RESOLUTION

of the

WINNEBAGO TRIBE OF NEBRASKA

Resolution # 94-46

WHEREAS, the Winnebago Tribe of Nebraska is a Federally

recognized Indian Tribe organized pursuant to Section

L4,~.ftkir1~jttof June 18, 1934 (48 Stat 984)

RF~293s~1~4) as amended by the Act of June 15, 1935

(49 Stat 378), and

L.JHEREAS,94 ~15ar~2tdQ Article IV, Section 1(q) of the Tribal

Constitution, and its inherent powers of

~lAs~lf9ove~ment,

~

the Tribal Council has the power to,

and enforce statutes,

governing the conduct of persons located within or

passing through the reservation and providing for

maintenance of law and order and the administration of

justice, and

WHEREAS, pursuant to the Tribal Constitution the Tribal Council

adopted Title Nine of the Winnebago Tribal Code known

as Winnebago Tribe of Nebraska Gaming Code, as Amended

and Restated on January 17, 1994, and the Tribal

Council wishes to amend the aforesaid code,

NOW, THEREFORE, BE IT RESOLVED, that the Tribal Council adopts as

amended in the attached pages the sections of

the Winnebago Tribe of Nebraska Gaming Code, as Amended

and Restated on January 17. 1994 enumerated below, and

BE IT FURTHER RESOLVED, that changes in the aforesaid attached

pages that effect a change only in capitalization are

not to be considered amendments as they affect the

codification of this Winnebago Tribe of Nebraska

Gaming Code, as Amended and Restated on January 17,

1994 and that the amended sections are as follows:

9-101 Definitions; 9-104 Application of Gaming Revenues; 9-106

Management Authorized; 9-107 Governing Laws; 9-207 Monthly Reports;

9-212 Financial Interest Prohibited; 9-302 Facility License;

9-303 Operators License; 9-305 a Licensing of Employees and Key

Employees; 9-314 License Application Fee; 9-315 Background

Investigations; 9-317 Forwarding Applications and Reports to the

National Commission; 9-319 Granting a Gaming License; 9511

Surveillance; 9-602 Tribal Jurisdiction; 9--603 Prohibited Acts;

9-604 Criminal Violations; 9-605 Civil Violation; 9-607 Consent to

Jurisdiction; and 9-712 Right to Exclude or Remove.

:1~
,446

CERTIFICATION

We, the undersigned officers of the Winnebago Tribal Council,

certify that on the 7th day of February , 1994, at a meeting

duly convened~ the Winnebago Tribal Council voted to adopt the

above resolution by a vote of 5 for and 0 against, with 2

abstentions -

DATED THIS 7TH DAY OF FEBRUARY 1994.

CHAIRMAN, Winne~a~o Trib~l councri

ATTEST: -

SECRETARY,

.~/22~

Winnebago

~

Tribal Council

RECEIVED:

NTENE~NT, Winnebago Agency

2
GAMING CODE

Amended and Restated as of February 7, 1994

WINNEBAGO TRIBE OF NEBRASKA

February 7, 1994
Index

TITLE 9

GAMING

Amended and Restated as of February 7, 1994

ARTICLE 1

DEFINITIONS AND GENERAL PROVISIONS

Definitions 9-105 Distribution Limitation

Gaming Permitted 9-106 Management Authorized

Tribe as Sole Owner 9-107 Governing Laws

Application of Gaming Revenues 9-108 Purpose

ARTICLE 2

TRIBAL GAMING COMMISSION

9-201 Establishment and Composition

of Commission

Qualifications of Commissioners

9-208 Powers and Duties of the

Gaming Commission

9-209 Compensation and Expenses

Commission Budget

Commission Records

Financial Interest Prohibited

Rules

ARTICLE 3

LICENSING PROVISIONS

Required Licenses

Facility License

9-301

9-302

9-303 Operators License

9-304 Licensing of Key Employees

9-305a Distributor License

9-305b Machine License

9-306 Provisional License

9-307 Notification to National

Corn mission

9-308 Certification of Gaming Devices;

Seizure of Contraband

Authorized

9-309 Access to Premises and Records

9-310 All Information Confidential

9-311 Duration of Licenses

9-312 License Suspension; Revocation

9-313 Forms of Licenses

9-314 License Application Fee

9-315 Background Investigations

9-316 Eligibility Determination

9-317 Forwarding Applications and

Reports to the National

Devices; Commission

9-318 Report to the National

CommisSi Ofl

Canting a Gaming License

Application Forms

Burden of Proof

9-101

9-102

9-103

9-104

9-202

9-203

9-204

9-205

9-206

9-207

Meetings

Resignation

Removal

Commission Office

Monthly Reports

9-210

9-211

9-212

9-213

9-319

9-320

9-321

1
ARTICLE 4

CLASS II GAMING

9-401 Gaming Regulated

9-402 Games Authorized

ARTICLE 5

CLASS III GAMING

9-501 Gaming Regulated 9-507 Commission Rules

9-502 Games Authorizes 9-508 Right of Entry and Inspection

9-503 Gaming Rules 9-509 No Credit

9-504 Rules Displayed 9-510 Notification of Violations

9-505 Gaming Devices 9-511 Surveillance

9-506 Security

ARTICLE 6

VIOLATIONS & PENALTIES

9-601 Role of Tribal Prosecutor 9-606 Civil Penalties

9-602 Tribal Court Jurisdiction 9-607 Consent to Jurisdiction

9-603 Prohibited Acts 9-608 Civil Actions

9-604 Criminal Violations: Penalties 9-609 Administrative Hearings

9-605 Civil Violations 9-610 Agent for Service

ARTICLE 7

MISCELLANEOUS PROVISIONS

9-701 Sovereignty Not Waived 9-708 Repeal of Prior Law

9-702 Audits 9-709 Customer Disputes

9-703 Contracts Subject to Audit 9-710 Customer Rights Regarding

9-704 Public Safety Disputes

9-705 Unclaimed Winnings 9-711 Gaming Commission Action on

9-706 Saving Clause Customer Disputes

9-707 Short Title 9-712 Right to Exclude or Remove

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TITLE 9

GAMING

ARTICLE I

DEFINITIONS AND GENERAL PROVISIONS

9-101 Definitions 9-105 Distribution Limitation

9-102 Gaming Permitted 9-106 Management Authorized

9-103 Tribe as Sole Owner 9-107 Governing Laws

9-104 Application of Gaming Revenues 9-108 Purpose

9-101 Definitions The words and terms which are defined as follows shall have the

following meanings:

Applicant means any individual, partnership, corporation, joint venture

or other business enterprise seeking a License or renewal of a License

described in this Title Nine.

