Commission shall issue a separate license to each Gaming Facility once every three
(3) years.

(B) The Commission shall specify the form, conditions, and content for the application for
Gaming Facility licenses, which shall be submitted by CNE, and the initial application
shall include:

(1)
2)

a legal description of the lands whereon the facility is located and a certification
that said prernises constitute Indian lands as specified in IGRA; and

a provision identifying the environmental, health, and public safety standards with
which the facility must comply, and a certification that the facility is in

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Section 407. Report to the NIGC

(A) Before issuing a Gaming license to a Primary Management Official or Key Employee,
the Commission shall prepare a notice of results of the applicant’s background
investigation to submit to the NIGC. The notice of results must be submitted to the NIGC
no later than sixty (60) days after the applicant begins working. The notice of results
shall include all of the following:

(1) The applicant’s name, date of birth, and social security number;
(2) The date on which the applicant began, or will begin, working as a Primary
Management Official or Key Employee;
(3) | Asummaty of the information presented in the investigative report, including:
(a) licenses that have previously been denied;
(b) Gaming licenses that have been revoked, even if subsequently reinstated;
(c) every known criminal charge brought against the applicant within the last
10 years of the date of the application;
(d) every felony offense of which the applicant has been convicted or any
ongoing prosecution; and
(4) Acopy of the eligibility determination made in accordance with Section 406 of
this Ordinance.

Section 408. Granting an Individual Gaming License

(A) The Commission may license a Primary Management Official or Key Employee applicant
after submitting a notice of results of the applicant’s background investigation to the
NIGC, as required by Section 407 of this Ordinance. The Commission must notify the
NIGC of the issuance of a license to a Primary Management Official or Key Employee
within thirty (30) days of issuance.

(B) If, within the thirty (30) day period following NIGC’s receipt of the notice of results
required by Section 407 of this Ordinance, the Commission receives from the NIGC a
statement of itemized objections to the issuance of a license to a Primary Management
Official or Key Employee, the Commission must reconsider that application, The
Commission must take into account the NIGC’s objections; however, the Commission
shall make the final decision whether to issue a license to that applicant for a Primary
Management Official of Key Employee Gaming license.

(C) If the Commission has issued a license to a Primary Management Official or Key
Employee before receiving the NIGC’s statement of objections, written notice and a
hearing shall be provided to the licensee, as required by Sections 412 and 413 of this
Ordinance.

Section 409. Licenses for Gaming Vendors

(A) The Commissioners shall. promulgate CBC-approved regulations governing the tiered
licensing of Gaming Vendors with no less than the following tiers:
(1) | Gaming Vendors that provide goods or services valued at $25,000 or more
annually;
(2) | Gaming Vendors that provide goods or services valued at less than $25,000
annually,
(B) The Commissioners shall promulgate CBC-approved regulations governing the

COMANCHE NATION GAMING ORDINANCE.
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amended, re-enacted, or replaced.

(U) Indian lands means those lands meeting the tequirements set forth in 25 U.S.C. §2703(4)
and 25 CFR. § 502,12 (see also 25 U.S.C. § 2719; 25 C.F.R. Part 292).

(VY) Key Employee means:

(1) A petson who performs one or more of the following functions:
(a) Bingo caller;
(b) Counting room supervisor;
(c) Chief of security;
(d) Custodian of Gaming supplies or cash;
(e) Floor manager;
(Pit boss;
(g) Dealer;
(h) Croupier;
(i) Approver of credit;
(j) Custodian of Gaming devices, including persons with access to cash and
accounting records within such devices;
(2) — All Commission employees;
(3) — Any employee of CNE whose total cash compensation is in excess of $50,000 per
year;
(4) The four (4) most highly compensated persons in a Gaming Facility; and
(5) Any other Gaming or Gaming-related position that the Commission designates by
regulation as a Key Employee position.

(W) Management Contract shall have the meaning set forth at 25 C.F.R, § 502.15.

(X) Nation means the Comanche Nation,

(Y) Net Gaming Revenues has the same meaning as set forth in the Nation’s Revenue
Allocation Plan and means Gaming revenue remaining at the end of each calendar month,
after disbursement of operating expenses and dues, including but not limited to loan
payments, player winnings, equipment costs, adequate contingency reserves, supplies,
casino employee wages, salaries, fees, and all other expenses (excluding Management
Contract fees, if applicable, as set forth at 25. U.S.C. § 2703(9) and 25 C.F.R. § 502.16),
for that-month or period.

