58-04-09 Emergency Action, Suspension Without Hearing.

To respond to, or avoid an emergency, the Regulatory Authority may temporarily suspend a
license for up to fifteen days without a hearing when such extraordinary action is essential to
protect the public safety or the integrity of gaming conducted on the Lake Traverse Reservation.
The Regulatory Authority may extend such a temporary suspension for an additional seven days.

58-04-10 License Required For Distributors of Gaming Equipment.

Any person, organization or entity wishing to sell, lease or otherwise distribute gaming
equipment must first apply for and obtain a license from the Regulatory Authority. Such person,
organization, or entity selling, leasing, or otherwise distributing gambling equipment to the
Sisseton- Wahpeton Oyate shall be required to possess and display, or display upon request, an
appropriate and valid gaming license. The form of the application and the license fees shall be
established by the Regulatory Authority.

58-04-11 Reimbursement for Costs of License Investigations.

Any applicant for a license under this Ordinance shall pay the Regulatory Authority a reasonable
license fee at the time of application. If additional extraordinary investigation is necessary to
determine whether the applicant is properly qualified for a license, the Regulatory Authority may
require an additional fee, not to exceed the amount of the original fee.

58-04-12 Fraud on Application.

It shall be unlawful for any applicant to provide false information to the Regulatory Authority
when applying for a license. The penalty for providing false information is revocation of the
license and cost reimbursement.

58-04-13 License as a Revocable Privilege.

Every gaming license is a revocable privilege, and no license holder shall be deemed to have a
vested interest in the license. The burden of proving qualifications to hold any license rests at all
times on the applicant or licensee. Acceptance of a license constitutes agreement on the part of
the licensee to be bound by this Ordinance, the rules and regulations and any order or
determination of the Regulatory Authority. It is the responsibility of the licensee to be informed
of the contents of this Ordinance, the rules and regulations and any order or determination of the
Regulatory Authority. Ignorance of such laws, rules, regulations, orders or determination will
not excuse any violation.

14


. To enter, inspect and examine the gaming operation or licensee’s work area to determine
compliance with this Ordinance. Provided that the gaming operation or licensee
maintains the right to have security personnel accompany the Regulatory Authority for
the purpose of witnessing and facilitating such access;

. To carry out the audit provisions of Section 58-01-14 of this Ordinance and to select the
auditor for such purposes;

. To access, inspect, examine, copy and audit all papers, books, and records of applicants,
licensees and gaming operations when necessary to enforce this Ordinance;

To require verification of a gaming operation’s daily gross revenues and income of any
gaming activity;

. To seize and impound any patron’s winnings, provided the Regulatory Authority has
reason to believe such winnings were obtained in violation of this Ordinance or any other
applicable law. Such winnings shall be securely held pending the outcome of a civil
forfeiture hearing or a criminal proceeding;

. To investigate alleged violations of this Ordinance, the Regulatory Authority rules,
regulations, orders, or final decisions, any Gaming Compact, and any other applicable
laws, and to take appropriate disciplinary actions. Such disciplinary action may include
license suspension and/or revocation, the imposition of civil fines against a gaming
operation or any licensee, and/or institute appropriate legal action for enforcement;

. To hold hearings, and to require licensees or license applicants to appear and testify under
oath regarding matters related to this Ordinance. To issue subpoenas for the attendance
of witnesses and subpoenas duces tecum for the production of books, records and other
pertinent document;

. To consult with legal counsel as needed;

. To hear and consider a dispute between members of the gaming public and the Sisseton-
Wahpeton Oyate with regard to gaming activities licensed under this Ordinance;

. To propose an annual budget for the Regulatory Authority to the Tribal Council,
including salaries; .

. To recommend to Tribal Council for approval a schedule of fines to guide the Regulatory
Authority’s discretion, which includes maximum fine limits;

. The Commission shall adopt and publish such rules and regulations as may be necessary
to carry out and assure compliance with the provisions of this Ordinance. Such rules and


