~ GAMING

(m) Indian Lands. “Indian lands“ means:
(1) Land within the limits of an Indian reservation; or

(2) Land over which an Indian Nation exercises governmental power and
that is either:

(a) Held in trust by the United states for the benefit of any
Indian Nation or individual; or

(b) Held by an Indian Nation or individual subject to restriction
by the united States against alienation.

(n) Indian Nation. "Indian Nation" means any Indian Nation, band, nation,
or other organized group or community of Indians that the Secretary recognizes
as:

(1) Eligible for the special programs and services provided by the
United States to Indians because of their status as Indians; and

(2) Having powers of self-government.
(0) Key Employee. “Key employee" means:
(1) A person 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;
(f) Pit Boss;
(g) Dealer;
(h) Croupier;

(i) Approver of credit; or

(3) Custodian of gambling devices including persons with
access to cash and accounting records within such
devices:

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

compensation is in excess of $50,000 per year; or,

(3) If not otherwise included, the four most highly compensated
persons in the gaming operation.

(p) License. "License" means the permission by authority of the Seminole
Nation to do an act, which without permission could be illegal. It is a permit
granted by the SNG Commission for a consideration to a person, group, community,
firm or corporation to pursue gaming regulation under the jurisdiction of the
Seminole Nation.

(q) Management _ Contract. “Management contract" means any contract,
subcontract, or collateral agreement between an Indian Nation and a contractor
or between a contractor and a subcontractor if such contract or agreement
provides for the management of all or part of a gaming operation.

(rv) National Indian Gaming Commission. "National Indian Gaming
Commission" means the federal Commission established by the National Indian

TITLE 15 - 4


~ GAMING

winner’s identity. The licensee shall not pay out any prize unless and until the
winner has fully and accurately furnished to the licensee all information
required by this rule to be upon the receipt for the prize. one duplicate of
each prize receipt shall be given to the winner, and the other duplicate of prize
receipts shall be retained by the licensee as part of its records for a period
of not less than five (5) years.

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991)

Section 421. Inspection of Premises. Any premises licensed or any
premises connected physically or otherwise with a licensed business, including
vehicles used in connection therewith, shall at all times be open to inspection
by the SNG Commission, Gaming Monitor, or any other authorized representative of
the Seminole Nation. At any time during which a licensed gaming or related
administrative activity is being conducted on a premises, the SNG Commission,
Gaming Monitor, or any other authorized representative of the Seminole Nation may
enter upon the premises without advance notice and shall be allowed to:

(a) Make an account of all monies on the premises and all monies received
during the operation of the licensed activity located on the premises, inspect
all receipts for prizes which have been awarded by the licensee;

(b) Inspect any other records, accounts or other related information of
the licensee, or of any member who directly participates in the management,
operation, or promotion of a licensed activity; or of any employee of the
licensee; or of any operator of the licensed activity;

(c) Inspect, including the dismantling of all pieces of equipment or
parts thereof or devices of any nature, which are being used to conduct the
licensed activity.

{HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 422. Removal of Records and Equipment During Inspection. When the
SNG Commission finds cause to believe that there is a reasonable probability that
the provisions of this Code, including any amendments thereto or any of the rules
passed by the SNG Commission have been or are being violated by the licensee or
its employees or operators, they may move to another location or locations for
further inspection or investigation of any and all records and any and all
equipment, parts thereof, devices, or things(s) which has been removed from the
premises. Each such record, piece of equipment, part thereof, or thing(s) so
removed shall be returned to the premises or to the address of the licensee with
ten (10) days (except Saturdays, Sundays, and days when tribal offices are
legally closed) in as good condition as it was when it was removed unless the SNG
commission determines that the record, equipment, devices, or thing(s) so removed
are necessary for an ongoing investigation and/or evidence of possible violations
of this Code or rules of the SNG Commission by the licensee, by employers of the
licensee or by operators of the licensed activity. The SNG Commission shall
notify the licensee of the reasons said property or thing(s) are to be so held.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 423. Alcoholic Beverages. No beverage containing alcohol,
including but not limited to beer or liquor, shall be offered or awarded as a
prize or in lieu of a prize for winning at any of the activities authorized by
this Code, nor sold on the premises at any time.

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 424. Firearms. No firearms, air guns which are capable of
discharging dangerous projectiles or gases, including but not limited to "B.B.’s"

TITLE 15 - 21


(c) If a license is not issued to an applicant, the SNG
Commission:

(1) Shall notify the National Indian Gaming Commission; and

(2) 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.

(d) With respect to key employees and primary management
officials, the SNG Commission 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.

SECTION SEVEN. A NEW SECTION 205-C_ OF TITLE 15 OF THE CODE
OF LAWS OF THE SEMINOLE NATION IS HEREBY ADDED AS FOLLOWS:

Section 205-C. Granting a Class "B" Gaming License.

(a) If, within a thirty (30) day period after the National
Indian Gaming Commission receives a report, the National Indian
Gaming Commission notifies the SNG Commission 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 SNG Commission has provided an application
and investigative report to the National Indian Gaming Commission,
the SNG Commission may issue a license to such applicant.

(b) The SNG Commission shall respond to a request for
additional information from the National Indian Gaming Commission
Chairman concerning a key employee or a primary management official
who is the subject of a report. Such a request shall suspend the
30-day period under Section 205-C (a) herein until the National
Indian Gaming Commission Chairman receives the additional
information.

(c) I£, within the thirty (30) day period described above,
the National Indian Gaming Commission provides the SNG Commission
with a statement itemizing objections to the issuance of a license
to a key employee or to a primary management official for whom the
SNG Commission has provided an application and investigative
report to the National Indian Gaming Commission, the SNG Commission
shall reconsider the application, taking into account the
objections itemized by the National Indian Gaming Commission. The
SNG Commission shall make the final decision whether to issue a
license to such applicant.

12


, —
GAMING

administer the provisions of this Code, provided that in adopting,
amending, or repealing any regulations under this code, the SNG
Commission shall give prior notice of the proposed action to all
licensees and other persons whom the SNG Commission has reason to
believe have a legitimate and direct financial interest in such
proposed action.

(2) The SNG Commission shall print and make available application forms
for initial and renewal licenses, as well as any other necessary
licenses.

(3) The SNG Commission shall supervise the collection of all fees

prescribed in this Code.

(4) The SNG Commission shall assist the Tax Commission of the Seminole
Nation in the supervision of the collection of all taxes pertaining
to gaming prescribed by the laws of the Seminole Nation.

(5) The SNG Commission shall supervise the collection of all income of
any gaming enterprise and the payment of all expenses of operation
for such gaming enterprise.

(6) The SNG Commission shall supervise the collection of income due the
Seminole Nation.

(7) The SNG Commission shall process all gaming license applications and
the issuance of licenses, including:

(a) Determine applicable license fees.

(b) Review all gaming operation contracts, records and documents
and anything else necessary and pertinent to the financial
accountability of licensees or enforcement of any provision of
gaming operation contracts, agreements, IGRA, this Act, and
other applicable laws of the Seminole Nation.

(c) Deny any license application, limit, condition, suspend, or
restrict any license, make a finding of suitability or
approval of a license.

(8) The SNG Commission shall recommend the budget for its operations to
the General Council and take any other steps necessary to fulfill
duties and responsibilities under the code.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Sec. 106. Gaming Monitor. The SNG Commission shall hire a Gaming Monitor,
pursuant to Seminole Nation hiring policies, who shall be a permanent part-time
employee of the Seminole Nation. The responsibilities of the Gaming Monitor
shall be as follows:

(a) The Gaming Monitor shall attend gaming sessions of all licensees of
the Seminole Nation, including gaming sessions of all gaming enterprises which
do not hold licenses but are required by IGRA to be licensed, as frequently as
required by SNG Commission regulations.

(b) The primary responsibility of the Gaming Monitor will be oversight
of the gaming activities of licensees of the Seminole Nation, including all
gaming enterprises which do not hold licenses but are required by IGRA to be
licensed, to ensure financial accountability and to ensure compliance with IGRA,
this Code, and SNG Commission regulations. This oversight will be conducted in
a manner prescribed by SNG Commission regulations.

(ce) The Gaming Monitor shall be responsible for obtaining from managers
of Seminole Nation gaming operations all financial reports required by gaming

TITLE 15 - 8


ww

(3) Class III Gaming. "Class III gaming" means all forms of
gaming that are not class I gaming or class II gaming,
including but not limited to:

(a) Any house banking game, including but not limited
to:

(i) Card games such as baccarat, chemin de fer,
blackjack (21), and pai gow (if played as
house banking games;

(ii) Casino games such as roulette, craps, and
keno;

(b) Any slot machines as defined in 15 U.S.C.
1171(A)(1) and electronic or electromechanical
facsimiles of any game of chance:

(c) Any sports betting and parimutuel wagering
including but not limited to wagering on horse
racing, dog racing or jai alai; or

(d) Lotteries.

(d) Collateral Agreement. "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 a Nation (or any of its
members, entities, or organizations) and a management contractor or
subcontractor (or any person or entity related to a management
contractor or subcontractor).