(Z) | NIGC means National Indian Gaming Commission.

(AA) Non-Gaming Vendor means any person, business, or entity that provides goods and
services to the Commission or CNE that are not necessary for, or directly related to, the
conduct of Gaming, including but not limited to construction, repair and maintenance
services, and food and beverage services.

(BB) Patron means any natural person who enters upon the premises of a Gaming Facility for
the purpose of playing Games located therein.

(CC) Persons directly related to means a spouse, child, parent, or sibling.

(DD) Person having a financial interest in a contract includes:

(1) = A natural person that is.a party to a contract;

(2) Any beneficiary. or trustee of a trust when that trust is a party to a contract;

(3) Any partner of a partnership when that partnership is a party to a contract;

(4) Any director or holder (either alone or in combination with a spouse, parent, child,
or sibling) of five percent (5%) or more issued and outstanding stock of a
corporation when that corporation is a patty to a contract;

(6) All parties of an entity when that entity holds an interest in a trust, partnership, or
corporation that is a party to a contract;

COMANCHE-NA'TLION GAMING ORDINANCE
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Confidential Information may also be disclosed to relevant human resource personnel on
a need-to-know basis solely for actions taken in their official capacities.

(C) The identity of persons interviewed in the course of conducting a background
investigation shall be Confidential Information.

(D) _ The prohibitions of this Section do not apply to:

(1) Requests for Confidential Information from Tribal, Federal, or State law
enforcement or regulatory agency with jurisdiction over the Nation’s Gaming
provided that the Commission receives a request in writing and reasonable
assurances as to the continuing confidentiality of the information disclosed;

(2) The Commission’s statutory duty to provide Confidential Information to a Tribal,
Federal, or State law enforcement or regulatory agency; or

(3) The use of Confidential Information or records by the Commission and staff,
solely in the performance of their official duties.

Section 312. Appointment of Commissioner

(A)  Forany vacancy on the Commission, the Chairman of the Comanche Nation shall call for
resumes from candidates.

(B) The CBC shall review resumes received and shall choose from among them a person
meeting the qualifications of this Ordinance.

(C) The CBC shall confirm such appointment by resolution. The selected candidate(s) must
pass the background investigation required of a Primary Management Official or Key
Employee.

(D) Once the background. investigation is successfully completed, the candidate(s) will be
sworn in by the CBC.

(2) Each Commissioner shall be designated as Commissioner 1, Commissioner 2,
Commissioner 3, or Alternate Commissioner.

Section 313. Commissioner Terms

Terms of Office for Commissioners shall be three (3) years and each staggered by one year to result
in the appointment of one (1) Commissioner per year, except that the term of the Alternate
Commissioner shall coincide with Commissioner 3, A Commissioner may be re-appointed by the
CBC.

Section 314. Commissioner Eligibility

The Nation recognizes the importance of an independent Commission in the fair regulation of
Gaming and the need to avoid potential conflicts of interest in the operation and regulation of the
Gaming Facilities. The Nation hereby finds that the following persons, ata minimum, are nor eligible
to serve as a Commissioner:

(A) | Members of the CBC, the CEO, ora Primary Management Official of a direct competitor
to the Nation’s Gaming Facilities, while serving as such;

(B) Persons having a financial interest in a contract to which the Nation, CNE, or the
Commission is a party;

(C) _ Persons directly related to or sharing a residence with any of the above;

(D) Employees of the Commission or CNE, while employed as such; and

COMANCHE NATION GAMING ORDINANCE
AS REVISED, CODIFIED, AND AMENDED Page 17 of 34
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shall be a final decision.

Section 614. Recusal

A Boatd of Review member shall not review or participate in any dispute in which the member has
aconflict of interest. Indicators of a conflict of interest include but are not limited to disputes:
(A) _ Affecting the member or any person directly related to the member, as defined in Section
102(DD);,
(B) For which the member could be called as a witness; or
(C) | Themember took part in the decision-making process, in any way, that led to the adverse
employment action being appealed.