Chairman means the Chairman of the Gaming Commission of the

Winnebago Tribe of Nebraska.

Chairman of the National Commission means the Chairman of the

National Indian Gaming Commission.

Class H gaming means Class II gaming as defined in IGRA and 25 CFR

§502.3.

Class Ill gaming means the games that are defined in IGRA and 25 CFR

§502.4 or section 9-502 of this Title Nine.

Codemeans this Title Nine as amended, unless the context clearly indicates

that this reference is to the Code of the Winnebago Tribe of Nebraska.

Collateral Agreement means any contract, whether or not in writing, that is

related, either directly or indirectly, to a management contract, or to

any rights, duties or obligations created between the Tribe, any of its

members, entities or organizations and a management contractor or

any person or entity related to a management contractor or

subcontractor.

Commission means the Gaming Commission of the Winnebago Tribe of

Nebraska.

Commissioner means an individual member of the Commission.

Compact means the gaming Compact entered into between the tribe and

the state of Iowa pursuant to provisions of IGRA, including any

renewal, extension and amendment thereof, and/or such future

Compact as may be entered into between the tribe and the state of

Nebraska.

Contraband means any unlicensed Gaming Device or equipment.

1
Council or Tribal Council means the duly elected Tribal Council of the

Winnebago Tribe of Nebraska.

Facility License means a License issued by the Commission pursuant to

section 9-302 of this Title Nine.

Gaming means any Class II or Class HI gaming activity.

Gaming Device means any slot machine, mechanical, electronic, computer,

video, or other device that is activated by inserting coins, currency, or

tokens, and which upon activation displays randomly generated

symbols to indicate winning combinations, dispenses prizes and

collects gaming revenues, and any other game of chance, including any

equipment whose primary purpose is a component of a Class II or Class

ifi game of chance.

Gaming Operation means any tribally owned business enterprise whose

revenues are primarily derived from Gaming Licensed under this Title

Nine.

IGRA means the Indian Gaming Regulatory Act, P.L. 100-497. 25 U.S.C.

section 2701 et seq., as amended from time to time.

Key Employee means any primary management official (who is not

considered an Operator), subcontractor, manager or employee of a

Gaming Operation who: (i) is a department manager, (ii) is accountable

for gaming revenues or payouts, (iii) is a caller, dealer or operator of a

game, (iv) has access to the internal space of any Gaming Device, (v) is

responsible for auditing, surveillance, security, hiring and terminating

employees, or develops work policies in a Gaming Operation, (vi)

receives annual compensation in an amount over $25,000, or (vii) is

defined as a Key Employee by IGRA, and 25 CFR §502.14.

License means a revocable privilege granted for a limited period of time by

the Commission, pursuant to this Title Nine to a person or entity to

perform certain acts. The issuance of a License shall not create for the

benefit of a Licensee a property or liberty interest in the License.

Licensee means any person who holds a current License issued by the

Commission.

National Commission or NIGC means the National Indian Gaming

Commission created pursuant to IGRA.

Net revenues means the gross revenues of a Gaming Operation less

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

excluding management fees.

Operator means any Person having a direct or indirect financial interest in

a management contract with the Tribe as defined by 25 CFR §502.17..

Participant means any individual who places a bet or wager or who

otherwise participates in any gaming activity.

Person means any individual, partnership, corporation, joint venture or

other business entity.

Player means a participant

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Rules means the gaming Rules promulgated by the Winnebago Gaming

Commission and approved by the Council in accordance with this Title

Nine.

Reservation means all land within the exterior boundaries of the

reservation of the Winnebago tribe and all lands held in trust by the

United States for the benefit of the tribe or held by the tribe or any

individual subject to restriction by the United States for the benefit of

the tribe or held by the tribe or any individual subject to restriction by

the United States against alienation and over which the tribe exercises

governmental authority, including lands meeting the foregoing

description which may be acquired by the tribe after the enactment of

this Title Nine and which meet the requirements of 25 U.S.C. Section

2719.

Tribal means of or belonging to the Winnebago tribe.

Tribal court means the trial court of the Winnebago tribe known as the

Winnebago Tribal Court created pursuant to the Constitution of the

Winnebago tribe.

Tribe or Winnebago Tribe means the Winnebago Tribe of Nebraska, its

authorized agents, officials, and representatives.

9-102 Gaming Permitted Only those games described in Article Five of this Title

Nine are authorized to be conducted on the reservation, provided such games are

conducted in accordance with and only by persons duly licensed under this Title

Nine. All other forms of gaming on the reservation are prohibited. Participants

and other persons promoting or in any way participating in any form of

unauthorized gaming are subject to the penalties set forth in Article Six of this Title

Nine.

9-103 Tribe as Sole Owner The tribe shall have the sole proprietary interest in and

responsibility for the conduct of all gaming occurring on the reservation.

9-104 Application of Gaming Revenues The net revenues of the tribe derived

from any authorized Gaming Operation may be used for the following purposes

only:

1. to fund tribal government operations or programs;

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

3. to promote the economic development of the Winnebago tribe;

4. to donate to charitable organizations designated by the Council pursuant to a

resolution;

5. to help fund operations of local government agencies; and

6. to make per capita payments to members of the Winnebago tribe, provided

such payments are made pursuant to a plan (i) adopted by resolution of the

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Council (ii) meeting the requirements of IGRA and (iii) approved in writing

by the Secretary of the Interior.

9-105 Distribution Limitation In the event the Council adopts a plan meeting the

requirements of section 9-104 (6), above, no more than sixty percent of the monthly net revenue derived from gaming on the reservation may be distributed pursuant

to such plan.

9-106 Management Authorized The Council may select managers and/or

operators to conduct the gaming authorized by this Title Nine and may delegate to

such individuals by contract such management and operating responsibilities as the

Council deems prudent from a business perspective; provided, however, if any

management or operators contract is inconsistent with applicable provisions of

IGRA, the Compact, or this Code then the respective provisions of IGRA, the

Compact, or this Code shall govern.

9-107 Governing Laws All gaming conducted on the reservation shall be

conducted in conformance with the Compact, the laws of the Winnebago tribe and

other applicable laws.

9-108 Purpose It is the purpose of this Title Nine to (i) authorize and regulate

gaming on the reservation as a means of promoting tribal economic development,

self sufficiency, and strong tribal government; (ii) provide a regulatory structure for

authorized gaming that will assure its fair, safe and honest operation; and (iii)

ensure that the tribe is the primary beneficiary of any gaming activity conducted on

the reservation.