(e) Electronic, Computer or Other Technologic Aid.
"Electronic, computer or other technologic aid" means a device such
as a computer, telephone, cable, television, satellite or bingo
blower and that when used:

(1) Is not a game of chance but merely assists a player or
the playing of a game;

(2) Is readily distinguishable from the playing of a game of
chance on an electronic or " facsimile; and

(3) Is operated according to applicable Federal
communications law.

(£) Electronic or Electromechanical Facsimile. “Electronic
or facsimile" means any gambling device as defined in 15 U.S.C.
1171 (a) (2)or(3).

(g) Game Similar to Bingo. "Game similar to bingo" means any
game that meets the requirements for bingo under § 502.3(a) of this

3


—_—
~ GAMING
the operation of games conducted by the operator to play a game while on duty.
No operator shall allow any person who assists in the operation of any game
conducted by the operator to play in any game conducted by the operator within
twenty-four (24) hours of the time said person did so assist.

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 409. No free games for winners. No free games or any opportunity
to play in a game shall be awarded or given to a person as prize for or
conditioned upon winning a game or games.

{HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 410. IGRA Requirements. No game shall be conducted which does not
comport with Class I or Class II requirements of IGRA.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 411. Prize Awards. Every prize awarded during the operation
authorized shall be awarded only to the person(s) actually winning the prize and
displaying the proper admission ticket.

[ HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 412. advance Sales. Gaming opportunities shall be sold and paid
for only in advance for use in a specified game or specified numbered games.

(HISTORY: Ordinance No. 86~2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 413. Promotional Activities and Renumeration. Certain licensees
may be exempt from Section 409 and engage in promotions and activities that
include prizes or the award of gaming opportunities as an incentive to allow
certain individuals, who provide a specified service or meet other stated
requirements, to participate in games the same as regular participants.
Licensees participating in promotional activities must provide to the SNG
Commission full details of all such activities and receive advance approval for
each such promotional activity. Written approval for such activities must remain
on file with the SNG Commission and with the licensee for a period of not less
than one (1) year.

(HISTORY: Ordinance No. 86~2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91~12, November 16, 1991]

Section 414. Ball Requirements. Each numbered ball or other device used
in a game for the selection of numbers to be called in play shall be the same
weight and size as each of the other balls or devices used for that purpose of
that game.

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 415. Operator Control. In all cases the gaming operator must have
and exercise complete control over that portion of the premises being used for
gaming at all times said games are being played. The licensee or permit holder
shall be held liable for any violation of the Code.

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91~12, November 16, 1991]

TITLE 15 - 19


GAMING

Gaming Regulatory Act.

(8)

National Indian Commission Chairman. “National Indian

Gaming Commission Chairman" means the Chairman of the National Indian Gaming
Commission.

(t)

Net Revenues. "Net revenues” means gross gaming revenues of an Indian

gaming operation less:

ql)
(2)

(a)

Contract.

contract"

q)

(2)

(3)

(4)

(5)

(v)

Amounts paid out as, or paid for, prizes; and

Total gaming-related operating expenses, excluding management fees.

Person Having a Direct or Indirect Financial Interest in a Management
“person having a direct or indirect financial interest in a management

means:

When a person is a party to a management contract, any person having
a direct financial interest in such management contract:

When a trust is a party to a management contract, any beneficiary or
trustee;

When a partnership is a party to a management contract, any partner;

When a corporation is a party to a management contract, any person
who is a director or who holds at least 10% of the issued and
outstanding stock alone or in combination with another stockholder
who is a spouse, parent, child or sibling; or

When an entity other than a natural person has an interest in a
trust, partnership or corporation that has an interest in a
Management contract, all parties of that entity are deemed to be
persons having a direct financial interest in a management contract.

Person Having Management Responsibility for a Management Contract.

"Person having management responsibility for a management contract" means the
person designated by the management contract as having management responsibility
for the gaming operation, or a portion thereof.

(w)

(1)

(2)

(3)

(x)
(y)

Primary Management Official. “Primary management official" means:

The person having management responsibility for a management
contract:

Any person who has authority;
(a) To hire and fire employees; or
(b) To set up working policy for the gaming operation; or

The chief financial officer or other person who has financial
Management responsibility.

Secretary. "Secretary" means the Secretary of the Interior.
SNG Commission. "SNG Commission” means the Seminole

Nation Gaming Commission established pursuant to this Act.

(2)

SNG Commissioner. "SNG Commissioner” means a member of the Seminole

Nation Gaming Commission.

TITLE 15 - 5


_
— GAMING

management official of a bingo enterprise pursuant to Section 205-A through 205-D
herein at no cost. The license shall grant the applicant the revocable privilege
of acting as a key employee at a licensed facility during the course of his
employment, provided that the SNG Commission may review any key employee license
annually pursuant to rules and regulations established by the SNG Commission.

(b) Application and Licensing Deadlines. When a key employee or primary
management official begins work at a gaming operation authorized by Title 15
herein, a completed application for employment and conduct the background
investigation and make the determination referred to in Section 205-A (i) herein.
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.

(c) Privacy Act Notice. 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
Nation or the National Indian Gaming 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 Nation or
a gaming operation. Failure to consent to the disclosures indicated in
this notice will result in the Nation’s 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."

(d) Privacy Act Notice Update for Existing Employees. Key employee and
primary management officials already employed as of February 24, 1994 shall be
notified in writing that they shall either:

(1) Complete a new application form that contains a Privacy Act notice;
or
(2) sign a statement that contains the Privacy Act notice and consent to

the routine uses described in that notice.

(e) Notice of Penalties for False Statements. The following notice shall
be placed on the application form for a key employee or a primary official 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.)

(£) Notice of Penalties Update for Existing Employees. The SNG Commission
shall notify in writing key employees and primary management officials already
employed as of February 24, 1994 that they shall either:

(1) Complete a new application form that contains a notice regarding
false statements; or

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

(g) Background Investigation. A background investigation for each primary
management official and key employee is required, provided that if a tribal-state
compact provides that a state has exclusive jurisdiction with respect to

TITLE 15 - 11


~~" GAMING

CHAPTER ONE
SEMINOLE NATION GAMING COMMISSION

Section 101. Establishment of Seminole Nation Gaming Commission; Terms.
In order to provide for the orderly development, administration, collection of
gaming receipts and regulation of Gaming within the boundaries of the Seminole
Nation, there is established the Seminole Nation Gaming Commission.

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991}

Section 102. Appointment and Terms of SNG Commissioners. The Chief shall
nominate three members of the Seminole Nation to serve on the SNG Commission,
subject to confirmation by resolution duly adopted by the General Council. When
the SNG Commission is initially established, one SNG Commissioner shall be seated
for a three (3) year term, one SNG Commissioner shall be seated for a two (2)
year term, and one SNG Commissioner shall be seated for a one (1) year term.
Thereafter, all SNG Commissioners shall serve a three year term commencing on the
date of expiration of the preceding term. Each SNG Commissioner may serve a
second three year term if appointed for a second term by the Chief, subject to
confirmation by resolution duly adopted by the General Council.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 103 Outside Employment and Activities of SNG Commissioners. A
SNG Commissioner may not hold any other tribal position except temporary duties
assigned by Executive Order to be performed without increase in compensation.
The SNG Commissioner may be engaged in a business or employment outside the
tribe. The SNG Commissioner shall not engage in any business which is subject
to provisions of this Code or which has commerce with any licensee under this
Code.

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 104 Removal of SNG Commissioners. A SNG Commissioner may be
removed from office prior to the end of any term only when the General Council
by an affirmative vote of nineteen (19) members removes said commissioner for one
of the following reasons: (1) failure to carry out his or her responsibilities,
(2) conviction in any court of competent jurisdiction of a misdemeanor involving
dishonesty, or (3) for any gross neglect of duty or misconduct reflecting on the
dignity and integrity of the General Council by General Council Resolution. The
SNG Commissioner may be suspended by the Chief if said SNG Commissioner fails to
carry out his or her responsibilities, or is found guilty in any court of
competent jurisdiction of a misdemeanor involving dishonesty, or for any gross
neglect of duty or misconduct reflecting on the dignity and integrity of the
General Council for ninety (90) days, and if the SNG Commissioner is so suspended
the Chief shall commission a member of the Seminole Nation to serve as Acting SNG
Commissioner during the suspension of any SNG Commissioner, and shall provide
written notification to the General Council of such measure stating grounds for
suspension. An Acting SNG Commissioner shall have all powers of SNG
Commissioner.

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 105. Duties of the SNG Commission.

(a) The SNG Commission shall be charged with the sole responsibilities
of administering and enforcing the provisions of this Code.

(b) The duties of the SNG Commission shall include but not be limited to
the following:

(1) The SNG Commission shall promulgate regulations necessary to

TITLE 15 - 7


~ GAMING

Section 416. Location of Games. Games shall be operated and conducted
only on the appropriate licensed premises authorized under this Code.

{HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 417. Price-fixing Prohibited. No manufacturer, distributor, or
operator shall make agreement either express or otherwise with any other
manufacturer, distributor, or operator to fix the price at which any device,
paraphernalia, machine, equipment, prize or any other items used in connection
with any of the activities authorized under this Code shall be sold or which
services in connection therewith shall be rendered. The price of these items in
a competitive market place shall be established by each manufacturer,
distributor, or operator for the products and services offered by each and shall
not be established, directly or indirectly, in concert with another.

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991}

Section 418. Licensee Responsibility. Licensees must supervise and be
directly responsible for all activities on the premises authorized by license
under this Code, except as specifically outlined in Management Agreement approved
by Council Resolution.

(HISTORY: Ordinance No. 86~2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 419. Safety and Welfare. The construction and maintenance of the
gaming facility, and the gaming operation must be conducted in a manner which
adequately protects the environment, public health, safety, morals, good order,
and general welfare of the citizens of the Seminole Nation. All alterations or
modifications of the facility must be approved by the SNG Commission.
Responsibility for the employment and maintenance of suitable methods of
operation rests with the licensee and willful and persistent use or toleration
of unsuitable methods of operation will constitute grounds for license revocation
or other disciplinary actions.

(HISTORY: Ordinance No. 86~2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 420. Receipt required for income and prizes in gaming. All income
from games shall be receipted at the time the income is received from each
individual player, and all prizes shall be receipted for by the winner of each
prize at the time the prize is distributed to each individual winner. Receipts
shall meet the following requirements:

(1) Income receipts forms. Income receipt forms shall be based upon a
cash register system. An identification number shall be on the receipt given to
the customer, which is one of a series of such numbers printed consecutively, and
a corresponding number is recorded together with a record of the transaction
being kept inside the cash register. Further, the following information shall
appear upon the receipt given a customer and upon the record being kept inside
the machine; the name of the licensee operating the activity; the date the
transaction took place, the receipt number; the amount of money paid, or a
description of other consideration paid for the opportunity to play. The cash
register receipt rolls retained in the machine showing those transactions shall
be retained with the records of the licensee for a period not less than two (2)
years.

(2) Receipt for prizes. Receipts for prizes shall contain the following
information: The name of the licensee operating the activity; the date the
transaction took place; the receipt number and the game number; the true name and
address of the winner of the prize; a description of the prize won and any value
of that prize which has been represented to the player by the licensee.It shall
be the responsibility of the licensee to see that the prize winners are properly
and accurately identified upon the receipt for the prize, and the licensee shall
require such proof of identification as is necessary to properly establish the

TITLE 15 - 20


(c) Gaming.

“ GAMING

“Gaming” means all forms of Class I, Class II, or Class III,

which are defined as follows:

(1) Class I Gaming. “Class I Gaming” is:

(a) Social games played solely for prizes of minimal value; or

(b) Traditional forms of Indian gaming when played by individuals
in connection with tribal ceremonies or celebrations

(2) Class II Gaming. "Class II gaming" means:

(a) Bingo or lotto (whether or not electronic, computer, or other
technologic aids are used) when players:

(i) Play for prizes with cards bearing numbers or other
designations;

(ii) Play for prizes with cards bearing numbers or other
designations;

(iii)Cover numbers or designations when object,
similarly numbered or designated are drawn or
electronically determined; and

(iv) win the game by being the first person to cover a
designated pattern on such cards;

(b) If played in the same location as bingo or lotto, pull-tabs,
punch boards, tip jars, instant bingo, and other games similar
to bingo;

(c) Nonbanking card games that:

(i) State law explicitly authorizes, or does not explicitly
prohibit, and are played legally anywhere in the state:
and

(ii) Players play in conformity with state laws and
regulations concerning hours, periods of operation and
limitations on wagers and pot sizes:

(da) Card games played in the states of Michigan, North Dakota,
South Dakota, or Washington if:

(i) An Indian Nation actually operates the same card games
as played on or before May 1, 1988 as determined by the
Chairman; and

(ii) The pot and wager limits remain the same as on or before
May 1, 1988 as determined by the Chairman;

(e) Individually owned class II gaming operations-

(i) That are operating on September 1, 1986:
(ii) That meet the requirements of 25 U.S.C. 2710(b)(4)(B);

(iii)Where the nature and scope of the game
remains as it was on October 17, 1988; and

(iv) Where the ownership interest or interests are the same
as on October 17, 1988.

TITLE 15 - 2


fee.

(e) Revocation of License. Class "A" licensees may have
their right to operate gaming activities within the Seminole Nation
and may have their license to game suspended for a period not to
exceed one hundred eighty (180) days, if found in violation of any
of the requirements of this Act, regulations of this Act, or other
applicable laws.

SECTION FIVE. TITLE 15 OF THE CODE OF LAWS OF THE SEMINOLE
NATION IS HEREBY AMENDED TO ADD A NEW SECTION 205-A, WHICH SHALL
READ AS FOLLOWS:

Section 205-A. Key Employee or Primary Management Class "B"
License; Application Forms.

(a) Key Employee or Primary Management Class "B" License.

The SNG Commission shall issue a Class "B" license to each key
employee or primary management official of a bingo enterprise
pursuant to Section 205-A through 205-D herein at no cost. The
license shall grant the applicant the revocable privilege of acting
as a key employee at a licensed facility during the course of his
employment, provided that the SNG Commission may review any key
employee license annually pursuant to rules and regulations
established by the SNG Commission.

(b) Application and Licensing Deadlines. When a key employee
or primary management official begins work at a gaming operation
authorized by Title 15 herein, a completed application for
employment and conduct the background investigation and make the
determination referred to in Section 205-A (i) herein. 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.

(c) Privacy Act Notice. 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 Nation or
the National Indian Gaming Commission in connection with the
hiring or firing of an employee, the issuance or revocation of

8


—_
— GAMING

provisions of Section 301 et. seq. of this Act, including any person who
unlawfully trespasses upon any premises licensed by this Code without the consent
of the licensee and/or the SNG Commission. All such action shall be taken at the
discretion of the SNG Commission subject to the right of appeal to the CFR or the
Seminole Nation Court. The SNG Commission may impose the following sanctions and
penalties on such persons:

(a) The SNG Commission shall seize all property used in each and every
separate violation of this Code. such seized property shall become the property
of the Seminole Nation.

(b) The SNG Commission may prohibit persons from trespassing on premises
licensed under this Code.

(c) The SNG Commission shall suspend, revoke, or limit licenses, and may
order the forcible closure of gaming establishments found to be in violation of
the law.

(d) The SNG Commission shall require winnings found to have been received
in violation of this Code to be forfeited and shall order it to become property
of the Seminole Nation.

(e) The conduct of gaming operations without a license from the Seminole
Nation shall subject any such gaming to the control, taxes and/or supervision of
the State of Oklahoma.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 306. Criminal Penalties. Persons found in violation of the
provisions of this Act and applicable laws shall be subject to criminal penalties
as set forth in applicable law.

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 307. Protection of Informant Identity. The SNG Commission shall
refuse to reveal, at any court proceedings, the identity of any informant, if
such revelation would subject the informant to bodily harm.

{HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991}

CHAPTER FOUR
RULES OF OPERATION AND GENERAL APPLICABILITY

Section 401. Records, Returns and Audits. It shall be the responsibility
of the SNG Commission to promulgate regulations establishing proper accounting
procedures and methods of operations for all licensees, so that all monies or
things of value received and/or paid out may be properly monitored and accounted
for. All licensees under this Code shall be required to keep an approved
accounting system, which shall comply with, but not be limited to all applicable
provisions of this Code or reflect all business and financial transactions
involved or connected in any manner with the operation and conducting of
activities authorized by this Code. The SNG Commission shall require by
regulation that all accounting procedures and methods be established by the
Seminole Nation for any licensed gaming enterprise.

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 402. Player Rates. All Gaming licensees shall charge players for
games at rates approved by the SNG Commission. The rate shall be fixed for each
licensee and posted conspicuously on the premises. Each person paying for the
opportunity to participate in a game shall be given an approved receipt for the

TITLE 15 - 17


— GAMING

(c) If, within the thirty (30) day period described above, the National
Indian Gaming Commission provides the SNG Commission with a statement itemizing
objections to the issuance of a license to a key employee or to a primary
Management official for whom the SNG Commission has provided an application and
investigative report to the National Indian Gaming Commission, the SNG Commission
shall reconsider the application, taking into account the objections itemized by
the National Indian Gaming Commission. The SNG Commission shall make the final
decision whether to issue a license to such applicant.

[HISTORY: Law 94-2, February 24, 1994]

Section 205-D. Class "B" License Suspension.

(a) If, after the issuance of a Class “B" gaming license, the SNG
Commission receives from the National Indian Gaming Commission reliable
information indicating that a key employee or a primary management official is
not eligible for employment under Section 205-A herein, the SNG shall suspend
such license and shall notify in writing the licensee of the suspension and the
proposed revocation.

