UNITED KEETOOWAH BAND OF CHEROKEE INDIANS IN OKLAHOMA

P.O. BOX 746 TAHLEQUAH, OKLAHOMA 74465-0746

TELEPHONE: (918) 456-5491 FAX (918) 456-9601

JIMMIE LOU WHITEKILLER

SECRETARY

CLARA PROCTOR

TREASURER

R E S 0 L U T I 0 U

THE UNITED KEETOOWAH BAND OF CHEROKEE INDIANS IN

OKLAHOMA is a federally recognized Band of

Indians organized and Incorporated pursuant to

the Oklahoma Indian Welfare Act (49 Stat 1967):

the Act of August 10. 1946 (60 Stat 976): and.

the Indian Reorganization Act (48 Stat 984)

insofar as that Act is applicable to Oklahoma

Indians; and,

Article III, Section I. of the Constitution and

By-Laws of THE UNITED KEETOOWAH BAND OF CHEROKEE

INDIANS IN OKLAHOMA provides that the objectives

of the Band include securing for its members the

benefits, rights, pr-ivfleges, and powers provided

for under the above referenced acts of the Con

gress of the United States of America; and.

Article III, Section 2, of said Constitution and

By-Laws provides that the Band shall secure the

benefits, rights, privileges, and powers as pro

vided for by any laws of the United States now

existing or that may hereafter be enacted for the

benefit of Indians for its members; and,

WHEREAS: THE UNITED KEETOOWAH BAND OF CHEROKEE INDIANS IN

OKLAHOMA in pursuit of the goals, desires to im

prove the economic conditions of its members.

COUNCIL MEMBERS

ALLOGAN SLAGLE JIM PROCTOR ROBERTA SMOKE

CANADIAN DISTRICT FLINT DISTRICT SALINE DISTRICT

EMMA SUE HOLLAND RICHARD MANUS CHARLIE BIRD

COOWEESCOOWEE DISTRICT GOINGSNAKE DISTRICT SEQUOYAH DISTRICT

ADALENE SMITH SUSAN ADAIR MOSE KILLER

DELAWARE DISTRICT ILLINOIS DISTRICT TAHLEQUAH DISTRICT

JOHN ROSS

CHIEF

JIM HENSON

ASSISTANT CHIEF

05 November 1994 *94-UKB-28

WHEREAS:

WHEREAS:

WHEREAS:

RESPECT FOR OUR ELDERS
Resolution !194UKB28

05 November 1994

Page 2

WHEREAS: It is in the best interest of the UKB to adopt a Gaming

Ordinance to be approved by the NATIONAL INDIAN GANTW~

COMMISSION pursuant to the INDIAN GMlfl~ R1~XULATORY AC1~,

25 U.S.C. SS et seq.

NOW, THEREFORE, BE IT RESOLVED that the attached Gaming Ordinance of

1994 is hereby adopted by the Council of ThE UNITED KE~~O(MAH BAND OF

CHEROKEE INDIANS IN OKIJIAOMA (UKB).

NOW, THEREFORE, BE IT FIJRTI-IER RESOLVED that the NATIONAL INDIAN GANIM~

COMMISSION is requested to approve said Gaming Ordinance pursuant to

federal law and regulations.

CERTIFICATION

I hereby certify that the foregoing Resolution #94UKB--28 was

approved by the BIArecommended Council of ThE UNITED KEgrO(MAH BAND OF

CHH~OKEE INDIANS IN OKLAHOMA (TJKB) during a called, noticed, and convened

regular meeting for business on the 5th day of November, 1994, with 7

Members present to constitute a quorum and by a vote of 7 For, 0

Opposed, and 0 Abstentions.

m~4) MOSE KILlER, Chai~rman Pro Tempore

ATTEST
THE UNITED KEETOOWAH BAND OF CHEROKEE

INDIANS IN OKLAHOMA

CLASS II GAMING ORDINANCE

I. PURPOSE

The Council of THE UNITED KEETOOWAH BAND OF CHEROKEE

INDIANS IN OKLAHOMA (hereinafter UKB) empowered by the

(JKB Constitution to enact ordinances, hereby enacts this

ordinance in order to set the terms for class II gaming

operations on UKB lands.