SISSETON-WAHPETON OYATE
OF THE LAKE TRAVERSE RESERVATION Aye
CHAPTER 58 - GAMING ORDINANCE UG | 3

OM

58-01-01 Ls oe
58-01-02 Purpose and Policy.
58-01-03 Effect of Headings.
58-01-04 Liberal Interpretation.
58-01-05  Severability...............
58-01-06 Citation or Use of Language From Other Law:
58-01-07 Effective Date. ..
58-01-08 Conflicting Law:
58-01-09 Agent for Service. ............cccsecsscssseeeeseeeeeenteeee
58-01-10 Use of Gaming Revenue and Per Capita Payments
58-01-11 Dispute Resolution
58-01-12 Ownership of Gaming. ......
58-01-13 Individually Owned Gaming.
58-01-14 Audit and Contracts Exceeding $25,000.00 Annually.
58-01-15 No Limitation on the Number of Gaming Operations.
58-01-16 Protection of the Environment and Public Health and Safety
TITLE TWO: DEFINITIONS..........0000-c0ee000
58-02-01 Purpose and Interpretation.
TITLE THREE: GAMING REGULATORY AUTHORITY
58-03-01 Gaming Regulatory Authority.
58-03-02 Qualification and Restrictions.
58-03-03 Selection and Composition of the Regulatory Authority.
58-03-04 Other Regulatory Authority Employees.
58-03-05 Terms and Vacancie:
58-03-06 Removal Procedure.
58-03-07 Conflict of Interest and Gift Prohibitio:
58-03-08 Powers and Duties of the Regulatory Authority.
58-03-09 Violation.
58-03-10 Hearings.
TITLE Four: LICENSING
58-04-01 License Required for Gaming Operations and Distribution of Gaming
Equipment, .............-escsecceecsecseeseesneeessesesseeseessersnsneeneeassaneeneseees
58-04-02 Application Forms For Primary Management Officials And Key Employees 9
58-04-03 Background Investigations 10
58-04-04 Eligibility Determination.. 12
58-04-05 Procedures For Forwarding Applications and Reports for Key Employees
and Primary Management Officials to the NIGC...........
58-04-06. Report to the National Indian Gaming Commission.

DRWWWHWWWNNNNNKE ERE

12
12

EXHIBIT

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designated official has received adequate training from the Sisseton-Wahpeton Tribal
Police or the County or State law enforcement agency.

58-04-04 Eligibility Determination.

The Regulatory Authority shall review a person’s prior activities, any criminal record, and
reputation, habits and associations in order to make a finding concerning the eligibility of a key
employee or primary management official for employment in a gaming operation. The
Regulatory Authority will interview a sufficient number of knowledgeable people, such as former
employers and personal references of the applicant, to provide a basis for making an eligibility
determination. The Regulatory Authority will document all potential problem areas noted and
disqualifying information. If the Regulatory Authority determines the employment of the person
poses a threat to the public interest or to the effective regulation of gaming or creates or enhances
dangers of unsuitable, unfair or illegal practices and methods and activities in the conduct of
gaming, such person shall not be employed in a key employee or primary management official
position.

58-04-05 Procedures for Forwarding Applications and Reports for Key Employees
and Primary Management Officials to the NIGC.

When a key employee or primary management official begins work at a gaming operation
authorized by this ordinance, the Regulatory Authority shall forward to the NIGC a completed
application for employment and conduct the background investigation and make the eligibility
determination. The Regulatory Authority shall forward background investigation reports to the
NIGC within 60 days after an employee begins work. 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.

58-04-06. Report to the National Indian Gaming Commission.

A. The Regulatory Authority shall prepare and forward to the National Indian Gaming
Commission an investigative report on each background investigation. The Regulatory Authority
shall submit, with the report, a copy of the eligibility determination made in accordance with this
Ordinance. 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 basis for those conclusions.

12


TITLE Two
DEFINITIONS

58-02-01 Purpose and Interpretation.

Unless specifically defined, words or phrases used in this Ordinance shall be interpreted to give
them the meaning they have in common usage, to be consistent with the IGRA, and to give this
Ordinance its most reasonable application. The following words and phrases when used in this
Ordinance shall have the meanings respectively ascribed to them in this section:

A. "Applicant" shall mean any person who is required to be licensed by this Ordinance, and
who submits a request for the grant or renewal of such license;

B. “Distributor” shall mean a person or entity that sells, leases, markets or otherwise
distributes gambling devices, equipment, games or implements of gambling which are
usable in the lawful conduct of gaming under this Ordinance;

C. "Gaming" shall mean the act of paying money for the opportunity to participate in a
game, the outcome of the game is decided by chance or chance is a material element, and
the winner of the game is entitled to a pre-determined prize. Gaming does not include .
games played in private homes or residences, or Class I games;