(b) The SNG Commission shall notify the licensee of a time and a place for
a hearing on the proposed revocation of a license.

(c) After a revocation hearing held pursuant to Sections 216, 302 and 303,
the SNG Commission shall decide to revoke or to reinstate the Class "B" license.
The SNG Commission shall notify the National Indian Gaming Commission of its
decision.

(HISTORY: Law 94-2, February 24, 1994]

Section 206. Application for Renewal of License. REPEALED.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991;
Repealed by Law 94-2, February 24, 1994.}

Section 207. Display of License. REPEALED.

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991;
Repealed by Law 94-2, February 24, 1994.]

Section 208. Amendment of License. REPEALED.

{HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991;
Repealed by Law 94-2, February 24, 1994.]

Sec n_209. Fees. Each application for an initial or renewal license
requiring a fee shall be accompanied by payment of the fee. All license fees
shall be paid to the SNG Commission to offset compensation and expenses of the
SNG Commission.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991;
Amended Law 94-2, February 24, 1994.

Section 210. Duty of Licensee to Keep Informed of Requirements.
Acceptance of a license or renewal thereof, or condition imposed thereon, by a
licensee constitutes an agreement on the part of the licensee to be bound by all
the regulations and/or conditions of the SNG Commission and by the provisions of
this Code as the same are now or may hereafter be amended or promulgated. It is
the responsibility of the licensee to keep himself informed of the contents of

TITLE 15 - 14


w w

(o) Key Employee. "Key employee" means:

(1) A person 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; or

(3) Custodian of gambling devices including
persons with access to cash and accounting
records within such devices:

(2) If not otherwise included, any other person whose
total cash compensation is in excess of $50,000 per
year; or,

(3) I£ not otherwise included, the four most highly
compensated persons in the gaming operation.

(p) License. "License” means the permission by authority of
the Seminole Nation to do an act, which without permission could be
illegal. It is a permit granted by the SNG Commission for a
consideration to a person, group, community, firm or corporation to
pursue gaming regulation under the jurisdiction of the Seminole
Nation.

(q) Management Contract. "Management contract" means any
contract, subcontract, or collateral agreement between an Indian
Nation and a contractor or between a contractor and a subcontractor
if such contract or agreement provides for the management of all or
part of a gaming operation.

(r) National Indian Gaming Commission. "National Indian
Gaming Commission" means the federal Commission established by the
National Indian Gaming Regulatory Act.

(s) National Indian Commission Chairman. "National Indian

5


LTT

part and that is not a house banking game under § 502.11 of this
part.

(h) Gaming Operation. "Gaming operation" means each economic
entity that is licensed by a Nation, operates the games, receives
the revenues, issues the prizes, and pays the expenses. A gaming
operation may be operated by a Nation directly; by a management
contractor or, under certain conditions, by another person or other
entity.

{i) General Council. "General Council" means the General
Council of the Seminole Nation.

(ji) Hearing De Novo. “Hearing De Novo" means a new hearing
er a hearing for the second time contemplating an entire trial in
the same manner in which matter was originally heard and a review
of previous hearings.

(k) House Banking Game. "House banking game" means any game
of chance that is played with the house as a participant in the
game, where the house takes on all players, collects from all
losers, and pays all winners, and the house can win.

(1) IGRA. “IGRA" means the Federal Indian Gaming
Regulatory Act of 1988, 25 U.S.C. § 2701.

(m) Indian Lands. "Indian lands" means:
(1) Land within the limits of an Indian reservation; or

(2) Land over which an Indian Nation exercises governmental
power and that is either:

(a) Held in trust by the United States for the benefit
of any Indian Nation or individual; or

(b) Held by an Indian Nation or individual subject to
restriction by the United States against
alienation.

(n) Indian Nation. "Indian Nation" means any Indian Nation,
band, nation, or other organized group or community of Indians that
the Secretary recognizes as:

(1) Eligible for the special programs and services provided
by the United States to Indians because of their status
as Indians; and

(2) Having powers of self~government.


GAMING

(3) Class III Gaming. "Class III gaming” means all forms of gaming that
are not class I gaming or class II gaming, including but not limited
to:

(a) Any house banking game, including but not limited to:

(i) Card games such as baccarat, chemin de fer, blackjack
(21), and pai gow (if played as house banking games;

(ii) Casino games such as roulette, craps, and keno;

(b) Any slot machines as defined in 15 U.S.C. 1171(A)(1) and
electronic or electromechanical facsimiles of any game of

chance:

(c) Any sports betting and parimutuel wagering including but not
limited to wagering on horse racing, dog racing or jai alai;
or

(d) Lotteries.

(d) Collateral Agreement. “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 a
Nation (or any of its members, entities, or organizations) and a management
contractor or subcontractor (or any person or entity related to a management
contractor or subcontractor).

(e) Electronic, Computer or Other Technologic Aid. "Electronic, computer
or other technologic aid" means a device such as a computer, telephone, cable,
television, satellite or bingo blower and that when used:

(1) Is not a game of chance but merely assists a player or the playing
of a game;

(2) Is readily distinguishable from the playing of a game of chance on
an electronic or " facsimile; and

(3) Is operated according to applicable Federal communications law.

(£) Electronic or Electromechanical Facsimile. “Electronic or facsimile"
means any gambling device as defined in 15 U.S.C. 1171(a)(2)or(3).

(g) Game Similar to Bingo. "Game similar to bingo" means any game that
meets the requirements for bingo under § 502.3(a) of this part and that is not
a house banking game under § 502.11 of this part.

(h) Gaming Operation. “Gaming operation" means each economic entity that
is licensed by a Nation, operates the games, receives the revenues, issues the
prizes, and pays the expenses. A gaming operation may be operated by a Nation
directly; by a management contractor or, under certain conditions, by another
person or other entity.

(i) General Council. “General Council" means the General Council of the
Seminole Nation.

(j) Hearing De Novo. “Hearing De Novo” means a new hearing or a hearing
for the second time contemplating an entire trial in the same manner in which
matter was originally heard and a review of previous hearings.

(k) House Banking Game. “House banking game" means any game of chance
that is played with the house as a participant in the game, where the house takes
on all players, collects from all losers, and pays all winners, and the house can
win.

(1) IGRA. “IGRA" means the Federal Indian Gaming
Regulatory Act of 1988, 25 U.S.C. § 2701.

TITLE 15 ~- 3


— ww

(b) To set up working policy for the gaming operation;
or

(3) The chief financial officer or other person who has
financial management responsibility.

(x) Secretary. "Secretary" means the Secretary of the
Interior.
(y) SNG Commission. "SNG Commission" means the Seminole

Nation Gaming Commission established pursuant to this Act.

(z) SNG Commissioner. “SNG Commissioner” means a member of
the Seminole Nation Gaming Commission.

(zz) Tribal-State Compact. "Tribal-State compact” means an
agreement between a Nation and a state about class III gaming under
25 U.S.C. 2710(d).

SECTION THREE. THE FOLLOWING SECTIONS ARE HEREBY REPEALED,
DUE TO RECODIFICATION OF SIMILAR PROVISIONS ELSEWHERE IN THE CODE:
SECTION 202, 205, 206, 207, 208, 213.

SECTION FOUR. SECTION 204 OF TITLE 15 OF THE CODE OF LAWS OF
THE SEMINOLE NATION IS HEREBY AMENDED TO READ AS FOLLOWS:

(a) Facility Class "A" License. The SNG Commission shall
issue a separate Class "A" license to each place, facility, or
location on Indian lands where class II gaming is conducted under
Title 15 of the Code of Laws of the Seminole Nation. The license
shall be issued for an annual fee of Three hundred dollars ($300).
The license shall grant the applicant the revocable privilege of
conducting gaming operations during the calendar year for which the
license was issued. All establishments wherein gaming operations
are to be conducted must be certified as safe by the SNG Commission
prior to issuance of a license.

{b) Application and Renewal Deadlines. Applications for
Class "A" licenses shall be submitted at least ninety (90) days
prior to the initial conduct of business, and shall be submitted by
October 1 of the year preceding the calendar year for which the
license is sought.

(c) Display of License. Every Class "A" licensee shall
display in a prominent place a current and valid license for that
location.

(d) Amendment of License. When a Class "A" licensee changes
a location of gaming activities within the Seminole Nation, the SNG
Commission shall issue a corrected license for the balance of the
current period reflecting the new address upon reasonable proof of
change of address and without imposition of an additional license

7


~ GAMING

Management agreements with the tribe.

(d) The Gaming Monitor shall provide weekly reports to the Treasurer or
his authorized representative in a form prescribed by SNG Commission regulations,
and shall provide the Treasurer with all other financial reports obtained from
managers of tribal gaming operations when obtained. The Treasurer shall have the
Monitor’s weekly reports placed in the form of monthly reports, which shall be
provided to the SNG Commission at their monthly meetings, along with any other
financial reports obtained by the Monitor. The Treasurer shall have the
Monitor’s reports and any other financial reports obtained compiled into
quarterly financial reports, which shall be provided to the Council on a
quarterly basis.