ARTICLE 2

TRIBAL GAMING COMMISSION

9-201 Establishment and Composition 9-208 Powers and Duties of the

of Commission Gaming Commission

9-202 Qualifications of Commissioners 9-209 Compensation and Expenses

9-203 Meetings 9-210 Commission Budget

9-204 Resignation 9-211 Commission Records

9-205 Removal 9-212 Financial Interest Prohibited

9-206 Commission Office 9-213 Rules

9-207 Monthly Reports

9-201 Establishment and Composition of Commission

1. There is hereby established a Tribal Gaming Commission of the Winnebago

Tribe of Nebraska.

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2. The Commission shall be an agency of the Winnebago tribe, subordinate to

the Council, possessing all powers set forth in this Title Nine, and such other

powers as are now or hereafter determined by law.

3. The gaming Commission shall consist of five voting members, who shall be

appointed by the Council. From the five members, the Council shall appoint a Chairman and a vice-chairman. A minimum of three members of the

gaming Commission must be enrolled members of the Winnebago tribe.

4. Of the initial members of the Commission, the Chairman shall serve for two

years and the vice-chairman shall serve for one year. Each of the three

remaining members shall be appointed to serve, respectively, one, two, and

three year terms. All subsequent terms shall be three years.

5. If any Commissioner is removed by the Council, resigns, dies, or for any

reason becomes unable to continue serving on the Commission, the Council

shall appoint a person to fill such vacancy. Such appointment shall be for the

balance of the unexpired term of the Commissioner being replaced.

9-202 Qualifications of Commissioners

1. No individual shall be appointed to serve on the gaming Commission who:

A. has been convicted of a felony or gaming offense; or

B. has any financial interest in, or management responsibility for, any

gaming activity on or off the reservation.

2. An individual may not serve on the gaming Commission unless she/he

meets the following qualifications:

A. is over twenty-one years of age; and

B. meets the licensing requirements of section 9-303 of this Title Nine.

9-203 Meetings The Commission shall meet as often as is necessary to carry out the

responsibilities set forth in this Title Nine. The Chairman shall preside over all

meetings; provided however, that the vice-chairman shall preside in the

Chairmans absence. The Commissioners shall annually select a secretary and a

treasurer from among their membership. Three members of the gaming

Commission shall constitute a quorum for the purpose of conducting the business

of the Commission. All official decisions of the Commission shall be by majority vote.

9-204 Resignation Any Commissioner may resign his/her position by submitting a

written resignation to the Council. Such resignation shall be effective upon receipt.

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9-205 Removal By Council resolution, the Council may remove any

Commissioner for any of the following reasons:

1. failure to perform any Council directive or task;

2. failure to carry out duty or responsibility set forth in this Title Nine or the

Rules;

3. failure to comply with any provision of this Title Nine or the Rules;

4. misconduct in office; or

5. serious inefficiency or neglect of duty.

9-206 Commission Office The Council shall provide the Commission with office

space on the reservation and shall also make available to the Commission such

support staff, office supplies, and equipment as is necessary for the Commission to

fulfill its purpose.

9-207 Monthly Reports On or about the fifteenth day of each calendar month, the

Chairman of the Commission shall present a written report to the Council, which

report shall summarize the activities of the Commission during the previous thirtyday period, including but not limited to: (i) the number and types of Licenses issued

and to whom; (ii) a summary of any completed background investigations; (iii) an

accounting of the Commissions expenditures; and (iv) a summary of all official

actions taken by the Commission.

9-208 Powers and Duties of the Gaming Commission The Council delegates to the

Gaming Commission the following powers:

1. to monitor all gaming activities on the reservation on a continuing basis;

2. to enforce or cause to be enforced all tribal laws, directives, Rules and

resolutions pertaining to gaming;

3. to enforce or cause to be enforced all federal and state laws specifically

applicable to gaming on the reservation;

4. to monitor compliance with any Compact;

5. to monitor compliance by a manager or operator with the terms of an

applicable management agreement and any collateral documents;

6. to notify the Council of any act of non-compliance or illegality under (2), (3),

(4), or (5) above;

7. to conduct background investigations or to cause such investigations to be

conducted in order to issue tribal gaming Licenses in accordance with Article

Three of this Title Nine and to impose, rescind or reduce civil penalties for

breach of this Code or Rules of the Commission;

8. to grant, suspend and revoke Licenses pursuant to section 9-312;

9. to investigate the background, activities and conduct of all Licensees;

10. to certify Gaming Devices in accordance with section 9-305 b and 9-308;

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11. to draft Rules as it deems appropriate or necessary to implement the

provisions of this Title Nine, and to present such Rules to the Council for

approval and adoption by tribal resolution;

12. to seize as contraband any Gaming Device that is not certified pursuant to

section 9-308;

13. to specify the payout from all authorized gaming and the payout rate for all

Gaming Devices;

14. to control all surveillance activities;

15. to hold administrative hearings, and to promulgate Rules under which such

hearing may be conducted;

16. to issue subpoenas;

17. to demand and obtain complete access to all buildings, offices, records,

personnel and equipment relating to the Gaming Operation;

18. to take all other action necessary or appropriate in order to carry out the

duties set forth in this Title Nine.

9-209 Compensation and Expenses

1. No member of the gaming Commission shall receive a salary or any other

compensation for his/her time except as specifically provided by resolution of

the Council.

2. All members of the gaming Commission shall be reimbursed by the tribe in

accordance with current tribal policy for all travel, subsistence, and other

necessary expenses incurred by them in performance of their duties.

9-210 Commission Budget The Council shall, to the extent feasible, make available

to the Commission such funds as are reasonably necessary in order for the

Commission to fulfill its purposes. On or before July 1 of each year, the

Commission shall prepare an annual operating budget and submit such budget to

the Council for approval.

9-211 Commission Records The Commission shall keep and maintain accurate,

complete and detailed records of its activities, which records shall be made available

to the Council on demand. Apart from access by the Council, all Commission

records, with the exception of public reports, and transcripts of public proceedings,

shall be confidential.

9-212 Financial Interest Prohibited No Commissioner nor member of his/her

immediate family shall have any financial interest in the gaming regulated by the

Commission other than the financial interest enjoyed equally by all tribal members

and shall not have any financial interest in any business supplying equipment or

services for authorized gaming. For purposes of this section, immediate family

means a Commissioner spouse and the father, mother, brother, sister, child or

stepchild of the Commissioner or the Commissioners spouse. For purposes of this

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Section 9-212, financial interest does not include any interest held by an employee

of the Gaming Operation by virtue of their employment.

9-213 Rules All Rules provided for under this Title Nine shall be drafted by the

Commission with the assistance and advice of legal counsel, and presented to the

Council for discussion, possible revision, and approval. All Rules shall be adopted

by the Council by resolution and shall, in conjunction with the provisions of this

Title Nine, constitute the body of the gaming laws of the tribe and shall be made

available to the tribal membership and such other persons as the Commission

deems entitled thereto.