D. "Gaming Compact" shall mean any agreement, as amended or renegotiated, concerning
Class IN] Gaming between the Sisseton- Wahpeton Oyate and the State of North Dakota or
the State of South Dakota;

E. “Gaming equipment" shall mean bingo cards or sheets, devices for selecting bingo
numbers, pull-tabs, jar tickets, paddlewheels, tipboards, electronic video equipment, slot
machines, video games of chance, equipment employed to conduct the game of blackjack,
or any other equipment used to operate a game of chance;

F. "Gaming Operation" shall mean any entity wholly owned by the Sisseton-Wahpeton
Oyate which operates Class II or Class III gaming, as those terms are defined in the
IGRA;

G. "Key Employees" shall mean the following persons: (1) bingo caller; (2) counting room
supervisor; (3) chief of security; (4) custodian of gaming supplies or cash; (5) floor
manager; (6) pit boss; (7) dealer; (8) croupier; (9) approver of credit; (10) custodian of
gaming equipment including persons with access to cash and accounting records within
such devices; (11) if not otherwise included, any other person whose total cash
compensation is in excess of $50,000 per year; and (12) if not otherwise included, the
four most highly compensated persons in the Gaming Operation;


TITLE ONE
GENERAL PROVISIONS
58-01-01 Title.

This Ordinance shall be known and cited as the Gaming Ordinance of the Sisseton-Wahpeton
Oyate of the Lake Traverse Reservation (the “Sisseton- Wahpeton Oyate”).

58-01-02 Purpose and Policy.

The purpose of this Gaming Ordinance is to authorize and regulate Class II and Class Il gaming
within the Sisseton- Wahpeton Oyate’s jurisdiction. The Gaming Ordinance shall assist the
Sisseton- Wahpeton Oyate in generating revenue for tribal government, promote economic
development and self government, shield gaming activities from crime, and ensure that gaming is
conducted fairly and honestly by both the gaming operation, the licensees, and the players. It
shall be the policy of the Sisseton- Wahpeton Oyate to fully comply with all applicable federal
law, including applicable Internal Revenue Code provisions concerning reporting and
withholding of taxes with respect to the winnings from gaming, and to comply with all applicable
State requirements when established by a Tribal-State Compact.

58-01-03 Effect of Headings.

Title and section headings are provided for reference purposes only and shall not be deemed to
govern, limit, or modify the provisions of this Ordinance.

58-01-04 Liberal Interpretation.

This Ordinance shall be liberally construed to benefit the welfare of the Sisseton- Wahpeton
Oyate in a manner consistent with its overall purpose and the provisions of the Indian Gaming
Regulatory Act (the “IGRA”) and the Sisseton-Wahpeton Oyate’s Gaming Compacts.

58-01-05 Severability.

The provisions of this Ordinance are severable. Should any provision, or the application of any
provision to any person or circumstance, be held invalid, such a holding shall not affect the
remainder of its provisions or the application of its provisions to another person or circumstance,
and shall not require subsequent re-approval of the Ordinance by the Tribal Council.


58-04-07
58-04-08
58-04-09
58-04-10
58-04-11
58-04-12
58-04-13

Granting a Gaming License. ..................scssessseesssesseesseessssesessessneesseessnessessseesnees
License Suspension. ................::cccsesssseeceeeeteee
Emergency Action, Suspension Without Hearing.

License Required For Distributors of Gaming Equipment. 14
Reimbursement for Costs of License Investigation: 14
Fraud on Application................ccccscssesssesseeseeeneeneeee 14
License as a Revocable Privilege..................:ssssssssssseseseeeee 14

ii


B. Ifa license is not issued to an applicant, the Regulatory Authority shall notify the NIGC
and may forward copies of its eligibility determination and investigative report to the NIGC for
inclusion into the Indian Gaming Individuals Records System. The Regulatory Authority shall
retain key employee and primary management official applications for employment and any
background investigation reports for inspection by the Chairman of the NIGC, the Chairman's
designee, for no less than three years from the date of termination of employment.

58-04-07 Granting a Gaming License.

A. If, within a thirty day period after the NIGC receives a report, the NIGC notifies the
Regulatory Authority 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 Regulatory Authority has provided an application and investigative report to the
NIGC, the Regulatory Authority may issue a license to the applicant.

B. The Regulatory Authority shall respond to a request for additional information from
the Chairman of the NIGC 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
paragraph (A) of this section, until the Chairman of the NIGC receives the additional
information.

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

58-04-08 License Suspension.