(e) A bond in the amount of Fifty Thousand Dollars ($50,000.00) shall be
posted for the Gaming monitor by the Seminole Nation.

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Sec. 107. Authority of the SNG Commission. The SNG Commission may
exercise any proper power and authority necessary to perform the duties assigned
by this Code, including but not limited to the following:

(a) The individual members of the SNG Commission shall have the authority
to attend gaming sessions of licensees of the Seminole Nation, including gaming
sessions of all gaming enterprises which do not hold licenses but are required
by IGRA to be licensed, in order to provide oversight of the Bingo Monitor and
to ensure financial accountability and to ensure compliance with IGRA, this Code,
and SNG Commission regulations, provided that such attendance occurs in such
Manner and frequency as shall be prescribed by SNG Commission regulations, and
provided further, that such authorization of attendance shall not be interpreted
as authorization to abolish the Bingo Monitor position, nor shall any SNG
Commissioner be hired for that position. In the event of a vacancy in the Bingo
Monitor position, the SNG Commission shall assume such responsibilities in a
manner consistent with its oversight responsibilities.

(b) The SNG Commission shall have the authority to hold public hearings,
take sworn testimony and do any other legal act in furtherance of its duties.

(c) The SNG Commission may utilize the legal services of the Attorney
General of the Seminole Nation. The SNG Commission may also engage separate
legal counsel for any gaming enterprise of the Seminole Nation and may engage
separate legal counsel for the SNG Commission, subject to approval of the General
council.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991)

CHAPTER TWO

LICENSING
Section 201. License _reguired. Any person conducting public gaming

Operations on property within the Seminole Nation and which is subject to the
jurisdiction of the Seminole Nation shall be required to have and display
prominently an appropriate, valid and current Public Gaming license issued
pursuant to the provisions of this Code. A separate license is required for each
place, facility, or location at which gaming operations are conducted. Any other
forms of Public Gaming operations being conducted within the jurisdiction of the
Seminole Nation without the lawful written approval of the Seminole Nation Gaming
Commission are prohibited.

{HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

TITLE 15 - 9


NATIONAL
INDIAN
GAMING
COMMISSION

Jerry Haney, Principal Chief
Seminole Nation of Oklahoma
P.O. Box 1498

Wewoka, Oklahoma 74884

Dear Chief Haney:

This letter responds to your request to review and approve the
Seminole Nation Gaming Code as amended by the Seminole Nation of
Oklahoma (the Nation) on February 24, 1994. This letter
constitutes such approval under the Indian Gaming Regulatory Act
(IGRA).

Under the IGRA and the regulations of the National Indian Gaming
Commission (NIGC), the Chairman is directed to review ordinances
with respect to the requirements of the IGRA and the implementing
regulations. Thus, the scope of the Chairman's review and
approval is limited to the requirements of the IGRA and the NIGC
regulations. Provisions other than those required under the IGRA
or the NIGC regulations that may be included in a tribal
ordinance are not subject to review and approval. Such approval
does not constitute approval of specific games. Also, the gaming
ordinance is approved for gaming only on Indian lands as defined
in the IGRA.

It is important to note that while we have approved the Nation's
gaming ordinance, the Nation must still submit the description of
procedures for conducting background investigations on key
employees and primary management officials as discussed with the
NIGC staff.

With the Chairman's approval of the Nation's gaming ordinance,
the Nation is now required to conduct background investigations
on its key employees and primary management officials. The NIGC
expects to receive a completed application for each key employee
and primary management official pursuant to 25 C.F.R. § 556.5(a)
and an investigative report on each background investigation
before issuing a license to a key employee or primary management
official pursuant to 25 C.F.R. § 556.5(b).


(2)

(3)

(4)
(5)

(6)

(7)

(8)

(9)

(10)

(11)

(12)

citizenship, gender, all languages (spoken or written);

Currently and for the previous 5 years: business and
employment positions held, ownership interests in those
businesses, business and residence addresses, and drivers
license numbers;

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

Current business and residence telephone numbers;

A description of any existing and previous business
relationships with Indian Nations, including ownership
interests in those businesses;

A description of any existing and previous business
relationships with the gaming industry generally,
including ownership interests in those businesses;

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;

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;

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

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;

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;

A current photograph;

10


a gaming license, or investigations of activities while
associated with a Nation or a gaming operation. Failure to
consent to the disclosures indicated in this notice will
result in the Nation’s 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."

(ad) Privacy Act Notice Update for Existing Employees. Key
employee and primary management officials already employed as of
February 24, 1994 shall be notified in writing that they shall
either:

(1) Complete a new application form that contains a Privacy
Act notice; or

(2) Sign a statement that contains the Privacy Act notice and
consent to the routine uses described in that notice.

(e) Notice of Penalties for False Statements. The following
notice shall be placed on the application form for a key employee
or a primary official 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.)

(f) Notice of Penalties Update for Existing Employees. The
SNG Commission shall notify in writing key employees and primary

management officials already employed as of February 24, 1994 that
they shall either:

(1) Complete a new application form that contains a notice
regarding false statements; or

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

(g) Background Investigation. A background investigation for
each primary management official and key employee is required,
provided that if a tribal-state compact provides that a state has
exclusive jurisdiction with respect to conducting background
investigations and issuing licenses, the background investigation
provisions shall not apply to class III gaming. The SNG Commission
shall request from each primary management official and from each
key employee all of the following information:

(1) Full name, other names used (oral or written), social
security number(s), birth date, place of birth,

9


—
~~ GAMING

provided. All hearings conducted pursuant to this Section shall be conducted in
compliance with Section 301 et. seq. of this Act.

{ HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991}

Section 217. Implementation of Licensing Requirements. The SNG Commission
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 Indian Lands.

[HISTORY: Law 94-2, February 24, 1994.)
CHAPTER THREE
ENFORCEMENT PROVISIONS

Section 301. Certification of Initial Decision. Whenever upon specific
factual finding the SNG Commission determines that sanctions provided in Section
305 herein should be imposed on a person because that person has failed to comply
with the provisions of this Code or any regulation promulgated hereunder, or
where the SNG Commission takes any action terminating, revoking, suspending,
limiting, or denying the issuance of a license, the SNG Commission shall make a
certification of findings with a copy thereof to the subject or subjects of that
determination. After five (5) days notice and within ninety (90) days thereof,
the SNG Commission shall hold a hearing at which time the subject shall have an
opportunity to be heard and present evidence.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991}

Section 302. Hearing. At such hearing it shall be the obligation of the
subject to show cause why the determination is incorrect, why the application in
question shall not be denied, why the license or licenses in question shall not
be revoked or suspended, why the period of suspension should not be extended, or
to show cause why special conditions or limitations upon a license or permit
should not be imposed, or to show cause why any other action regarding any other
person or persons subject to any action should not be taken.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 303. Decision. Following such hearing the SNG Commission shall,
within seven (7) days, reach a determination concerning the accuracy of the
preliminary certification of facts and whether the license in question should
be granted, continued or suspended, revoked, conditioned or limited, and whether
or not any other action recommended to or by the SNG Commission should be taken.
Within three (3) days following this determination the SNG Commission shall
inform the subject in writing of that determination. The decision of the SNG
Commission shall be final and unappealable to any other administrative,
executive, legislative or judicial forum.

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991;
Amended Law 94-2, February 24, 1994]

Section 304. Right to appeal. REPEALED.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991;
Repealed Law 94~2, February 24, 1994.]

Section 305. Sanctions. Any person who engages in activities on property
subject to the provisions of this Code without a license, in violation of the
terms imposed thereon, in violation of terms of suspension, or in violation of
any other provision of this Code, regulations promulgated thereunder or
amendments thereto, shall be subject to SNG Commission action pursuant to the

TITLE 15 - 16


ww —_
GAMING

all such regulations, provisions, and conditions, and ignorance thereof will not
excuse the violations.

[ HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 211. Licenses Non-transferable. The license issued pursuant to
the provisions of this Code is valid only for the person(s) or organization(s)
at the place of business shown on the face thereof. It is not assignable or
otherwise transferable to any other person or organization or for any other
location without the written approval of the SNG Commission.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 212. Licenses Revocable. The Public Gaming Operations license is
a revocable privilege, and no holder thereof shall be deemed to have a part in
any vested rights therein or thereunder. The burden of proving qualifications
to hold any license rests at all times in the licensee. The SNG Commission is
charged by law with the duty of continually observing the conduct of all
licensees to the end that licenses shall not be held by unqualified or
disqualified persons or unsuitable person or persons whose operations are
conducted in an unsuitable manner.

{HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 213. Suspension of Licenses. REPEALED.

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991;
Repealed by Law 94-2, February 24, 1994.]

Section 214. SNG Commission Review of Contracts. As a provision of
licensing, all contracts or agreements with the Seminole Nation that include
gambling or related activities must be reviewed by the SNG Commission. The SNG
Commission shall make recommendations to the Council regarding approval or
disapproval of said contracts and agreements.