COMANCHE NATION GAMING ORDINANCE
AS REVISED, CODIFIED, AND AMENDED Page 34 of 34
THROUGH [DATE]


PART 400. LICENSING

Section 401. Employee Licenses

(A) The Nation, through the Commission, shall ensure that the requirements set forth in this
Ordinance are implemented with respect to Key Employees and Primary Management
Officials and any other persons required by this Ordinance to have a Gaming license,

(B) The Nation, through the Commission, shall issue licenses and perform background
investigations for Key Employees and Primary Management Officials according to
requirements at least as stringent as 25 C.F,R, Parts 556 and 558.

(C) Key Employees and Primary Management Officials must have a Gaming license issued
by the Commission and shall not be employed if such person has not been issued a fully-
approved Gaming license within ninety (90) days of beginning work.

(D) The Commission shall promulgate regulations and standards that have been approved by
the CBC concerning the licensing, tiered licensing, and permitting of Gaming Employees.

Section 402. License Application Forms

(A) _ The following notices shall be placed on the Nation’s Gaming license application form
for a Key Employee or a Primary Management Official before it is filled out by an
applicant:

(1) ‘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 seg. The purpose of the requested information is to determine the
eligibility of individuals to be granted a gaming license. The information will be
used by the Commission and the National Indian Gaming Commission (NIGC)
members and staff who have need for the information in the performance of their
official duties. The information may be disclosed by the Nation or the NIGC to
appropriate Federal, Tribal, State, local, or foreign law enforcement and
regulatory agencies when relevant to civil, criminal or regulatory investigations
or prosecutions or when pursuant to a requirement by a tribe or the NIGC in
connection with the issuance, denial, or revocation of a gaming license, or
investigations of activities while associated with a tribe of a gaming operation.
Failure to consent to the disclosures indicated in this notice will result in a tribe
being unable to license you for a primary management official or key employee
position.

(2) The disclosure of your Social Security Number (SSN) is voluntary. However,
failure to supply a SSN may result in errors in processing your application.

(3) A false statement on any part of your license application may be grounds for
denying a license or the suspension or revocation of a license. Also, you may be
punished by fine or imprisonment. (U.S. Code, title 18, section 1001).

(B) Any existing Key Employees and Primary Management Officials who have. not yet done
so shall be notified in writing by the Commission of the need to sign a statement
acknowledging receipt of the notices required by 25 C.F.R. Part 556 and consent to the
routine uses described in the notices.

(C) License Applications shall also contain a notice of consent to the jurisdiction of the
Commission and the Tribal Court as follows, with a separate signature line immediately

COMANCHE NATION GAMING ORDINANCE
AS REVISED, CODIFIED, AND AMENDED Page 23 of 34
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COMANCHE NATION GAMING ORDINANCE

Table of Contents

Part 100 GENERAL PROVISIONS
Section 101 Purpose
Section 102 Definitions
Section 103 Gaming Authorized and Regulate

* Section 104. Ownership of Gaming.
Section 105 Use of Net Gaming Revenues.
Section 106 Per Capita Payments ..
Section 107 Environment and Public Health and Safety
Section 108 Agent for Service of Process..
Section 109 Compliance with Federal Laws
Section 110 Repeater...
Section 111 Tribal Member Access to Financial Information
Section 112 Confidential Information
Section 113 Political Activity Prohibitec
Sections 114-199 Reserved

Part 200 COMANCHE NATION ENTERTAINMENT
Section 201 | Comanche Nation Entertainment Created.
Section 202 Office of CEO Established...
Section 203 CEO Appointment, Term, and Compensation
Section 204 CEO License...
Section 205 CEO Qualifications
Section 206 CEO Eligibility
Section 207 CEO’s Duties...
Section 208 CEO’s Contracting Limitations
Section 209 Void Contracts
Section 210 CEO Reports
Section 211 CNE Budget.....
Section 212 Distribution of Net Gaming Revenut
Section 213. CNE Annual Aud:
Section 214 Removal of CEO..
Sections 215-299 Reserved

Part 300 COMANCHE NATION GAMING COMMISSION
Section 301 Gaming Commission Established
Section 302 Role of Commission and Commissioners
Section 303 Commission Composition; Quorum
Section 304 Commissioner License...
Section 305 Commissioner Qualifications.
Section 306 Commissioners’ Dutie:
Section 307 Hearings and Appeals
Section 308 Commission Contracting Limitation:
Section 309 Void Contracts...
Section 310 | CBC Review or Approval Needed.
Section 311 | Confidentiality of Commission Records.
Section 312 Appointment of Commissioner.
Section 313 Commissioner Terms.
Section 314 Commissioner Eligibility
Section 315 Removal of Commissioner.
Section 316 Commissioner Compensation
Section 317 Commissioner Meetings
Section 318 Commission Reports
Section 319 Commission Budget.
Section 320 Commission Annual Audit.
Section 321 Patron Dispute Resolution ..