ARTICLE 3

LICENSING PROVISIONS

9-301 Required Licenses 9-311 Duration of Licenses

9-302 Facility License 9-312 License Suspension; Revocation

9-303 Operators License 9-313 Forms of Licenses

9-304 Licensing of Key Employees 9-314 License Application Fee

9-305a Distributor License 9-315 Background Investigations

9-305b Machine License 9-316 Eligibility Determination

9-306 Provisional License 9-317 Forwarding Applications and

9-307 Notification to National Reports to the National

Commission Devices; Commission

9-308 Certification of Gaming Devices; 9-318 Report to the National

Seizure of Contraband Commission

Authorized 9-319 Canting a Gaming License

9-309 Access to Premises and Records 9-320 Application Forms

9-310 All Information Confidential 9-321 Burden of Proof

9-301 Required Licenses No gaming facility operator, key employee, or any

employee the Commission deems subject to employee licensing procedures, may

operate, conduct or be employed as an employee in a Gaming Operation on the

reservation without first obtaining a License in accordance with this Article Three.

The following types of Licenses are authorized and may be issued by the

Commission upon satisfaction of the respective conditions set forth herein:

1. Facility License;

2. Operators License;

3. Employee License;

4. Distributor License;

5. Machine License.

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9-302 Facility License The Commission may issue a Facility License for each facility

where gaming is conducted to an Applicant who has completed an application and

has, with respect to the physical structure in question, fulfilled the following

conditions:

1. the structure is a sound physical structure with adequate and safe plumbing,

electrical, heating, cooling and ventilation systems in place and operational;

2. the structure has been inspected and approved for safety by a building and fire

inspector designated by the Council;

3. the structure is adequate in all respects to accommodate the Gaming intended

to be carried out within the structure;

4. the structure is equipped with security and surveillance equipment meeting

or exceeding provisions set forth in the Compact and in this Title Nine;

5. in the judgment of the Commission the structure meets alirequirements of

applicable federal, tribal and state laws; and

6. in the judgment of the Commission, the structure, from an aesthetic and

functional perspective, would be an attribute to the reservation.

7. all applicable Commission fees have been paid.

9-303 Operators License The Commission may issue an Operators License to an

Applicant intending to manage (including an Applicant for the position of the

general manager of the Gaming Operation), operate or invest in a gaming facility on

the reservation provided that all of the criteria under this section have been met.

Under this section, each individual with a direct or indirect financial interest in an

Applicant entity seeking to qualify as an Operator, and each person with a

management interest in such an Applicant entity, must also apply for and obtain an

Operator license, in order for the Applicant entity to qualify for such a License. If the

Applicant is an entity, such Applicant may be required to submit a separate

application.

1. The Applicant has submitted to the Commission a completed application

containing the following information:

A. name;

B. date of birth;

C. social security number;

D. physical description;

E. the Applicants residence since age eighteen;

F. the Applicants employment history since age eighteen;

G. the Applicants criminal history, including major traffic offenses,

including the date, place, details surrounding any arrest or charges, and

the disposition of any charges filed;

H. whether the Applicant has ever held a professional or occupational

License issued by any state, the type of License, the License number, and

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the details surrounding any suspension, revocation, or other

disciplinary action based on the License, and if the License is not

current, the reason it is not current;

I. whether the Applicant has ever held a gaming-related License issued

by any jurisdiction, the jurisdiction in which the License was issued,

the type of License, the License number, the details surrounding any

suspension, revocation or other disciplinary action taken based on the

License, and if not current, the reason it is not current;

J. whether the Applicant has ever had any experience related to any

agreement with any gambling operation, the exact nature of the

Applicants role in the operation, the name and address of all parties to

the agreement, the place the agreement was performed, and the dates

covered by the agreement;

K. a complete financial statement of the Applicant;

L. the Applicants commitment to provide any additional information as

may be required by the Commission;

M. the Applicants sworn statement that all information submitted to the

Commission is true and accurate; and

N. any other information which the Commission may require.

2. The Commission has obtained a set of fingerprints.

3. The Applicant has submitted a current photograph along with the completed

application.

4. The Applicant is at least eighteen years of age.

5. The Applicant is not employed in any part or full-time employment with a

government or private employer in any capacity which would create a

conflict of interest between his/her employment and the interests and

objectives of the Licensed employment.

6. The Applicant has never been convicted of: (1) any gambling-related offense,

(2) any offense involving fraud, misrepresentation or deception. The

Applicant has not been convicted within the last ten years of any felony or

drug-related offense.

7. The Applicant is qualified, by experience or otherwise, to perform the duties

required.

8. The Applicant has agreed to comply with the terms of the Compact and all

tribal, state and federal laws applicable to gaming on the reservation.

9. A background investigation requested by the Commission verifying the

truthfulness of the information provided by the Applicant to the

Commission has been completed, and such investigation indicates that the

Applicant is eligible for licensure so that a determination can made under

section 9-316.

10. The Council has, by resolution, approved the issuance of such License to the

Applicant.

11. The Applicant has paid all applicable Commission fees.

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12. The Applicant has submitted a written report detailing all compensation

received pursuant to a management agreement with the Tribe.

13. The Applicant has submitted a written report detailing the amount invested

to developany project contemplated under a management agreement or any

Collateral Agreement with the Tribe.

14. The Applicant has submitted a written report disclosing all Collateral

Agreements and providing copies thereof.

9-304 Licensing of Employees and Key Employees The Commission may issue an

employee License to any employee or Key Employee meeting the requirements set

forth in section 9-303 (1) through (9) and (11) above.

9-305a License for Distributor and Suppliers Any person, organization, or entity

(including those who hold valid operator Licenses) selling, leasing, or otherwise

distributing or supplying gambling equipment or video games of chance to the

Tribe, shall be required to obtain a distributor License by meeting the requirements

set forth in 9-303(1) through (9) and (Ii) above.

9-305b Machine Licenses Any person, organization, or entity applying for a Facility

License, or an Operators License where applicable, must obtain from the Gaming

Commission an annual non-transferable License for each video game of chance or

slot machine to be placed in a gaming facility operating under the provisions of this

Code.

An application for a video game of chance or slot machine shall contain the

following information:

1. The name and address of the Applicant with proof of a current and valid

distributor, operator, or manufacturer License issued by a state or the

Winnebago Tribe of Nebraska;

2. Identification numbers or codes for each video game of chance or slot

machine placed in a tribal gaming enterprise, including the manufacturer, the

serial number and the model number;

3. Proof of approval and certification of the machine by an approved gaming test

laboratory or proof that the video game of chance or slot machine conforms

precisely to the exact specification of the video game of chance or slot

machine prototype tested and approved by a gaming test laboratory;

4. Any other information required by the Tribal-State Compact on VideoGames

of Chance or Slot Machines or the Rules of the Commission;

5. Upon issuance, the Gaming Commission shall have attached to each video

game of chance or slot machine Licensed under the provisions of this Code

an unremovable identification plate/sticker on the exterior cabinet which

shall contain a Commission identification number.