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 215. Grounds for Denial, Suspension, Revocation or Refusal to Renew
License. Violation of any provisions of this Code or any of the SNG Commission’s
rules by a licensee, his agent, or employee shall be deemed contrary to the
public health, safety, morals, good order, and general welfare of the Seminole
Nation and the inhabitants of the Seminole Nation, and shall be grounds for
refusing to grant or renew a license, grounds for suspension or revocation of a
license or grounds for the filing of a civil action for forfeiture by the SNG
Commission.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 216. Denial and Revocation of Licenses; Hearing. The sNG
Commission shall afford an applicant for a license an opportunity for a hearing

prior to final action denying such application and shall afford a licensee or any
other person(s) subject to this Code the opportunity for a hearing prior to
taking final action resulting in terminating, revoking, suspending, or limiting
a license or any other adverse action the SNG Commission deems appropriate;
provided, that prior to hearing the SNG Commission may summarily temporarily
suspend or extend suspension of license for sixty (60) days in those cases where
such action is deemed appropriate by the SNG Commission. In cases where a
license is suspended prior to a hearing, an opportunity for a hearing shall be

TITLE 15 - 15


Gaming Commission Chairman" means the Chairman of the National
Indian Gaming Commission.

(t) Net Revenues. "Net revenues" means gross gaming revenues
of an Indian gaming operation less:

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

(2) Total gaming-related operating expenses, excluding
management fees.

(u) Person Having a Direct or Indirect Financial Interest in
a_Management Contract. "Person having a direct or indirect
financial interest in a management contract" means:

(1) When a person is a party to a management contract, any
person having a direct financial interest in such
Management contract:

(2) When a trust is a party to a management contract, any
beneficiary or trustee;

(3) When a partnership is a party to a management contract,
any partner;

(4) When a corporation is a party to a management contract,
any person who is a director or who holds at least 10% of
the issued and outstanding stock alone or in combination
with another stockholder who is a spouse, parent, child
or sibling; or

(5) When an entity other than a natural person has an
interest in a trust, partnership or corporation that has
an interest in a management contract, all parties of that
entity are deemed to be persons having a direct financial
interest in a management contract.

(v) Person Having Management Responsibility for a Management
Contract. "Person having management responsibility for a
management contract" means the person designated by the management
contract as having management responsibility for the gaming
operation, or a portion thereof.

(w) Primary Management Official. “Primary management
official" means:

(1) The person having management responsibility for a
Management contract:

(2) Any person who has authority;
(a) To hire and fire employees; or

6


GAMING

(zz) Tribal-Sstate Compact. "Tribal-state compact" means an agreement
between a Nation and a state about class III gaming under 25 U.S.C. 2710(d).

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991;
Amended by Law No. 92-1, March 7, 1992;

Amended by Law No. 94-2, February 24, 1994.]j

Section 6. Interpretation of Act. The provisions of this Act, being
necessary for the welfare of the Seminole Nation and its inhabitants, shall be
liberally construed to effect the purpose and object thereof. Section headings
contained herein shall not be deemed to govern, limit, modify or in any manner
affect the scope, meaning or intent of the provisions of any article or section
hereof.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 7. Severability. The provisions of this Act are severable and if
any part or provision hereof shall be held void by a court of competent
jurisdiction, the decision of the court so holding shall not affect or impair any
of the remaining parts or provisions of this Act.

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 8. Repeal of Inconsistent Legislation. This Act is intended to
amend and replace Seminole Nation Ordinance 86-2 in its entirety. All other laws
of the Seminole Nation inconsistent with the provisions of this Act and existing
as of the effective date of this Act are hereby repealed, including all
inconsistent laws, ordinances, and resolutions, and all inconsistent parts of
laws, ordinances, and resolutions. Repeal by this Code of any law, ordinance,
or resolution shall not have the effect of reviving any prior law, ordinance, or
resolution theretofore repealed or suspended by such repealed code.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991;

Law 94-2, February 24, 1994 ("Any provision in Title 15 which

is inconsistent with this amendment is hereby repealed. This
law shall be effective upon date of passage.") ]

Section 9. Codification. At such time as the laws and ordinances of the
Seminole Nation are codified, this Act shall be included in the Seminole Nation
Code of Laws, and an appropriate title number and section numbers shall be
assigned to the provisions of this Act.

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 10. Effective Date of Act. This Act shall become effective as an
amendment to Seminole Nation Ordinance 86-2 immediately upon passage of this Act
by the General Council of the Seminole Nation.

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 11. Proprietary Interest. The Seminole Nation shall have sole
proprietary interest and responsibility for the conduct of gaming activities
conducted in Indian country subject to the jurisdiction of the Seminole Nation,
with the exception of tribally licensed gaming operations owned by any person or
entity other than the Seminole Nation and conducted in Indian country subject to
the jurisdiction of the Seminole Nation.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

TITLE 15 - 6


w GAMING -
business address where service of process and delivery of mail can be made, and
home address of such designated resident agent shall be filed with the snc
Commission. All said manufacturers of distributors must be listed with the SNG
SNG Commission.

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 431. Exhibition of Ball Numbers to Players. Immediately before
the calling of each number in a game, the caller shall turn the portion of the
ball or other device used to determine which number is called, which shows the
number and letter to the participants in the game, so that participants may know
that the proper number is being called out.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 432. Progressive Payout. All licensees conducting games with a
progressive payout feature will provide to the SNG Commission, for approval, the
system for accumulation and account restrictions of funds so designated. The
procedure and any amendments thereto must receive prior written approval of the
SNG Commission.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 433. Employee Listings. All employees must be listed with the SNG
Commission. Such lists are to be kept current.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991)

CHAPTER FIVE
REVENUES AND AUDITS

Section 501. All revenue derived from gaming operations which are
subject to the provisions of this act shall be deposited to the General Fund of
the Seminole Nation to be budgeted for the general welfare of the members of the
seminole Nation, provided that net revenues generated by the Nation from gaming
activities, may not be used for any purpose except the following: to fund tribal
government or programs, to provide for the general welfare of the Nation and its
members, to promote tribal economic development, to donate to charitable
organizations, or to help fund operations of local government agencies of the
Seminole Nation.

{HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 502. The Seminole Nation shall provide the Federal Indian
Gaming Commission with annual outside audits of gaming, which may be encompassed
within existing independent tribal audit systems. All contracts for supplies,
services, or concessions for a contract amount in excess of $25,000 annually
(except contracts for professional legal or accounting services) relating to
gaming shall be subject to such independent audits.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

TITLE 15 - 23


- GAMING

conducting background investigations and issuing licenses, the background
investigation provisions shall not apply to class III gaming. The SNG Commission
shall request from each primary management official and from each key employee
all of the following information:

(1)

(2)

(3)

(4)
(5)

(6)

(7)

(8)

(10)

(11)

(12)
(13)

(14)

(h)

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

currently and for the previous 5 years: business and employment
positions held, ownership interests in those businesses, business
and residence addresses, and drivers license numbers;

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

Current business and residence telephone numbers;

A description of any existing and previous business relationships
with Indian Nations, including ownership interests in those
businesses;

A description of any existing and previous business relationships
with the gaming industry generally, including ownership interests in
those businesses;

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;

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;

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

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;

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;

A current photograph;

Any other information the SNG Commission deems relevant, including
but not limited to financial statements of the gaming enterprise
Manager, assistant manager and cashier; and

Fingerprints consistent with procedures adopted by the SsNG
Commission according to 25 C.F.R. § 522.2(h).

Conduct _of Investigation. The SNG Commission shall conduct an

investigation sufficient to make a determination under Section 205-A (i) herein.
In conducting a background investigation, the SNG Commission or its agent shall
promise to keep confidential the identity of each person interviewed in the

TITLE 15 - 12


(b)

(c)

(d)

(e)

(ii) Play for prizes with cards bearing numbers or
other designations;

(iii)Cover numbers or designations when object,
similarly numbered or designated are drawn or
electronically determined; and

(iv) Win the game by being the first person to
cover a designated pattern on such cards;

If played in the same location as bingo or lotto,
pull-tabs, punch boards, tip jars, instant bingo,
and other games similar to bingo;

Nonbanking card games that:

(i) State law explicitly authorizes, or does not
explicitly prohibit, and are played legally
anywhere in the state: and

(ii) Players play in conformity with state laws and
regulations concerning hours, periods of
operation and limitations on wagers and pot
sizes:

Card games played in the states of Michigan, North
Dakota, South Dakota, or Washington if:

(i) An Indian Nation actually operates the same
card games as played on or before May 1, 1988
as determined by the Chairman; and

(ii) The pot and wager limits remain the same as on
or before May 1, 1988 as determined by the
Chairman;

Individually owned class II gaming operations-

(i) That are operating on September 1, 1986:

(ii) That meet the requirements of 25 U.S.C.
2710(b) (4) (B);

(iii)Where the nature and scope of the game
remains as it was on October 17, 1988; and

(iv) Where the ownership interest or interests are
the same as on October 17, 1988.