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Section 209. Void Contracts

Any contract or agreement that, by its terms, violates any provision of Section 208 of this Ordinance
shall be null, void, and unenforceable ab initio in its entirety including any provision for dispute
resolution therein.

Section 210. CEO Reports

The CEO shall meet with and make financial reports to the CBC monthly and as requested. The
CEO will keep a written record of all meetings with the CBC and make such records available to the
CBC upon request.

Section 211. CNE Budget

(A) | The CEO shall develop annually, prior to the beginning of the Nation’s fiscal year, a
projection of the Net Gaming Revenue to be distributed to the Nation and a budget for
CNE’s operations, including personnel costs, proposed capital expenditures, loan
payments, contingency reserves, and other expenses, for the following fiscal year.

(B) _ Said proposed budget shall be submitted to the CBC prior to the Nation’s fiscal year and
shall be treated as highly confidential and proprietary.

(C) CNE may obtain and pay for such capital improvements, furnishings, equipment,
supplies, stationery, subscriptions, employees, and services as it deems necessary or
desirable to carry out its functions within the limit of the budgeted funds and expenditures
and in accordance with Section 208.

Section 212. Distribution of Net Gaming Revenue

The CEO shall determine and distribute quarterly to the Nation the Net Gaming Revenues generated
by CNE in accordance with projected Net Gaming Revenue distributions in the manner directed by
CBC resolution. Within forty-five (45) days of the end of CNE’s fiscal year, extra Net Gaming
Revenues, if any, will be distributed in one lump sum to the Nation in the same manner as projected
Net Gaming Revenue.

Section 213. CNE Annual Audit

(A) | The CEO shall cause to be conducted an annual outside independent audit of CNE, which
may be encompassed within existing independent audit systems of the Nation. The
resulting audit report(s) shall be submitted to the CBC, Commission, and NIGC within
one hundred twenty (120) days from the close of the fiscal year.

(B) _ All contracts that result in the purchase of supplies, services, or concessions in excess of
$25,000.00 in any fiscal year (except contracts for professional legal and accounting
services) shall be specifically included within the scope of the audit required by
Subsection (A) above.

COMANCHE NATION GAMING ORDINANCE
AS REVISED, CODIFIED, AND AMENDED Page 10 of 34
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Section 301.

(A)

(B)

Section 302.

(A)

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Section 303.

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PART 300. COMANCHE NATION GAMING COMMISSION

Gaming Commission Established

There is hereby established an agency of the Nation which shall be known as the
“Comanche Nation Gaming Commission” (hereinafter “Commission”) whose duty is
to regulate the Nation’s Gaming operations.

The Nation recognizes the importance of an independent Commission in maintaining
well-regulated Gaming. The Commission shall act independently and autonomously
from the CBC in the enforcement of regulatory matters within its purview. No prior or
subsequent review by the CBC of any actions of the Commission shall be required or
permitted except as otherwise explicitly provided in this Ordinance.

Role of Commission and Commissioners

The purpose of the Commission is regulatory, not managerial, and therefore, the
Commission shall not interfere with the management of the Nation’s Gaming operations
except for citing violations of applicable Gaming laws and regulations to ensure
compliance therewith.

The Commission and CNE will work together to resolve regulatory issues.
Commissioners’ duties and responsibilities are limited and specific to ensure the fair and
impartial review and adjudication of all matters related to licensing and enforcement of
compliance with Gaming laws and regulations. Commissioners shall not participate in,
direct, or attempt to influence the outcome, course, or direction of a Commission
investigation into any aspect of compliance, revenue control, background investigation,
internal audit, or any other Commission activity. Commissioners must remain
independent of all day-to-day activities. in order to fairly and.impattially judge all matters.
Nothing in this Ordinance shall prevent the Comanche Nation Police Department from
investigating criminal activity within its jurisdiction.