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9-306 Provisional License Upon submission of a complete License application and

pending the completion of background investigation, the Commission may issue a

provisional employment License to an employee or Key Employee. A provisional

employee License may be valid for up to six months. A management contractor

may receive a Provisional Operators License for a period of up to six months

provided that the management contractor is Licensed in a capacity substantially

similar to the position of a management contractor by the state of Nevada, New

Jersey or South Dakota. A provisional License shall expire unless an annual License

is issued by the Commission on or before a date no more than 180 days from the

date of issue of the provisional License.

9-307 Notification to National Commission

1. The results of all background investigations performed by or on behalf of the

Commission relating to the issuance of the Licenses described in sections 9-

303 and 9-304 of this Title Nine shall be submitted to the National

Commission prior to the issuance of the applicable License and in accordance

with section 9-317.

2. The National Commission shall be promptly notified by the tribe of the

issuance of any License described in section 9-303 or 9-304 of this Title Nine,

and of any action taken to suspend or revoke any such License or to impose

civil penalties upon any Licensee.

9-308 Certification of Gaming Devices; Seizure of Contraband Authorized No

Gaming Device shall be operated on the reservation until it has been certified by the

Commission as meeting the requirements of the Compact, this Title Nine, and the

Rules. The Commission shall maintain a complete listing of all certified Gaming

Devices, including an accurate description of each such device. Any device operated

without such certification shall be deemed to be Contraband and shall be subject to

seizure by the Commission pending a hearing pursuant to the Rules. Any Gaming

Device found to be contraband after a hearing shall be forfeited and may be disposed

of or destroyed by the Commission as it sees fit; the owner of any such Device shall

not be entitled to any compensation for the seizure, and may be subject to civil

penalties as provided by this Title Nine and the Rules.

9-309 Access to Premises and Records No Applicant or Licensee or his/her

employee or agent may refuse the Commission, in the course of official business,

access to any Gaming Operation or may neglect or refuse to produce records or

evidence or to give information on lawful demand by a Commissioner or may

otherwise interfere with lawful efforts by the Commission to produce such

information.

9-310 All Information Confidential The Commission shall maintain as

confidential information all information provided by an Applicant during the

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licensing procedure; provided however, that the Commission may disclose any

information as is necessary to make appropriate reports to the Tribe, the National

Commission, other gaming regulatory bodies and to otherwise carry out the

provisions of this Title Nine and the Rules.

9-311 Duration of Licenses Any License issued 365 days or more prior to the

effective date of this Code is renewable immediately, and shall expire, as provided in

this Section 9-311, absent timely delivery to the Commission of a complete

Application for renewal. Any License which expires or becomes renewable pursuant

to this Code shall, upon timely submission of a complete Application, be deemed to

be a Provisional License, and shall be effective for 180 days as of the date of

enactment of this Code or issuance of an Annual License. Any License issued less

than 364 days before the effective date of this Code shall expire 365 days from the

date of issuance, absent approval of a renewal Application, or the issuance of a

Provisional License, on or before the expiration date. The Commission may receive

renewal applications, conduct investigations, and make a final determination

regarding each category of License or individual in the order the Commission

deems appropriate. All Licenses issued pursuant to this Code, and each renewal

thereof, shall be valid for a period no longer than one year and must be renewed on

or before the anniversary of the date of the Licenses issuance.

1. A Facility License issued more than 364 days prior to the effective date of this

Code is renewable immediately, and shall expire, absent delivery to the

Commission of a completed Application for renewal within one hundred

and twenty (120) days of the effective date of this Code; provided however, a

facility License may be immediately suspended or revoked by the

Commission upon determination, following inspection, that the facility no

longer meets the requirements set forth in section 9-302.

2. An Operators License issued more than 364 days prior to the effective date of

this Code is renewable immediately, and shall expire, absent delivery to the

Commission of a completed Application for renewal within thirty (30) days of

the effective date of this Code.

3. An Employee License issued more than 364 days prior to the effective date of

this Code is renewable immediately, and shall expire, absent delivery to the

Commission of a completed Application for renewal within ninety (90) days

of the effective date of this Code.

4. A Distributors License issued more than 364 days prior to the effective date of

this Code is renewable immediately, and shall expire, absent delivery to the

Commission of a completed Application for renewal within ninety (90) days

of the effective date of this Code.

5. A Machine License issued more than 364 days prior to the effective date of

this Code is renewable immediately, and shall expire, absent delivery to the

Commission of a completed Application for renewal within thirty (30) days of

the effective date of this Code.

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9-312 License Suspension: Revocation

1. The Commission may revoke or suspend the License of any Licensee who is

charged with a Class H or a Class m Offense under the tribal code.

2. The Commission shall immediately suspend the License of any Licensee who

is charged with a Class I Offense under the tribal code. If convicted of such

charge, such License shall be revoked with no opportunity for reinstatement.

The Commission shall draft Rules implementing this section which assure

the due process and equal protection rights of Licensees.

3. The Commission shall honor the suspension of any occupational License of

any person currently under suspension or in bad standing in any other

gambling jurisdiction in the United States.

4. The Commission may revoke or suspend the License of any Licensee who

fails to follow a Commission directive or becomes subject to any civil penalty

under this Title Nine.

5. The Commission may revoke or suspend the License of any Licensee who

fails to comply with any aspect of this Title or the Rules, and may impose

civil penalties as provided by this Title and the Rules.

6. The Commission may revoke or suspend the License of any Licensee who

fails to comply with any Winnebago Tribe of Nebraska Tribal Court order.

7. The Commission may rescind or reduce penalties, including the

reinstatement of suspended or revoked Licenses, but only after the reason for

such suspension, revocation, or penalties has been cured.

9-313 Forms of Licenses The Commission shall establish the standard form and

content of all Applications, Licenses and certificates authorized under this Article

Three.

9-314 License Application Fee Each application for an initial or renewal License

shall be accompanied by payment of a non-refundable License fee. The Gaming

Commissions imposition of the License fee properly owed under this Code shall be

final. No License fee may be considered an operating expense of a Gaming

Operation. This fee is imposed for the revocable privilege of being Licensed to

engage in public Gaming activities within the jurisdiction of the Tribe. All License

fees collected under authority of the Gaming Code shall be paid to the Treasurer of

the Tribe and the Treasurer shall place them in a separate account to be applied to

expenses incurred by the Gaming Commission from the enforcement of this Code.