If, after the issuance of a gaming license, the Regulatory Authority receives reliable information
through their own investigations or from the NIGC that indicates that a key employee or a
primary management official is not eligible for employment under this Ordinance, the Regulatory
Authority shall notify the licensee and the affected gaming operation in writing. The Regulatory
Authority shall notify the licensee of the time and the place for any hearing on the proposed
revocation of the employee’s license, as provided in Section 58-03-10 of this Ordinance. After a
revocation hearing, the Regulatory Authority shall decide to revoke ox to reinstate a gaming
license. The Regulatory Authority shall notify the NIGC in writing of its decision.

13


58-01-11 Dispute Resolution.

A gaming operation shall seek to immediately resolve any dispute between any member of the
gaming public and the gaming operation or its licensees. Any patron who is dissatisfied with the
dispute resolution proposed by a gaming operation may present such dispute for final resolution
either to the Tribe’s Court or the Regulatory Authority acting within the regulatory jurisdiction
conferred by this Ordinance. Provided that any such dispute that involves the Tribe’s gaming
laws, rules, regulation or gaming compact provision must first be brought to the Regulatory
Authority, which is subject to appeal to the Tribe’s Court. The Regulatory Authority shall
provide the Tribal Council with an annual report of gaming disputes under this Section.

58-01-12 Ownership of Gaming.

The Sisseton-Wahpeton Oyate shall have the sole proprietary interest in and responsibility for the
conduct of any gaming operation authorized by this Ordinance.

58-01-13 Individually Owned Gaming.
No licenses may be issued to allow the operation of individually owned gaming operations.
58-01-14 Audit and Contracts Exceeding $25,000.00 Annually.

A. The Sisseton-Wahpeton Oyate shall cause to be conducted an annual, independent audit
of gaming operations and shall submit the resulting audit reports to the NIGC.

B. All gaming related contracts that result in the purchase of supplies, services, or
concessions for a in excess of $25,000.00 annually, except contracts for professional legal
or accounting services, shall be specifically included within the scope of the annual
independent audit.

58-01-15 No Limitation on the Number of Gaming Operations.

Nothing in this Ordinance shall limit the number of gaming operations the Regulatory Authority
can license to conduct gaming on the Lake Traverse Reservation or lands subject to the
governmental control of the Sisseton- Wahpeton Oyate, pursuant to the provisions of this
Ordinance and IGRA, but in all cases, each separate facility, place, or location shall require a
separate license, issued specifically for that place, facility, or location.

58-01-16 Protection of the Environment and Public Health and Safety.

Class II and Class II gaming facilities shall be constructed, maintained and operated in a manner
that adequately protects the environment and public health and safety.


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OCT 26 2
OCT 25 2004

Mr. Greg Paulson

BlueDog, Olson & Small
Southgate Office Plaza, Suite 500
5001 American Boulevard West
Minneapolis, MN 55437

Re: Sisseton-Wahpeton Gaming Ordinance

Dear Mr. Paulson:

This letter is in response to your request for the National Indian Gaming Commission (NIGC) to
review and approve the Sisseton-Wahpeton Oyate Gaming Ordinance. The Ordinance was
received in this office on August 16, 2004. The Tribe adopted the Gaming Ordinance by
Resolution No. SWO-04-081 on August 5, 2004. This letter constitutes approval of your
submission under the Indian Gaming Regulatory Act (IGRA). It is important to note that the
Ordinance is approved for gaming only on Indian lands, as defined in the IGRA, over which the
Tribe has jurisdiction.

NATIONAL HEADQUARTERS 1441 L St. NW, Suite 9100, Washington, DC 20005 Tel: 202.632.7003 Fax: 202.632.7066 www.NiGc.cov

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; St. Paul, MN; Tulsa, OK


Authority, the potential appointee must successfully complete a background investigation, which
is as stringent as that required of a primary management official.

58-03-04 Other Regulatory Authority Employees.

The Tribal Council delegates to the Executive Director and the members of the Gaming
Commission the power to hire and terminate its own staff. All potential employees must
successfully complete a background investigation, which is as stringent as that required of a key
employee, prior to working for the Regulatory Authority. The Tribal Council retains the
authority to terminate any Regulatory Authority employee for cause.

58-03-05 Terms and Vacancies.