Commission Composition; Quorum

The Commission shall consist of four (4) members, one of whom shall be designated as
a non-voting alternate, and at least two (2) of whom shall be an enrolled member of the
Comanche Nation.

The Commissioners shall elect a Chair, whose duty it shall be to call for and preside over
all meetings and hearings and to execute official documents of the Commission.

The Commissioners’ shall elect a Vice-Chair who shall perform the duties of the Chair in
the Chair’s absence.

A majority of the voting Commissioners shall constitute a quorum and the concurrence
of a majority of the same shall be required for any official action.

The alternate Commissioner may attend all meetings of the Commission, but shal! not
count toward a quorum, vote, or take other official action unless a voting Commissioner
is unavailable.

The Commission may act in its official capacity even if there are vacancies on the
Commission.

Commissioners shall serve in such capacity until their respective successor is duly

COMANCHE NATION GAMING ORDINANCE
AS REVISED, CODIFIED, AND AMENDED Page 12 of 34

THROUGH [DATE]


COMANCHE NATION
GAMING ORDINANCE

AS REVISED, CODIFIED, AND AMENDED
THROUGH [NIGC Approval Date]

(History: Enacted by Comanche Business Committee (CBC) Resolution No. 56-09, approved by National Indian Gaming Commission
(NIGC) on May 18, 2009; amended by CBC Resolution No, 111-09, amendment approved by NIGC on September 21, 2009; amended by
CBC Resolutions No, 69-14, 83-14, and 114-14, amendments approved by NIGC on January 9, 2015; amended by CBC Resolution No.
33-15, amendment approved by NIGC on June 19, 2015; amended by CBC Resolution No. [xx-17], amendment approved by NIGC on

(Date},)


Section 607. Compensation

(A) _ The Board of Review members who are employed by CNE or the Commission shall
receive their normal rate of pay for the time they participate in meetings and hearings and
shall also be compensated at a rate set by the CBC per meeting or hearing in recognition
of the additional duties and responsibilities the employee is undertaking.

(B) Board of Review members not employed by CNE or the Commission shall be
compensated at a rate set by the CBC per meeting or hearing.

(C) All Board of Review members shall be reimbursed for actual costs incurred during the
scope of his/her duties as a member of the Board of Review.

Section 608. Operational Costs and Administrative Assistance

(A) _ Costs for general meetings of the Board of Review shall be shared on a pro rata basis by
the Commission and CNE, Costs for each Board of Review hearing and related meeting,
if needed, shall be charged to the entity whose adverse employment action is being

appealed.
(B) The Commission shall provide administrative assistance to the Board of Review.

Section 609. Regulations

The Board of Review shall promulgate regulations related to Board of Review requirements and
procedures that have been approved by the CBC, provide due process for all parties, and are not
inconsistent with this Part.

Section 610. Organization
(A) | The Board of Review members shall elect a Chair from among them, whose duty it shall
be to preside over all meetings and heatings.

(B) In addition, the members shall elect a Vice-Chair who shall be the custodian of any
evidence submitted, and who shall preside in the Chair’s absence.

Section 611. Meetings

The Board of Review shall meet monthly, ifneeded, to conduct its business and to hear disputes, and
shall keep official records of the meetings and hearings.

Section 612. Decisions

No later than seven (7) calendar days following a hearing on an employee dispute, the Board of
Review shall issue its decision in writing which shall be final when issued.

Section 613, Removal

(A) No Board of Review member shall be removed prior to the end of their term without
cause,
(B) Removal shall be effectuated by a majority vote of the entite Board of Review, which

COMANCHE NATION GAMING ORDINANCE
AS REVISED, CODIFIED, AND AMENDED Page 33 of 34
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ay

(12)

(13)

(14)

(15)
(16)
a7)

In order to carry out the Commission’s regulatory duties, authorized staff of the
Commission shal] have unrestricted access to all areas and records of CNE, and
may inspect, examine, and monitor all Gaming Activities and have immediate
access to review, inspect, examine, photocopy and audit all records of the
Gaming Facility; provided however, every reasonable effort shall be made to
avoid unnecessary disruptions to the Nation’s Gaming Activities;