SECTION EIGHT. A NEW SECTION 205-D OF TITLE 15 OF THE CODE
OF LAWS OF THE SEMINOLE NATION IS HEREBY ADDED AS FOLLOWS:

Section 205-D. Class License Suspension.

(a) I£, after the issuance of a Class "B" gaming license, the
SNG Commission receives from the National Indian Gaming Commission
reliable information indicating that a key employee or a primary
management official is not eligible for employment under Section
205-A herein, the SNG shall suspend such license and shall notify
in writing the licensee of the suspension and the proposed
revocation.

(b) The SNG Commission shall notify the licensee of a time and
a place for a hearing on the proposed revocation of a license.

(c) After a revocation hearing held pursuant to Sections 216,
302 and 303, the SNG Commission shall decide to revoke or to
reinstate the Class "B" license. The SNG Commission shall notify
the National Indian Gaming Commission of its decision.

SECTION NINE. SECTION 209 OF TITLE 15 OF THE CODE OF LAWS OF
THE SEMINOLE NATION IS HEREBY AMENDED TO READ AS FOLLOWS:

Section 209. Fees. Each application for an initial or
renewal license requiring a fee shall be accompanied by payment of
the fee. All license fees shall be paid to the SNG Commission to
offset compensation and expenses of the SNG Commission.

SECTION TEN. A NEW SECTION 217 OF TITLE 15 OF THE CODE OF
LAWS OF THE SEMINOLE NATION IS HEREBY_ADDED AS FOLLOWS:

Section 217. Implementation of Licensing Requirements. The
SNG Commission 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 Indian Lands.

SECTION ELEVEN. TITLE 15, SECTION 303, IS HEREBY AMENDED TO
ADD THE SENTENCE: “THE DECISION OF THE SNG COMMISSION SHALL BE
FINAL AND UNAPPEALABLE TO ANY OTHER ADMINISTRATIVE, EXECUTIVE,
LEGISLATIVE OR JUDICIAL FORUM."

SECTION TWELVE. TITLE 15, SECTION 304 IS HEREBY REPEALED.

13


TITLE 15

GAMING

GENERAL PROVISIONS

Sect.
Gaming Act

mi. Title. This Act shall be cited as the "Seminole Nation Public

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 2. Authority. The Nation is empowered to enact this Act pursuant
to the Constitution of the Seminole Nation, Art. V, Sec. (a) & (d).

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 3. Findings. The General Council finds that:

(a) The present needs of the Seminole people include employment and
training, health care, educational opportunities, nutrition, mental health,
juvenile services, housing, planning and development, legal services, senior
citizen programs and social services which are not presently being met in
sufficient quantity by United states government agencies.

(b) The Seminole Nation desires to be self-sufficient in its internal
affairs, as reliance upon federal resources has been adverse to the quality of
life within this nation in both the recent and far past.

(c) The regulation of public gaming within the Seminole Nation is in the
interest of the Seminole people and their health and welfare;

(d) Public gaming operations have been introduced to the Seminole Nation,
and it is of vital interest to the public health, safety and welfare of the
Seminole people that the Nation regulate public gaming in a manner commensurate
with the interests of the Seminole people;

(e) The Indian Gaming Regulatory Act of 1988, 25 U.S.C. § 2701 et seq.,
recognizes the authority of the Seminole Nation to regulate gaming within its
borders;

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 4. Purpose. The purpose of this Act is to promote the public
health, safety and welfare of the Seminole people by regulation of public gaming
activities and to generate revenues for self perpetuation and essential
governmental services.

[ HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 5. Definitions. For the purpose of this Act--

(a) Chairman. "Chairman" means the Chairman of the National Indian Gaming
Commission or his designee.

(b) Chief, "Chief" means the Principal Chief of the Seminole Nation.


SEMINOLE NATION OF OKLAHOMA
LAW NO. 94-2

A LAW AMENDING TITLE 15 OF THE CODE OF LAWS OF THE SEMINOLE NATION
OF OKLAHOMA TO ADD PROVISIONS CONFORMING WITH FEDERAL REGULATIONS.

BE IT ENACTED BY THE GENERAL COUNCIL OF THE SEMINOLE NATION OF
OKLAHOMA:

SECTION ONE. TITLE 15 OF THE CODE OF LAWS OF THE SEMINOLE
NATION IS HEREBY AMENDED TO CHANGE THE DESIGNATION OF SUB-SECTIONS
FROM NUMBERS TO LETTERS FOLLOWED BY NUMBERS, TO CONFORM WITH THE
DESIGNATION OF SUB-SECTIONS CONTAINED IN OTHER TITLES. TITLE 15 IS
FURTHER AMENDED TO CHANGE CROSS-REFERENCES [CITATIONS OF OTHER
SECTIONS WITHIN THE LAW], SO THAT THEY ARE CONSISTENT WITH ANY
AMENDMENTS OF SECTION NUMBERS CONTAINED HEREIN. TITLE 15 IS
FURTHER AMENDED TO CHANGE ALL REFERENCES TO "COMMISSION" TO READ
“SNG COMMISSION;" TO CHANGE ALL REFERENCES TO "COMMISSIONERS" TO
"SNG COMMISSIONERS"; AND TO CHANGE ALL REFERENCES TO "FIGRA" TO
“IGRA."

SECTION TWO. TITLE 15, SECTION 5 OF THE CODE OF LAWS IS
HEREBY AMENDED TO READ AS FOLLOWS:

(a) Chairman. "Chairman" means the Chairman of the National
Indian Gaming Commission or his designee.

(b) Chief. "Chief" means the Principal Chief of the Seminole
Nation.

(c) Gaming. "Gaming" means all forms of Class I, Class II, or
Class III, which are defined as follows:

(1) Class I Gaming. "Class I Gaming” is:

(a) Social games played solely for prizes of minimal
value; or

(b) Traditional forms of Indian gaming when played by
individuals in connection with tribal ceremonies or
celebrations

(2) Class II Gaming. "Class II gaming" means:

(a) Bingo or lotto (whether or not’ electronic,
computer, or other technologic aids are used) when
players:

(i) Play for prizes with cards bearing numbers or
other designations;


GAMING

or co2 guns, rifles, shotguns, pistols, or revolvers shall be allowed on the
premises, except as permitted by regulation of the SNG Commission.

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991}

Section 425. Credit. No licensee or any of its members or employees, or
any operator conducting or in any way participating in the conducting of any of
the activities, which are authorized by this Code or by the SNG Commission’s
rules, shall allow a person to play that activity on credit or shall grant a loan
of any kind at any time to a person playing the activity, except that such credit
prohibition shall not prohibit the charging of gaming costs on credit cards
nationally known and approved by the SNG Commission.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 426. Fraud. No person involved in the operation of any activity
authorized by this Code or a rule of the SNG Commission shall, directly or
indirectly, in the course of such operation employ any device, scheme, or
artifice to defraud; make any untrue statement of a fact, or omit to state a fact
necessary in order to make a statement not misleading in consideration of the
circumstances under which such statement was made; engage in any act, practice,
or course of operation as would operate as a fraud of deceit upon any person.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 427. Laws and Regulations on Premises. Each licensee shall
obtain, maintain, and keep current a copy of this Act and all regulations of the
SNG Commission and any amendments to either, which shall be located upon the
premises used for the conduct of a licensed activity by a licensee during all
times the activity is there conducted. The rules shall be produced by the
licensee and shown to any person upon demand. The fact that the licensee may not
have a current copy of each of the rules of the SNG Commission shall not in any
way diminish the licensee’s obligation to abide these rules.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 428. Leases_and Agreements. No licensee shall conduct any
activity authorized under this Code upon any premises, if the lease, license,
contract, or any other agreement under which right to use said premises is not
first fully disclosed to the SNG Commission.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 429. No Restrictions on Operations. No manufacturer or
distributor shall make or have an agreement or understanding with any licensee
that either of them shall be restricted in the operation and carrying on of
business to a specific geographic area or areas, and such a restriction shall not
be a condition of any sales between manufacturer, distributor and any other
licensee, provided, that this shall not prevent a distributor or manufacturer
from assigning sales territories among its bona fide representatives.

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 430. Manufacturers and Distributors. All licensees shall be
responsible to insure that each manufacturer and each distributor selling or
distributing equipment or other things used, directly or indirectly, in said
licensee’s gambling activities and who is not a Seminole Nation resident or
resident corporation shall designate a natural person, who is a resident living
in the Seminole Nation and who is eighteen (18) years of age or older, as a
resident agent for the purpose of receipt and acceptance of service of process
and other communications on behalf of the manufacturer distributor. The name and

TITLE 15 - 22


~ GAMING

Section 202. Classes and fees. REPEALED

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991;
Repealed by Law 94-2, February 24, 1994.]