Members of the Gaming Commission shall serve a four year term. The Tribal Council may
stagger the terms to avoid simultaneous turnover. Upon completion of a term, the Tribal Council
may re-appoint such member or appoint a new person. If a member of the Gaming Commission
or the Executive Director should die, resign, or be removed, the Tribal Council shall appoint
another qualified person to fill the position, provided that the potential appointee successfully
completes a background investigation, which is as stringent as that required of a primary
management official.

58-03-06 Removal Procedure.

The Tribal Council may suspend a member of the Gaming Commission for “cause,” as that term
is defined below. Within twenty-four hours of such a suspension, the Tribal Council shall
provide written notice to the suspended member of the Gaming Commission, which sets forth the
reason(s) supporting suspension. Within fifteen days the Tribal Council shall hold a hearing to
determine whether the charges serving as the basis for suspension are substantiated, and whether
the person should be removed. At the hearing, the Tribal Council shall consider evidence
supporting the charges and any evidence offered by the suspended member of the Gaming
Commission. The suspended member shall have the opportunity to present evidence, question
witnesses and cross-examine adverse witnesses. If the Tribal Council determines the charges are
supported by the evidence, the Tribal Council may remove the member of the Gaming
Commission.

Cause for removal shall consist of: (1) any gross, Class 1, or Class A misdemeanor or felony
conviction, or the discovery of any previous gross, Class 1, or Class A misdemeanor or felony
conviction not disclosed at the time of employment; (2) any criminal act involving Tribe funds;
(3) misconduct, nonfeasance or negligence during the performance of duties; (4) failure to
comply with any tribal gaming law, rule, regulation, Compact requirement, federal law
requirement, policy, or direction as may be established from time to time by the Tribal Council;
(5) unethical conduct, including, without limitation, self dealing; (6) misconduct that harms the
business reputation of Tribe, its services or product; (7) commission of any act of fraud or


H. "License" shall mean the permission of the Regulatory Authority to do an act, which shall
be illegal without such license. With respect to real property of the Sisseton- Wahpeton
Oyate, a License is a privilege to go on the premises for a certain purpose, but does not
operate to confer, vest, or grant any title, interest, or estate in such property;

I. "Licensee" shall mean a key employee, primary management official or other person
granted a License under this Ordinance;

J. “Person" shall mean any individual, partnership, corporation, association, or public or
private organization; and

K. “Primary Management Officials" shall mean: (1) the person having management
responsibility for a management contract; (2) any person who has authority to (a) hire and
fire employees, or (b) set up working policy for the Gaming Operation; or (3) the chief
financial officer or other person who has financial management responsibility.

TITLE THREE
GAMING REGULATORY AUTHORITY

58-03-01 Gaming Regulatory Authority.

The Sisseton-Wahpeton Oyate establishes the Gaming Regulatory Authority (the “Regulatory
Authority”), to regulate this Ordinance and the Tribal-State Gaming Compacts as they affect
Tribal Gaming Operations. The Regulatory Authority shall consist of a three member Gaming
Commission, an Executive Director and their staff. All members of the Regulatory Authority
shall be restricted from gaming in a gaming operation, which is subject to this Ordinance. The
Tribal Council may require each member of the Gaming Commission and the Executive Director
to be bonded. The Tribal Council retains the right to audit the Regulatory Authority.

58-03-02 Qualification and Restrictions.

To be considered qualified for appointment as a Gaming Commission member or as the
Executive Director, the potential appointee may not be a Tribal Council member, tribal
executive, or district officer, nor be engaged in any gambling related business or employed by a
tribal gaming operation. No member of the Regulatory Authority, including its staff, shall have
been convicted of a felony within 10 years prior to taking office, or convicted of any charge
involving theft, fraud or gambling.

58-03-03 Selection and Composition of the Regulatory Authority.
The Tribal Council shall appoint the Executive Director and the members of the Gaming

Commission. Appointment to the Regulatory Authority does not vest any rights in the appointee.
To determine the qualification and suitability of each appointee to serve on the Regulatory


58-01-06 Citation or Use of Language From Other Laws.

Citation to statutory or administrative language, definitions, procedure, or provisions of Federal
or State law in this Ordinance does not establish jurisdiction, which otherwise does not exist, in
such Federal or State government. Nothing in this Ordinance may be deemed a waiver of the
Sisseton-Wahpeton Oyate's sovereign immunity, and if any Court of competent jurisdiction
construes this provision as conflicting with any other provision in this Ordinance, then this
express retention of sovereign immunity shall control and prevail.

58-01-07 Effective Date.