Perform the internal audit of all major Gaming areas of the Nation’s Gaming
Facilities;

Investigate any suspicion of wrongdoing associated with any Gaming Activity,
in accordance with Section 302(C); within twenty-four (24) hours of initiating
an investigation, the Executive Director shall provide written notification to the
CEO that sets forth the alleged misconduct being investigated;

Establish a list of persons not allowed to Game in the Nation’s Gaming
Facilities or allowed to hold a Gaming license in order to maintain the integrity
of the Gaming;

Establish and maintain a list of persons who-have voluntarily asked to be
excluded from the Nation’s Gaming Facilities;

Provide referrals and information to the appropriate law enforcement officials
when such information indicates a violation of Tribal, Federal, or State statutes;
Review, solely for compliance with this Ordinance and other applicable
Gaming laws and regulations, the following items and activities of CNE if such
item or activity is directly related to Gaming or a Gaming Activity:

. contracts;
. policies and procedures;
. promotions planned by Gaming Facilities;

implementation, maintenance, and removal of software systems,
servers, and slot management systems;
. installation, maintenance, and removal of gaming devices;

(a) The foregoing shall not be revised by the Commission and shall only be
approved or denied;

(b) If denied, documentation shall be provided to CNE that sets forth the
section(s) and language of the submitted item or process that is(are)
non-compliant and the applicable section(s) of law(s) or regulation(s)
with which the item or process does not comply;

(I) Delegate other duties, as needed, to Commission staff; and
0) Other non-adjudicatory duties as assigned or delegated by the Commissioners.

Section 334, Executive Director License

The candidate for the position of Executive Director must satisfy the eligibility standards set forth
for Key Employees and Primary Management Officials, found in Part 400 of this Ordinance, and
regulations promulgated hereunder, and must be licensed accordingly in order to retain the position.

Section 335. Qualifications of Executive Director

The Executive Director shall be subject to the same qualification requirements outlined in Section
305 of this Ordinance for the Commissioners, except that the Executive Director shall have a
minimum of five (5) years’ work experience in the management, compliance, or regulation of a

COMANCHE NATION GAMING ORDINANCE
AS REVISED, CODIFIED, AND AMENDED Page 21 of 34

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Comanche Nation

A RESOLUTION OF THE COMANCHE BUSINESS COMMITTEE
AMENDING THE COMANCHE NATION GAMING ORDINANCE

WHEREAS, the Comanche Nation is a federally recognized Indian tribe with a constitution approved
by the Secretary of the Interior on January 9, 1967, to safeguard tribal rights, powers, and
privileges and to improve the economic, moral, educational, and health status of its
members;

WHEREAS, pursuant to Article VI, section 7(j) of the Comanche Constitution, the Comanche
Business Committee has the duty, responsibility, and authority “to promulgate and
enforce ordinances and codes governing law and order to protect the peace, health, safety,
and general welfare on land determined to be within Comanche tribal jurisdiction”;

WHEREAS, in 1996, the Comanche Business Committee enacted the Comanche Nation Gaming
Ordinance, which was approved in its current form by the National Indian Gaming
Commission (NIGC) on June 19, 2015, in accordance with and as required by the Indian
Gaming Regulatory Act (IGRA), 25 USC §§ 2701 et seq; and

WHEREAS, the Comanche Business Committee has determined that it is in the best interest of the
‘Nation to amend the Comanche Nation Gaming Ordinance. .

NOW THEREFORE BE IT RESOLVED that the Comanche Business Committee hereby amends the
Comanche Nation Gaming Ordinance as shown in the attachments hereto; and

BE IT FINALLY RESOLVED THAT the Comanche Business Committee hereby directs the Chairman
to submit and obtain NIGC approval of the attached Comanche Nation Gaming Ordinance, which shall be
in full force and effect upon the date of NIGC approval.

CERTIFICATION

The foregoing resolution was adopted at a regular meeting of the Comanche Business Committee
held on Saturday July 8, 2017, at the Comanche Nation Complex, Lawton, Oklahoma, by a majority vote
of 6 for, O against, and _0 abstaining, a quorum being present. 45

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conducted in accordance with Section 413 of this Ordinance.