The Gaming Commission, in its sole discretion, may waive or reduce any License

application fee. The License application fees are as follows:

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1. Facility License $25,000.00

2. Operators License 1,000.00

3. Employee/Key Employee License 50.00

4. Distributor/Supplier License 500.00

5. Machine License 150.00

9-315 Background Investigations All Applicants for an Operators License

including any person having a direct or indirect financial interest in the holders of

any management contract and their spouses, are subject to a complete background

investigation. This requirement is in addition to the background investigation

required for a Key Employee. The cost of such investigation is in addition to the

application fee for an Operators License and is payable by the Applicant and shall

not be considered an operating expense of a Gaming Operation. If an Applicant

refuses to cooperate with the Commission in any way concerning the background

investigation, it shall be within the Commissions authority to decline to issue a

License, to suspend or revoke an existing License and/or to subject the Applicant to

appropriate civil penalties authorized under this Title Nine. The results of

background investigations shall be made available to the National Commission in

accordance with the procedures provided under this Title Nine.

9-316 Eligibility Determination The Commission shall review an Applicants prior

activities, criminal record, if any, and reputation, habits and associations to make a

finding concerning the eligibility of an Applicant for a License as a Key Employee or

Operator. If the Commission determines that employment of the person poses a

threat to the public interest or to the effective regulation of gaming, or creates or

enhances dangers of unsuitable, unfair, or illegal practices and methods and

activities in the conduct of gaming, the License Application shall be denied and no

Tribal Gaming Operation shall employ that person.

9-317 Forwarding Applications and Reports to the National Commission

1. After a preliminary determination of Eligibility has been made regarding

Applicants for Key Employee or Operator Licenses, and Provisional Licenses

have been issued, the Commission shall forward to the National

Commission the completed Applications and investigation reports as

required by 25 CFR §558.3 (a) (1).

2. The Commission shall expeditiously conduct background investigations and

reports referred to in section 9-318 to the National Commission within 60

days after an employee begins work as required by 25 CFR §558.3 (a) (2) and

§558.3 (b).

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3. The Gaming Operation shall not employ as a Key Employee or Operator a

person who does not have a License 90 days after the issuance of a provisional

license.

9-318 Report to the National Commission

1. Pursuant to the procedures set out in section 9-317, the Commission shall

prepare and forward to the National Commission an investigative report on

each background investigation. An investigative report shall include all of

the following:

a. Steps taken in conducting a background investigation;

b. Results obtained;

c. Conclusions reached; and

d. The basis for those conclusions

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

determination made under Section 9-316

3. If a License is not issued to an Applicant, the Commission shall forward

copies of its eligibility determination and investigation report (if any) to the

National Commission.

4. With respect to Key Employees and Operators, the Commission shall retain

applications for employment and reports (if any) of background

investigations for inspection by the Chairman of the National Commission

or his or her designee for no less than three years from the date of

termination of employment or submission of the Application, whichever is

longer.

9-319 Granting a Gaming License

1. If, within a thirty day period after the National Commission receives a report,

the National Commission notifies the Tribe that it has no objection to the

issuance of a License pursuant to a License application filed by a Key

Employee or an Operator for whom the Commission has provided an

application and investigative reports to the National Commission, the Tribe

may issue a License to such Applicant. No License shall be valid for longer

than 365 calendar days from the date of issue.

2. The Commission shall respond to a request for additional information from

the Chairman of the National Commission concerning a Key Employee or

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

day period under subsection (1) of this section until the Chairman of the

National Commission receives the additional information.

3. If, within the thirty day period described above, the National Commission

provides the Tribe with a statement itemizing objections to the issuance of a

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License to a Key Employee or to an Operator for whom the Commission has

provided an application and investigative report to the National

Commission, the Commission shall reconsider the application, taking into

account the objections itemized by the National Commission. The

Commission shall make the final decision regarding the Application for the

License.

9-320 Application Forms The following privacy notice shall be placed on the

application form for a Key Employee or Operator before that form is filled out by an

Applicant:

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

provided: Solicitation of the information on this form is authorized by 25 U.S.C.

2701 et seq. The purpose of the requested information is to determine the eligibility

of individuals to be employed in a gaming operation. The information will be used

by National Commission members and staff who have need for the information in

the performance of their official duties. The information may be disclosed to

appropriate Federal, 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 National

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

revocation of a gaming License, or investigations of activities while associated with

a tribe or gaming operation. Failure to consent to the disclosures indicated in this

notice will result in a tribes being unable to hire you in a primary management

official or key employee position.

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

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

application.

1. Existing Key Employees and Operators shall be notified in writing within

thirty days of the effective date of this amended and restated, Title Nine, that

they shall either:

a. Complete a new application form that contains a Privacy Act notice; or

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

routine uses described in that notice.

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

Employee or a Operator before that form is filled out by an Applicant:

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

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

by fine or imprisonment. (U.S. Code, title 18, section 1001).

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3. The Tribe shall notify in writing existing Key Employees and Operators that

they shall either:

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

statements; or

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

9-321 Burden of Proof The Licensee or Applicant shall bear the affirmative

responsibility to show by clear and convincing evidence that the individual

qualifications of the Licensee or Applicant meets all of the requirements of this Title

Nine and the Rules.

ARTICLE 4

CLASS II GAMING

9-401 Gaming Regulated

9-402 Games Authorized

9-401 Gaming Regulated All Class II gaming, as defined by IGRA, 25 U.S.C. §

2703(7), conducted on the reservation shall be conducted only in Licensed Gaming

Operations by Licensees. The Commission shall monitor all such activities for

compliance with this Title and the rules promulgated hereunder, where applicable.

9-402 Games Authorized Only those games that are defined by IGRA 25 U.S.C. §

2703 (7), shall be authorized and shall, collectively, constitute Class II gaming for

purposes of this Title.

ARTICLE 5

CLASS III GAMING

9-501 Gaming Regulated 9-507 Commission Rules

9-502 Games Authorizes 9-508 Right of Entry and Inspection

9-503 Gaming Rules 9-509 No Credit

9-504 Rules Displayed 9-510 Notification of Violations

9-505 Gaming Devices 9-511 Surveillance

9-506 Security

9-501 Gaming Regulated All Class III gaming conducted on the reservation shall

be conducted only in Licensed Gaming Operations by Licensees. The Commission

shall monitor all such activities for compliance with the Compact, this Title Nine

and the Rules promulgated hereunder.

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9-502 Games Authorized Only those games that are authorized under the terms of

an applicable Compact shall be conducted on the reservation. Such authorized

games shall, collectively, constitute Class ifi gaming for purposes of this Title

Nine.