This Ordinance shall be in full force and effect on the date of formal approval and adoption by
the Tribal Council, and shall remain in effect pending approval from the National Indian Gaming
Commission (the “NIGC’).

58-01-08 Conflicting Laws.

Should any Tribal law, Ordinance, Resolution or action conflict with this Ordinance, the
provisions of this Ordinance shall control and prevail. On the effective date, all prior Gaming
Ordinances are repealed. Should a provision of a Gaming Compact, the IGRA or the NIGC’s
regulations, conflict with this Ordinance, the provisions of the Compact, the IGRA or the NIGC’s
regulations, as the case may be, shall control and prevail.

58-01-09 Agent for Service.

Unless otherwise designated by Resolution of the Tribal Council, the Chairman shall serve as the
agent for service of any official determination, order or notice of violation.

58-01-10 Use of Gaming Revenue and Per Capita Payments.

A. Net revenues from Class II and Class III gaming shall be used only for the following
purposes:

to fund tribal government operations and programs;

provide for the general welfare of the Sisseton-Wahpeton Oyate and its members;
promote tribal economic development;

donate to charitable organizations; or

help fund operations of local government agencies.

YON

B. If the Sisseton-Wahpeton Oyate elects to make per capita payments to its members, it
shall authorize such payments only upon approval of a plan submitted to the Secretary
of the Interior as required by the IGRA.


TRIBAL COUNCIL RESOLUTION NO. SWO-04-081
2004 Gaming Ordinance Amendments

ATTEST:

DK the

Michael Peters, Tribal Secretary
Sisseton-Wahpeton Oyate

Original copy to NIGC

cc: Legal Coungil-BlueDog
Legal Couns#-Tribal
SWGC
DSC
DMC
DCC
CEO

Page 3



regulations may include the responsibilities of the Sisseton-Wahpeton Oyate to comply
with any applicable federal law and any Class Il Gaming Compact. Such rules and
regulations may also include any Tribal Minimum Internal Control Standards that meet
the requirements established by the NIGC and/or the Gaming Compacts; the Regulatory
Authority shall submit all proposed rules and regulations to the Sisseton- Wahpeton Oyate
and all licensed gaming operations for comment at least 30 days prior to adoption. All
regulations, standards and fine schedules must be approved by the Tribal Council prior to
taking effect; and

R. To take any other actions as may be reasonable and appropriate to enforce this Ordinance
and the Regulatory Authority's rules and regulations.

58-03-09 Violation.

No person may violate the provisions of this Ordinance, any rules or regulations promulgated by
the Regulatory Authority, an order or determination issued by the Regulatory Authority, the
terms of a license, or the terms of any gaming compact. Any person or licensee guilty of such a
violation may be subject to license suspension, limitation or revocation, a civil fine and/or any
other sanction authorized by this Ordinance or the rules and regulations of the Regulatory
Authority.

58-03-10 Hearings.

The Regulatory Authority shall afford a licensee or any person(s) subject to this Ordinance, the
opportunity for a hearing prior to revoking, suspending, or limiting a license, or the imposition of
any other sanctions or fines. Such a hearing shall be conducted according to procedures adopted
by the Regulatory Authority.

TITLE Four
LICENSING

58-04-01 License Required for Gaming Operations and Distribution of Gaming
Equipment.

The gaming operation and all licensees shall be required to possess an appropriate and valid
gaming license. Any gaming being conducted within the jurisdiction of the Sisseton-Wahpeton
Oyate without the appropriate license is prohibited.

58-04-02 Application Forms for Primary Management Officials and Key Employees.

A. The license application form for a primary management official or a key employee shall
contain the following statement:


. Currently and for the five previous years: business and employment positions held,
ownership interests in those businesses and residence addresses and driver's 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 in paragraph B above;

. Current telephone numbers for business and residence;

. A description of any existing and previous business relationships with Indian tribes,
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 any ongoing prosecution or a conviction, the charge,
the name and address of the court involved and the date and disposition;

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 violations), whether or not there is a
conviction, if such criminal charge is within ten years of the date of the application, an is
not otherwise listed pursuant to paragraph H and I above, 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 Regulatory Authority deems relevant; and

N. The Regulatory Authority shall conduct a criminal history check of the state and local

records, as well as records and information maintained by the Federal Bureau of
Investigation. The Regulatory Authority may take an applicant's fingerprints provided its

11


TRIBAL COUNCIL RESOLUTION NO. SWO-04-081 Page 2
2004 Gaming Ordinance Amendments

WHEREAS, The National Indian Gaming Commission has conducted an informal
review of the 2004 amendments to the Gaming Ordinance and has
recommended one minor change, which has been incorporated by the
Sisseton-Wahpeton Oyate’s Legal Counsel.