Section 203. Exemptions. Gaming conducted by churches and ceremonial
grounds and “gaming not for gain" are not public gaming operations under the
terms of this Code, and therefore do not require a license under this title.
“Gaming not for gain" is gaming in which no cash or valuable prizes are won,
other than ‘points’ for cumulative competitive ratings, or ‘places’ for immediate
competitive rankings, and is not subject to the provisions of this Code.
However, with the exception of churches and ceremonial grounds, gaming for gain
which is conducted by a non-profit organization is subject to the requirements
of this Code if cash or valuable prizes are awarded. "Valuable Prize" means an
object or service worth One Hundred Dollars ($100.00) or more in fair market
value.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 204. _Applications for Licenses.

( Facility Class "A" License. The SNG Commission shall issue a separate
Class “ license to each place, facility, or location on Indian lands where
class II gaming is conducted under Title 15 of the Code of Laws of the Seminole
Nation. The license shall be issued for an annual fee of Three hundred dollars
($300). The license shall grant the applicant the revocable privilege of
conducting gaming operations during the calendar year for which the license was
issued. All establishments wherein gaming operations are to be conducted must
be certified as safe by the SNG Commission prior to issuance of a license.

(b) Application and Renewal Deadlines. Applications for Class "A"
licenses shall be submitted at least ninety (90) days prior to the initial
conduct of business, and shall be submitted by october 1 of the year preceding
the calendar year for which the license is sought.

(c) Display of License. Every Class "A" licensee shall display in a
prominent place a current and valid license for that location.

(d) Amendment of License. When a Class "A" licensee changes a location
of gaming activities within the Seminole Nation, the SNG Commission shall issue
a corrected license for the balance of the current period reflecting the new
address upon reasonable proof of change of address and without imposition of an
additional license fee.

(e) Revocation of License. Class "A" licensees may have their right to
operate gaming activities within the Seminole Nation and may have their license
to game suspended for a period not to exceed one hundred eighty (180) days, if
found in violation of any of the requirements of this Act, regulations of this
Act, or other applicable laws.

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991;
Amended by Law 92-4, February 24, 1994.]

Section 205. Safety; Issuance of License. REPEALED.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991;
Repealed by Law 94-2, February 24, 1994.]

Section 205-A. Key Employee or Primary Management Class "B" License;
Application Forms.

(a) Key Employee or Primary Management Class "B" License. The SNG
Commission shall issue a Class "B" license to each key employee or primary

TITLE 15 - 10


Td awry

Thank you for submitting the ordinance of the Seminole Nation of
Oklahoma for review and approval. The NIGC staff and I look

forward to working with you and the Nation in implementing the
IGRA.

Sincerely yours,

Anthony J. Hope
Chairman


~ GAMING

game or pack, which shall be numbered and dated, which can be readily identified
as belonging to that licensee. Each game or pack issued shall represent a
specific amount of money which has been paid to the licensee. The amount of
money represented by each game or pack issued shall be clearly made known to all
players prior to anyone paying to participate in the activity.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 403. Licensee Avoidance of Payment of Proceeds. Any delay,
maneuver or action of any kind, which in the opinion of the SNG Commission, is
effectuated by any licensee to unlawfully avoid paying the proceeds properly
owing to the Seminole Nation shall constitute grounds for taking any disciplinary
action deemed necessary by the SNG Commission, including but not limited to
revoking, suspending, limiting, or refusing to renew the license of any licensee.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 404. Production of Records; Hearings. No applicant, licensee, or
employee thereof shall neglect or refuse to produce records or evidence under
their control, or to give information upon proper and lawful demand by the SNG
commission, or shall otherwise interfere with any proper and lawful efforts by
the SNG Commission to produce such information. The SNG Commission may summon
any licensee or a licensee’s agents, employees, or suppliers to appear to testify
with regard to the conduct of any licensee or the agents, employees, or suppliers
of any licensee. All such testimony shall be given under oath and may embrace any
matters, which the SNG Commission may deem relevant to the discharge of its
official duties. Any person so summoned to appear shall have the right to be
represented by counsel. Any testimony so taken may be used by the SNG Commission
as evidence in any proceeding or matter before the SNG Commission. Failure to
appear and testify fully at the time and place designated, unless excused, shall
constitute grounds for revocation of suspension of any license held by the person
summoned, his principal, or employee, or the loss of the privilege to further
supply any person licensed under this Code.

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 405. Security Licensees Shall Provide for their Facility Security.
Security plans or amendments shall be approved by the SNG Commission prior to
implementation.

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 406. Dual Employment. Unless prior written approval is obtained
from the SNG Commission, no person employed in the conduct of Gaming operating
under one license shall be employed under any other license authorized to operate
under this Code.

[HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 407. Age Limit for Gaming. No person, who is under the age of
eighteen (18), shall be allowed to participate in any manner in the operation of
any game with cash prizes. No person(s) under the age of sixteen (16) shall be
allowed on the gaming floor while games for cash prizes are being conducted. No
person(s) under the age of twelve (12) shall be allowed on the premises
unsupervised. It shall be the responsibility of the licensee to enforce the
provisions of this section.

(HISTORY: Ordinance No. 86-2; Ordinance No. 91-08, August 29,
1991; Codified by Law 91-12, November 16, 1991]

Section 408. On duty operators shall not play. No operator shall allow
a person who manages or receives any compensation, directly or indirectly, for

TITLE 15 - 18


GAMING

course of the investigation.

(i) Background Review; Decision. The SNG Commission shall review the
person’s 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 SNG
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 or 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.

(HISTORY: Law 94-2, February 24, 1994]

Section 205-B. Class " Licensing Report to the National Indian Gaming

Commission

(a) The SNG Commission shall forward an investigative report on each
background investigation to the National Indian Gaming Commission within 60 days
after an employee begins work or within 60 days of the National Indian Gaming
Commission Chairman’s approval of Title 15, as amended by the Nation on February
24, 1994. An investigative report shall include all of the following:

(1) Steps taken in conducting a background investigation;
(2) Results obtained;

(3) Conclusions reached; and

(4) The bases for those conclusions.

(b) The SNG Commission shall submit, with the report, a copy of the
eligibility determination made under Section 205-A (i) of this section.

(c) If a license is not issued to an applicant, the SNG Commission:
(1) Shall notify the National Indian Gaming Commission; and

(2) 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.

(d) With respect to key employees and primary management officials, the
SNG Commission 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.

[HISTORY: Law 94-2, February 24, 1994]

Section 205-c. Granting a Class "B" Gaming License.

(a) If, within a thirty (30) day period after the National Indian Gaming
Commission receives a report, the National Indian Gaming Commission notifies the
SNG Commission 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 SNG Commission has provided an application and investigative report
to the National Indian Gaming Commission, the SNG Commission may issue a license
to such applicant.

(b) The SNG Commission shall respond to a request for additional
information from the National Indian Gaming Commission Chairman concerning a key
employee or a primary management official who is the subject of a report. Such
a request shall suspend the 30-day period under Section 205-c (a) herein until
the National Indian Gaming Commission Chairman receives the additional
information.

TITLE 15 - 13


(13) Any other information the SNG Commission deems relevant,
including but not limited to financial statements of the
gaming enterprise manager, assistant manager and cashier;
and

(14) Fingerprints consistent with procedures adopted by the
SNG Commission according to 25 C.F.R. § 522.2(h).

(h) Conduct of Investigation. The SNG Commission shall
conduct an investigation sufficient to make a determination under
Section 205-A (i) herein. In conducting a background

investigation, the SNG Commission or its agent shall promise to
keep confidential the identity of each person interviewed in the
course of the investigation.

(i) Background Review; Decision. The SNG Commission shall
review the person’s 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 SNG 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 or 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.

SECTION SIX. A NEW SECTION 205-B OF TITLE 15 OF THE CODE OF
LAWS OF THE SEMINOLE NATION IS HEREBY ADDED AS FOLLOWS:

Section 205-B. Class "B" Licensing Report to the National
Indian Gaming Commission

(a) The SNG Commission shall forward an investigative report
on each background investigation to the National Indian Gaming
Commission within 60 days after an employee begins work or within
60 days of the National Indian Gaming Commission Chairman’s
approval of Title 15, as amended by the Nation on February 24,
1994. An investigative report shall include all of the following:

(1) Steps taken in conducting a background investigation;
(2) Results obtained;

(3) Conclusions reached; and

(4) The bases for those conclusions.

(b) The SNG Commission shall submit, with the report, a copy

of the eligibility determination made under Section 205-A (i) of
this section.

11


SECTION THIRTEEN . ANY PROVISION IN TITLE 15 WHICH IS
INCONSISTENT WITH THIS AMENDMENT IS HEREBY REPEALED. THIS LAW
SHALL BE EFFECTIVE UPON DATE OF PASSAGE.

PASSED AND APPROVED by the General Council of the Seminole
Nation of Oklahoma this 24th day of February, 1994, at Mekusukey
Mission south of Seminole, Oklahoma, by a vote of £O FOR, g
OPPOSED, and @& _ ABSTAINING, a quorum consisting of fifteen

members being present.
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(Pry P Haney f Principal Chief

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Loretta Finkenberg 4 nted, quali-
Acting General Council Secretary = certify that I am duly apron Generel

ting Secretary
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ourther certify that this doc

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ana correct copy the origing’ Bxeouter!

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Signature

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