(C) _ Following a revocation hearing, the Commission shall decide whether to revoke or
reinstate the license at issue. The Commission shall notify the NIGC of its decision to
revoke or reinstate a license within 45 days of receiving notification from the NIGC that
a Primary Management Official or Key Employee is not eligible for employment.

(D) The Commission may temporarily suspend a license without a hearing for up to fifteen
(15) days in those cases where such extraordinary action is essential to protect the public
safety or the integrity of Gaming and such action shall be taken only in those emergency
cases where there is a clear need for these extraordinary measures. Such licensee shall
be provided an opportunity for a hearing before an emergency suspension is extended.

(E) A license suspension shall be effective only upon a specific order issued by the
Commission to the licensee, the Board, and the employing Gaming Facility. A license
shall not be suspended for more than sixty (60) days. If the Commission does not fully
reinstate the license or set a hearing on the revocation or conditional reinstatement of the
license within sixty (60) days of the initial suspension, such suspension shall be
considered a final determination and subject to appeal.

Section 413. License Hearing

(A) | The Commission shall set a hearing on a proposed suspension, revocation or conditional
reinstatement of a license in accordance with regulations approved by the CBC and
promulgated hereunder and shall notify the licensee and CNE’s designated agents for

such notices, in writing, of a time. and a place for such hearing.

(B) No more than seven (7) days after a licensing hearing, the Commissioners shall issue a
final written determination to revoke or to reinstate the license, with or without
conditions, and shall forward such determination to the licensee, the CNE, and the NIGC.

(C) _ The right to a revocation hearing vests only when a Gaming license is granted pursuant
to this Ordinance, once the Ordinance has been approved by the NIGC.

Section 414. Retention of License Records

The Commission shall retain, for no less than three (3) years from the date of termination of
employment, the following documentation for each Primary Management Official and Key
Employee:

(A) Application for licensing;
(B) Investigative reports; and
(C) Eligibility determination.

Sections 415 — 499 RESERVED

COMANCHE NATION GAMING ORDINANCE:
AS REVISED, CODIFIED, AND AMENDED Page 29 of 34
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below such notice for the applicant to accept such jurisdiction:

(1) Acceptance of a Commission-issued license by an employee or vendor shall
constitute acceptance by that individual or entity of the jurisdiction of the
Comanche Nation Gaming Commission and the Tribal Court for all licensure
actions and any violations of such licensure or this Ordinance,

Section 403. Licensing Fee

The Nation may charge a reasonable fee, to be set by the CBC and imposed by the Commission, to
cover its expenses in investigating and licensing Key Employees, Primary Management Officials,
other persons, and vendors of the Gaming Facilities and the Commission.

Section 404. Fingerprints

Section 405.

(A)

(B)

(A)

(B)

The Commission shall require fingerprints as part of the license application procedure for
each Key Employee, Primary Management Official, or other person required to obtain
such level of Gaming license,

Fingerprints shall be taken by the Commission and then forwarded to the NIGC for
processing through the Federal Bureau of Investigation and the National Criminal
Information Center to determine the applicant’s criminal history, if any.

Background Investigations

The Commission is responsible. for conducting background investigations for each

Primary Management Official and Key Employee that is sufficient to allow the

Commission to make an eligibility determination in accordance with Section 406 of this

Ordinance.

The Commission shall obtain from each Primary Management Official and from each

Key Employee or other person required to obtain such level of Gaming license all of the

following information:

(1) Full name, other names used (oral or written), social security number, birth date,
place of birth, citizenship, gender and all languages spoken and/or written;

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

(3) The names and current addresses of at least three (3) personal references,
including one (1) personal reference who was acquainted with the applicant
during each period of residence listed under paragraph (B)(2) of this Section;

4 Current business and residential telephone numbers, and all cell phone numbers;

(5) A description of any existing and previous business relationships with Indian
tribes, including any ownership interests in those businesses;

(6)  Adescription of any existing and previous business relationships with the Gaming
industry generally, including ownership interests in those businesses;

(7) Thename and address of any licensing or regulatory agency with which the person
has filed an application for a license or permit related to Gaming, whether or not
such license or permit was granted;

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

COMANCHE NATION GAMING ORDINANCE
AS REVISED, CODIFIED, AND AMENDED Page 24 of 34

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Section 205.