II. Gaming Authorized

Class II gaming as defined in the Indian Gaming

Regulatory Act, P.L. 100447, 25 U.S.C. Section 2703 (7)(A)

(IGRA) and by the regulations promulgated by the National

Indian Gaming Commission at 25 C.F.R. -502.3 (as published

in the Federal Register at 57 FR 12382-12393, 09 April

1992) is hereby authorized.

III. Ownership of Gaming

The Tribe shall have the sole propriety interest in

and responsibility for the conduct of any gaming operation

authorized by this ordinance.

IV. Use of Gaming Revenue

A. Net revenues from class II gaming shall be used

only for the following purposes: to fund UKB government

operations and programs; provide for the general welfare of

the UKB and its members; promote UKE economic development;

donate to charitable organizations; or help fund operations

of local government agencies.

B. If the Tribe elects to make per capita payments

to tribal members, it shall authorize such payments only

upon approval of a plan submitted to the Secretary of the

Interior under 25 U.S.C. 2710 (b)(3).

V. Audit

A. The Tribe shall cause to be conducted annually an

independent audit of gaming operations and shall submit the

resulting audit reports to the National Indian Gaming

Commission.

1.
B. All gaming related contracts that result in the

purchase of supplies, services, or concessions in excess of

$25,000.00 annually, except contracts for professional

legal and accounting services, shall be specifically

included within the scope of the audit that is described in

subsection A. above.

VI. Protection of ~ Environment, Public Health ~ Safety

Class II gaming facilities shall be constructed,

maintained and operated in a manner that adequately

protects the environment and the public health and safety.

VII. Licenses j~ ~ Employees ~ Primary Management

Officials

The Tribe shall ensure that the policies and

procedures set out in this section are implemented with

respect to key employees and primary management officials

employed at any class II gaming enterprise operated on UKB

lands:

A. Definitions

For the purpose of this section, the following

definitions apply:

1. ~ employee means

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

following functions:

(1) Bingo caller;

(2) Counting room supervisor;

(3) Chief of security;

(4) Custodian of gaming supplies or

cash;

(5) Floor manager;

(6) Pit boss;

(7) Dealer;

(8) Croupier;

(9) Approver of credit; or

(10) Custodian of gambling devices

including persons with access to

cash and accounting records within

such devices;

(b) If not otherwise included, any other

person whose total cash compensation is

in excess of $50,000 per year; or

2.
(C) If not otherwise included, the four most

highly compensated persons in the gaming

operation.

2. Primary manaQement oUicial means

(a) The person having management

responsibility for a management

contract;

(b) Any person who has authority:

(1) To hire and fire employees; or

(2) To set up working policy for the

gaming operation; or

(C) The chief financial officer or other

person who has financial management

responsibility.

B. Application Forms

1. The following notice shall be placed on the

application form for a key employee or a primary management

official before that form is filled out by an applicant.

In compliance with the Privacy Act of 1974, the

following information is provided: Solicitation

of the information on this form is authorized

by 25 U.S.C. 2701 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 Indian Gaming 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

Indian Gaming Commission with the hiring or

firing of an employee, the issuance or

revocation of a gaming license, or

investigation of activities while associated

with a tribe or a gaming operation. Failure to

consent to the disclosures indicated in this

notice will result in a tribes being unable to

hire you in a primary management official or

key employee position.

3.
The disclosure of your Social Security Number

(SSN) is voluntary. However, failure to

supply a SSN may result in errors in

processing your application.

2. Existing key employees and primary management

officials shall be notified in writing 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.

3. The following notice shall be placed on the

application form for key employee or primary official

before that form is filled out by 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.)

4. The Tribe shall notify in writing existing key

employees and primary management officials 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.

C. Background investigations

1. The UKB shall request from each primary management

official and from each key employee all of the following

information:

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

social security number(s), birth date, place of

birth, citizenship, gender, all languages

(spoken or written);

b. Currently and for the previous five years:

business and employment positions held, ownership

interest in those businesses, business and

residence addresses, and drivers license numbers;