9-503 Gaming Rules Any Licensee intending to conduct Class III gaming on the

reservation shall, prior to conducting any such gaming, submit a complete list of the

proposed games, along with comprehensive Rules of play pertaining to each such

game, to the Commission for approval. All approved games shall be conducted

only in compliance with the Rules approved by the Commission.

9-504 Rules Displayed The Rules of each authorized game conducted on the

reservation must be clearly displayed for public view at or near the place where such

game is being conducted.

9-505 Gaming Devices No Gaming Device may be operated on the reservation

without prior certification by the Commission in accordance with Article Three of

this Title Nine.

9-506 Security The Commission shall, by Rules, draft standards and procedures for

security of all gaming activity.

9-507 Commission Rules All gaming shall be conducted in compliance with this

Title Nine and the Rules promulgated hereunder, including:

1. the imposition and enforcement of applicable wager and loss limit;

2. the operation of all Class III gaming activities;

3. accounting and cash control procedures for all tribal Gaming Operations;

4. security and surveillance standards for all gaming facilities; and

5. the conduct of inspections, investigations and enforcement actions of the

Commission.

9-508 Right of Entry and Inspection The Commission, or its agents, shall have the

right and authority at any time to enter upon any premises where any Gaming is

being conducted and inspect any records, equipment and Gaming Devices contained

in such areas. Such right of entry and inspection shall include the right to enter and

obtain access to any area within the Gaming Operation, including all offices, record

storage areas and cabinets, computer systems, and computer back-up storage.

Accurate duplicate records shall be delivered to the Commission as it may direct.

Access to computer or other data related to the Gaming Operation may be restricted

by directive of the Commission.

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9-509 No Credit No Ucensee shall make or provide a loan or credit of any kind to

any participant; provided however, nothing contained herein shall prevent the

acceptance of personal checks and credit cards.

9-510 Notification of Violations A Licensee shall, immediately upon discovery,

notify a Commissioner of any violation or suspected violation of any provision of

this Title Nine or the Rules.

9-511 Surveillance In order to insure the integrity of Gaming, the Commission

shall have complete authority over all aspects of the surveillance of the Gaming

Operation. Such authority shall include the power to appoint a surveillance

manager, who shall manage the surveillance department at the direction of the

Commission. The surveillance manager shall report directly to the Commission.

The surveillance managers salary and the surveillance departments budget shall be

an operating expense of the Gaming Operation. The Commission shall prescribe by

Rule the duties and authority of the surveillance manager.

ARTICLE 6

VIOLATIONS & PENALTIES

9-601 Role of Tribal Prosecutor 9-606 Civil Penalties

9-602 Tribal Court Jurisdiction 9-607 Consent to Jurisdiction

9-603 Prohibited Acts 9-608 Civil Actions

9-604 Criminal Violations: Penalties 9-609 Administrative Hearings

9-605 Civil Violations 9-610 Agent for Service

9-601 Role of Tribal Prosecutor The prosecutor of the Winnebago tribe shall, on

behalf of the Winnebago tribe, prosecute all criminal violations set forth in this

Title Nine involving a perpetrator over whom the tribe has jurisdiction. The

prosecutor may enforce any civil violations imposed under this Title Nine.

9-602 Tribal Court jurisdiction The tribal court shall have civil and criminal

jurisdiction over all matters arising under this Code or Rules promulgated

thereunder, whether authorized or unauthorized, occurring on the reservation;

provided however, that this Title Nine is intended only to provide for the

jurisdiction of the tribal court as is consistent hereunder.

A. A Licensee may appeal a ruling of the Commission following an evidentiary

hearing by filing a notice of appeal with the Commission within thirty (30)

days of the date of the issuance of the initial ruling.

B. Any Licensee who has exhausted the administrative remedies set forth in

Commission Rules 301.14 and 301.15, may, within 30 days of the date of the

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Commission action, file an appeal to the Winnebago Tribal Court. The

Commission shall certify the hearing record to the Court within 30 days of the

date of the filing of the appeal. The Tribal Court shall review the case on the

findings of fact as they appear on the record of the Commission hearing.

Decisions of the Commission interpreting applicable law shall be affirmed

unless the Tribal Court finds that the Commissions action was arbitrary and

capricious.

9-603 Prohibited Acts In addition to other civil and criminal acts that may be

regulated or prohibited under the tribal code or applicable federal law, the following

shall constitute prohibited activities under this Title Nine and shall be subject to the

penalties set forth in section 9-604 and 9-606 below:

1. tampering with any Gaming Device or taking any action intended to alter the

normal play of any Licensed game, including attempts to communicate or

signal another party in a manner which is intended to alter the normal play

of any Licensed game;

2. defrauding the Tribe, any Licensee or participant in any Licensed Gaming;

3. knowingly permitting any individual under the age of eighteen to participate

in any Gaming;

4. permitting persons who are visibly intoxicated to participate in any Gaming;

5. participating in any Gaming not authorized by this Title Nine;

6. knowingly providing false information or making any false statement

withrespect to an application for employment or any License Application or

certification provided for in this Title Nine;

7. knowingly providing false or misleading information or making any false or

misleading statement to the Tribe, the Council or the Commission in

connection with any Gaming contract for services or property;

8. knowingly making any false or misleading statement to the Commission, in

response to any official inquiry by the Commission made in the course of its

official business;

9. offering or attempting to offer any thing of value, to a Licensed person in an

attempt to induce that person to act or refrain from acting in any manner

related to the official duties of the Licensed person in conjunction with any

Gaming;

10. acceptance by a Licensed person of any thing of value with the expectation

that receipt of the thing of value is intended, or might be perceived as being

intended, to induce the Licensee to act or refrain from taking action, in any

manner related to the official duties of the Licensed person in conjunction

with any Gaming or Gaming Operation.

11. falsifying, destroying, erasing or altering any books, computer data, records, or

other information relating to a Gaming Operation or any gaming transaction.

12. taking any action which interferes with or prevents the Commission from

fulfilling its duties and responsibilities under this Title Nine.

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13. entering into any contract, or making payment for any contract for the

delivery of goods or services to a Gaming Operation when such contract fails

to provide for or result in the delivery of goods or services of fair value for

the payment made or contemplated.

9-604 Criminal Violations: Penalties Any person who violates or fails to comply

with, obey or observe any provision of this Title Nine or any Rule, order or

directive of the Commission shall be guilty of a Class H Offense under the code;

provided however, that any person who commits any act described in section 9-603

shall be guilty of a Class I Offense under the code. Each day during which violation

or failure to comply occurs or is continuing shall constitute a separate violation

under this Title Nine. The prosecution of an offense under this section shall be the

responsibility of the tribal prosecutor.