CEO Qualifications

In addition to satisfying the licensing eligibility standards for Key Employees and Primary
Management Officials set forth in Commission regulations, to qualify for the position of CEO, an

individual must possess:
(A) | Adegree in Business Administration, Accounting, Marketing, or an equivalent field; and
(B) _ Five (5) or more years’ work experience in the executive management of similarly-sized
business entities; which shall include at least two (2) years’ professional casino
management experience,
Section 206. CEO Eligibility

The Nation recognizes the importance of an independent CEO in maintaining well-managed Gaming
Facilities and Related Enterprises and the need to avoid potential conflicts of interest in the operation
and regulation of such. The Nation hereby finds that, at a minimum, the following persons are not
eligible to serve as the CEO:

(A)
(B)
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(D)
€)

Section 207.

Member of the CBC, the Commission, or a Primary Management Official of a direct .
competitor to the Nation’s Gaming Facilities, while serving as such;

Persons having a financial interest in a contract to which the Nation, CNE or the
Commission is a party;

Persons directly related to or sharing a residence with any of the above;

Employees of the Commission, while employed as such; and

Persons ineligible to be licensed as Key Employees or Primary Management Officials.

CEO’s Duties

The CEO shall have the following duties:

(A) Hire, direct, and supervise. CNE’s. management team, which may include, but not be
limited to, persons who perform the duties and functions normally associated with a chief
operating officer, chief information officer, chief financial officer, chief legal officer,
chief compliance officer, and general managers of the Gaming Facilities, Surveillance
Department, and Related Enterprises, and indirectly supervise all CNE employees;

(B) Develop and implement policies and procedures for CNE to guide development, protect
Patrons, employees, and property, promote operational efficiency, reduce operating costs,
comply with relevant laws and regulations, and encourage growth of Net Gaming
Revenues and other income;

(C) Develop, approve, and present to the CBC, the annual operating budget for CNE in
accordance with Section 211 of this Ordinance and implement and manage such budget;

(D) Approve and enter into contracts and other agreements, in accordance with Section 208
of this Ordinance, on behalf of CNE, the Gaming Facilities, and/or Related Enterprises
and monitor and ensure the performance of such contracts and other agreements;

(E) Adopt personnel policies governing the employees of CNE;

(©) — Monitor and oversee CNE’s operations;

(G) Develop CNE’s organizational structure to enhance communication and optimize
performance;

COMANCHE NATION GAMING ORDINANCE
AS REVISED, CODIFIED, AND AMENDED Page 8 of 34

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Section 214,

(A)

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(G)

Removal of CEO

The CEO is not an at-will employee and may be removed from employment by the CBC
prior to the expiration of his/her respective term only for neglect of duty, misconduct,
malfeasance, or other acts that would render the CEO unqualified for his/her position.
When the CBC believes that a removal is appropriate, it shall notify the CEO, in writing,
setting forth the grounds for such removal and the date, time, and place of the hearing on
the matter, providing the CEO at least three (3) days’ advance notice.

Any allegations of neglect of duty, misconduct, malfeasance, or other acts that would
render the CEO unqualified for his/her position must be substantiated by a preponderance
of the evidence.

The CBC may opt to preliminarily remove the CEO pending the hearing for a period not
to exceed seven (7) days.

At the hearing, such CEO may have legal counsel present and shall be given an
opportunity to provide evidence rebutting the grounds for his/her removal before the
removal is voted upon.

A vote of the CBC on the appropriateness of removal shall be final and not subject to
further appeal.

A finding by the CBC that a preliminary removal was wrongful shall entitle the CEO to
compensation for expenses incurred in an appeal and any other compensation withheld.
The CEO shall have the right to appeal the removal to.the Tribal Court provided that a
notice of appeal is filed with the Tribal Court and the CBC within ten (10) days of the
hearing on removal. Upon. receipt of the notice of appeal, the CBC shall promptly file
the full record of the hearing with the Tribal Court. Failure to seek review of the CBC’s
removal within ten (10) days of the hearing shall constitute a waiver of all rights of
appeal and further shall deprive the Tribal Court of jurisdiction over the matter.

Sections 215-299 RESERVED

COMANCHE NATION GAMING ORDINANCE
AS REVISED, CODIFIED, AND AMENDED Page 11 of 34

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