4.
c. The names and current addresses of at least three

personal references, including one personal

reference who was acquainted with the applicant

during each period of residence listed under

paragraph (l)(b) of this section;

d. Current business and residence telephone numbers;

e. A description of any existing and previous

business relationship with Indian tribes including

ownership interest in those businesses;

f. A description of any existing and previous

business relationships with the gaming industry

generally, including ownership interest in those

businesses;

g. The name and address of any licensing or regulatory

agency with which the person has filed an

application for a license or permit related to

gaming, whether or not such license or permit was

granted;

h. For each felony for which there is an ongoing

prosecution or a conviction, the charge, the

name and address of the court involved, and the

date and disposition if any;

i. For each misdemeanor conviction or ongoing

misdemeanor prosecution (excluding minor

traffic violations), within ten years of the date

of the application, the name and address of the

court involved and the date and disposition;

j. For each criminal charge (excluding minor traffic

charges), whether or not there is a conviction, if

such criminal charge is within 10 years of the date

of the application and is not otherwise listed

pursuant to paragraph (1)(h) or (1)(i) of this

section, the criminal charge, the name and address

of the court involved and the date and disposition;

k. The name and address of any licensing or regulatory

agency with which the person has filed an

application for an occupational license or permit,

whether or not such license or permit was granted;

1. A current photograph;

m. Any other information the UKB deems relevant; and

5.
n. Fingerprints consistent with procedures adopted by

the UKB according to 25 C.F.R. 522.2(h).

2. The UKB shall conduct an investigation sufficient

to make a determination under subsection D. below. In

conducting a background investigation, the UKB or its agent

shall promise to keep confidential the identity of each

person interviewed in the course of the investigation.

D. Eligibility Determination

The UKB shall review a persons prior activities,

criminal record, if any, and reputation, habits and

associations to make a finding concerning the eligibility

of a key employee or primary management official for

employment in a gaming operation. If the IJKB 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, a tribal gaming operation shall not employ that

person in a key employee or primary management official

position.

E. Procedures for Forwarding Applications ~ Reports ~

K~i employees and Primary Management Officials to the

National Indian Gaming Commission

1. When a key employee or primary management official

begins work at a gaming operation authorized by this

ordinance, the UKB shall forward to the National Indian

Gaming Commission a completed application for employment

and conduct the background investigation and make the

determination referred to in subsection D of the section.

2. The UKB shall forward the report referred to in

subsection F of this section to the National Indian Gaming

Commission within 60 days after an employee begins work or

within 60 days of the approval of this ordinance by the

Chairman of the National Indian Gaming Commission.

3. The gaming operation shall not employ as a key

employee or primary management official a person who does

not have a license after 90 days.

F. Report ~ ~ National Indian Gaming Commission

1. Pursuant to the procedures set out in subsection E

of this section, the Tribe shall prepare and forward to the

National Indian Gaming Commission an investigative report

on each background investigation. An investigative report

6.
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 UKB shall submit, with the report, a copy of

the eligibility determination made under subsection D of

this section.

3. If a license is not issued to an applicant, the

UKB:

a. Shall notify the National Indian Gaming Commission;

and

b. May forward copies of its eligibility determination

and investigative report (if any) to the National

Indian Gaming Commission for inclusion in the

Indian Gaming Individuals Records System.

4. With respect to key employees and primary

management officials, the UKS shall retain applications for

employment and reports (if any) of background

investigations for inspection by the Chairman of the

National Indian Gaming Commission or his or her designee

for no less than three (3) years from the date of

termination of employment.

0. Granting ~, Gaming License

1. If, within a thirty (30) day period after the

National Indian Gaming Commission receives a report, the

National Indian Gaming Commission notifies the UKB that it

has no objection to the issuance of a license pursuant to a

license application filed by a key employee or a primary

management official for whom the UKB has provided an

application and investigative report to the National Indian

Gaming Commission, the UKB may issue a license to such

applicant.

2. The UKB shall respond to a request for additional

information from the Chairman of the National Indian Gaming

Commission concerning a key employee or a primary

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

request shall suspend the 30day period under paragraph G.

7-
1. of this section until the Chairman of the National

Indian Gaming Commission receives the additional

information.

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

above, the National Indian Gaming Commission provides the

UKB with a statement itemizing objections to the issuance

of a license to a key employee or to a primary management

official for whom the UKB has provided an application and

investigative report to the National Indian Gaming

Commission, the UKB shall reconsider the application,

taking into account the objections itemized by the National

Indian Gaming Commission. The UKB shall make the final

decision whether to issue a license to such applicant.

H. License Suspension

1. If, after the issuance of a gaming license, the UKB

receives from the National Indian Gaming Commission

reliable information indicating that a key employee or

primary management official is not eligible for employment

under subsection D. above, the UKB shall suspend such

license and shall notify in writing the licensee of the

suspension and the proposed revocation.

2. The UKB shall notify the licensee of a time and

place for a hearing on the proposed revocation of a

license.