9-605 Civil Violation Any person who violates or fails to comply with any Rule,

any provision of this Title Nine, makes false or misleading statements or omissions

in any application filed under this Title Nine or any order or directive of the

Commission may be found by the Commission to be liable for the civil penalties set

forth below.

9-606 Civil Penalties For any violation described in section 9-605, the violator may

be subject to suspension and/or revocation of any License granted under this Title

Nine, may be subject to exclusion from any tribal gaming facility, and may also be

liable for a civil penalty in an amount not to exceed five thousand dollars ($5,000)

for each violation. Each day during which violation or failure to comply occurs or is

continuing may be found to constitute a separate violation under this Title Nine.

The Commission may rescind or reduce any penalties imposed by the Commission

by its own motion or for good cause shown.

9-607 Consent to Jurisdiction Any person who applies for any License or

employment, enters into any contract or agreement, or any Gaming Operation,

participates in any Gaming on the reservation consents and shall be deemed to

consent to the civil jurisdiction of the Tribe, the Commission and the Tribal Court.

9-608 Civil Actions The Commission, on behalf of the Winnebago tribe, shall

bring suit in the appropriate forum for the collection of any fines due hereunder

and for the enforcement of any provision of this Title Nine.

9-609 Administrative Hearings The Commission may hold administrative

hearings to resolve any issue arising under this Title Nine. The Commission shall

promulgate Rules under which such hearings shall be conducted. In order to fully

exercise the power granted under this section, the Commission may issue subpoenas

in accordance with the Rules promulgated under this Title Nine.

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9-610 Agent for Service The Tribal Chairman shall be designated as the agent for

service for the Winnebago Tribe of Nebraska.

ARTICLE 7

MISCELLANEOUS PROVISIONS

9-701 Sovereignty Not Waived 9-708 Repeal of Prior Law

9-702 Audits 9-709 Customer Disputes

9-703 Contracts Subject to Audit 9-710 Customer Rights Regarding

9-704 Public Safety Disputes

9-705 Unclaimed Winnings 9-711 Gaming Commission Action on

9-706 Saving Clause Customer Disputes

9-707 Short Title 9-712 Right to Exclude or Remove

9-701 Sovereignty Not Waived Nothing contained in this Title Nine is intended

to, nor shall it have the effect of, in any way waiving, limiting or diminishing the

sovereignty or sovereign immunity of the Winnebago tribe.

9-702 Audits Audits of all Tribal Gaming Operations shall be conducted at least

annually by an outside, independent, certified public accountant. Such audits shall

be provided by the tribe to the National Commission. Additional audits shall be

performed in accordance with Commission Rules.

9-703 Contracts Subject to Audit All contracts for supplies, services, or concessions

for a contract amount in excess of TWENTY FIVE THOUSAND DOLLARS ($25,000)

annually (except contracts for professional legal or accounting services) relating to

tribal Gaming Operations shall be subject to the audits required by section 9-702 of

this Title Nine and the Rules promulgated hereunder. Additionally, an Applicant

or holder of an Operators License has a duty to provide written disclosure to the

Commission of all Collateral Agreements. Such duty shall be a continuous

requirement of licensure and shall not be limited to the disclosure required under

Section 9-303 (14). If such disclosure is not made, then all contracts which were not

disclosed shall be considered void and unenforceable and the person or entity failing to make such disclosure may be subject to License suspension, revocation or civil

penalties.

9-704 Public Safety

1. The construction and maintenance of any gaming facility existing on the

reservation and the operation of any such Gaming Operation shall be

conducted in a manner which adequately protects the public health and

safety.

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2. It shall be the responsibility of the Council and the Commission to insure that

the standard set forth in part (1) of this section is maintained at all times.

9-705 Unclaimed Winnings

1. Any winnings, whether property or cash, which are due and payable to a

participant but remain unclaimed at the end of a gaming session shall be held

in safekeeping for the benefit of such participant if his/her identity is known.

Such winnings shall be held for twelve months or such longer period as the

Commission deems reasonable in consideration of all relevant facts and

circumstances. The Commission shall make such efforts as are reasonable

under the circumstances to locate such individual. At the end of the

safekeeping period, such winnings shall revert to tribal ownership and shall

be transferred to the account or place designated by the Council.

2. In the event the identity of the participant entitled to unclaimed winnings is

unknown, the Commission shall use its best efforts to learn the identity of

such individual and shall follow the procedure set forth in (1), above, if they

are able to identify such individual with reasonable certainty; provided

however, if after six months from the time the winnings were payable, the

Commission has been unable to identify an individual entitled thereto, such

winnings shall revert to tribal ownership as set forth in paragraph (1) of this

section.

9-706 Saving Clause If any section or provision of this Title Nine is invalidated for

any reason by a court of competent jurisdiction, the remaining provisions shall not

be affected thereby.

9-707 Short Title This Title Nine shall be known as the Winnebago Gaming

Code.

9-708 Repeal of Prior Law This Title Nine replaces all prior laws and Rules

pertaining to the authorization or regulation of gaming activity on the reservation.

All such laws and Rules are specifically repealed.

9-709 Customer Disputes Any person who has any dispute, disagreement or other

grievance that involves currency, tokens, coins, or any other thing of value and is

between the customer or player and the Gaming Operation, may raise such dispute

with the following persons and in the following order: (a) a member of the staff of

the Gaming Operation, (b) the supervisor in the area in which the dispute arose, (c)

the General Manager of the Gaming Operation and (d) the Gaming Commission.

9-710 Customer Rights Regarding Disputes At each level, the complainant has the

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

with any factual allegation. At each level, if the dispute remains unresolved, the

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complainant shall be informed of the right to take the dispute to the next higher

level as set forth in section 9-709. Resolution of any dispute by staff of the Gaming

Operation shall always involve two or more staff members. All disputes, whether

resolved or not, shall be the subject of a detailed report by all staff involved to their

supervisor, or, in the case of the general manager of the Gaming Operation to the

Commission.

9-711 Gaming Commission Action on Customer Disputes All disputes which are

submitted to the Gaming Commission shall be decided by the Commission based on

information provided by the complainant, any witnesses for or documents provided

by the complainant, or by the general manager of the Gaming Operation or any

other person who has relevant information to provide. The decision of the

Commission shall be in writing, shall be issued within 14 days of submission of the

matter to the Commission and shall be provided to the general manager of the

Gaming Operation and the complainant.

9-712 Right to Exclude or Remove The Commission, or the general manager of

the Gaming Operation, subject to review by the Commission, may exclude or

remove any persons from the premises of the Gaming Operation. Any person

excluded shall be entitled to a hearing as provided by the Rules.

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