3. After a revocation hearing, the UKB shall decide to

revoke or reinstate a gaming license. The UKB shall notify

the National Indian Gaming Commission of its decision.

VIII. License Location

The UKB shall issue a separate license to each place,

facility, or location on UKB lands where class II gaming is

conducted under this ordinance.

IX. Repeal

To the extent that they are inconsistent with this

ordinance, all prior gaming ordinances are hereby repealed.

8.
ADDITIONAL SUBMISSION REQUIREMENT

1. DESCRIPTION OF PROCEDURES FOR CONDUCTING BACKGROUND

INVESTIGATIONS.

It is the intent of the UKB to contract with a

security/investigative firm to do the verifications of the

information contained in the applications of those key

employees and primary management officials as required in

the UKB Gaming Ordinance. Once the information has been

verified and a report made to the UKB, the Council of the

UKB shall make the determination of suitability in

accordance with the UKB Gaming Ordinance. The UKB Council

shall create a standing Gaming Committee of the Council

which shall have the responsibility of conducting and

causing to be conducted the background investigations;

reviewing and approving the investigative work done; and

obtaining and processing fingerprints. The UKB Council

shall report the results of the background investigation to

the National Indian Gaming Commission and make the

suitability determinations. The applicants for the key

employee and primary management positions, as designated in

the UKB Gaming Ordinance, shall be initially reviewed by

the Councils Gaming Committee and a Preliminary selection

shall be made based upon qualifications for a position.

Those applicants selected shall then under go a background

investigation.

The investigative procedures to be performed shall

include the following:

1. Verify by written or oral communication information

submitted by applicant.

2. Inquire into the applicants prior activities,

criminal records, if any, and reputation, habits

and associations; interview a sufficient number of

knowledgeable people such as former employers,

personal references, and others to whom referred in

order to provide a basis for the UKB Council to

make a finding concerning the eligibility for

employment in a gaming operation.

3. Document the disposition of all potential problem

areas noted and disqualifying information obtained.

The investigative report shall include the following:

1. Steps taken in conducting the background

investigation;

2. Results obtained;

3. Conclusions reached; and

4. The basis for those conclusions
2. DESCRIPTION OF PROCEDURES TO ISSUE TRIBAL LICENSES TO

PRIMARY MANAGEMENT OFFICIALS AND KEY EMPLOYEES.

The procedures for granting a license are contained in

the UKB Gaming Ordinance at Section G. The license document

shall be in the form of a drivers license with a picture

identification as well as a code number. The UKB shall

consult with security experts to design the license so that

it cannot be duplicated. The licensee will be required to

display the license while at the qaming location.

3. DESCRIPTION OF PROCEDURES FOR RESOLVING DISPUTES

BETWEEN THE GAMING PUBLIC AND THE UKB OR MANAGEMENT

CONTRACTOR.

Disputes with the gaminq public will primarily be

issues of prizes and oayments. The UKB does not anticipate

that these kinds of disputes will arise but if they do the

UKBs manager of the gaming operation will be the first

place to resolve the dispute and if the dispute is not

resolved by the manager then the UKE Gaming Committee will

resolve the matter. The success of the gaming operation is

dependent on goodwill with the gaming public. Disputes of

an organizational nature or contract nature will be

resolved between the individual and the manager of the UKB

Gaming Committee. If resolution of the dispute is not

reached by the individual and the UKB Gaming Committee,

binding arbitration will be used and the local arbitration

procedures will be used.

4. DESIGNATION OF AN AGENT FOR SERVICE.

The Chief of the UKB, as designated in the UKB

Constitution shall be the agent for service and the UKB

offices will be the official address for service.

5. IDENTIFICATION OF A LAW ENFORCEMENT AGENCY THAT WILL

TAKE FINGER PRINTS AND DESCRIBE PROCEDURES FOR

CONDUCTING A CRIMINAL HISTORY CHECK BY A LAW

ENFORCEMENT AGENCY.

The UKB will consult with the Bureau of Indian Affairs

(BIA) investigative officer and implement the procedures

that are recommended by him. The BIA has had experience in

this area since the tribes have been involved in gaming.

6. COPIES OF ALL TRIBAL GAMING REGULATIONS.

The UKB enacted a gaming ordinance in 1990 which is

modified by the current gaming ordinance submitted to the

National Indian Gaming Commission. The ordinance is

included with this submission.