NOW, THEREFORE BE IT RESOLVED, that the Tribal Council of the Sisseton
Wahpeton Oyate hereby authorizes, adopts and enacts the attached
Sisseton-Wahpeton Gaming Ordinance; and,

FURTHER, BE IT RESOLVED, This Gaming Ordinance shall be in full force and effect
on the date of formal approval and adoption by he Tribal Council, and
shall remain in effect pending approval from the National Indian Gaming
Commission; and,

FINALLY, BE IT RESOLVED, That the Tribal Council directs Attorney Greg Paulson of
BlueDog, Olson & Small, P.L.L.P. to submit the Gaming Ordinance to the
National Indian Gaming Commission, submit the additional documents
required by the National Indian Gaming Commission's regulations and
request immediate review and approval.

CERTIFICATION

We, the undersigned duly elected Chairman and Secretary of the
Sisseton-Wahpeton Oyate Tribal Council, do hereby certify that the above resolution
was duly adopted by the Sisseton-Wahpeton Oyate Tribal Council, which is composed
of 10 members (representing a total of 15 Tribal Council weighted votes and two
Executive Committee votes for a total of 17 votes) of whom 8 constituting a quorum,
were present at a Tribal Council meeting, duly noticed, called, convened and held at the
TiWakan Tio Tipi, Agency Village, South Dakota, August 3, 2004, by a vote of 10 for, 0
opposed, 3 abstained, 2 absent from vote, 1 not voting, and that said Resolution has
not been rescinded or amended in any way.

Dated this af day of August, 2004.

SG

Scott Germaff, Tribal Vice-Chairman
Sisseton-Wahpeton Oyate



WHEREAS,

Sisseton - Walpeton Sioux Cribe

LAKE TRAVERSE RESERVATION

5 GENCY J TA 57262-0509
AGENCY BOX 509 * AGENCY VILLAGE. SOUTH DAKO’
OLD AG PHONE: (605) 698-3911

TRIBAL COUNCIL RESOLUTION NO. SWO-04-081

Gaming Ordinance Amendments of 2004

The Sisseton-Wahpeton Oyate of the Lake Traverse Reservation is
organized under a Constitution and By-laws adopted by the members of
the Tribe on August 1-2, 1966 and approved by the Commissioner of
Indian Affairs on August 25, 1966; and,

WHEREAS, The said Constitution and By-laws mandates at ARTICLE ll, Section 1, that

WHEREAS,

WHEREAS,

WHEREAS,

WHEREAS,

WHEREAS,

BIG COUL

the Tribal Council shall have the power: (a) to represent the Tribe in all
negotiations with Federal, State and local governments; (d) to make rules
governing the relationship of the members of the Tribe, to Tribal property,
and to one another as members of the Tribe; (f) to deposit Tribal funds to
the credit of the Tribe; (g) to take actions by ordinance, resolution or
otherwise which are reasonably necessary to carry into effect the
foregoing purposes; (h) to promote public health, education, charity, and
such other services as may contribute to the social advancement of the
members of the Tribe; and, (i) to adopt resolutions regulating the
procedures of the Tribal Council, its officials and committees in the
conduct of Tribal Affairs; and,

In 1993, the Tribal Council enacted the Sisseton-Wahpeton Sioux Tribe
Gaming Ordinance as Chapter 58 of the Sisseton-Wahpeton Tribal Code,
which has been amended from time to time; and,

The Tribal Council has determined it is necessary to amend and revise
the Sisseton-Wahpeton Oyate Gaming Ordinance; and,

The Tribal Council convened a Gaming Task Force to make
recommendations pertaining to amendments and other revisions to the
Gaming Ordinance, which consisted of members of Tribal Council, the
Gaming Commission, Gaming Management and legal counsel: and,

The Gaming Task Force recommends a new Gaming Ordinance that is
based substantially upon the National Indian Gaming Commission's
model ordinance and the Sisseton-Wahpeton Oyate’s regulatory structure
and regulatory needs; and,

The Sisseton Wahpeton Oyate’s Legal Counsel has been in regular
contact with the National Indian Gaming Commission's representatives in
order to inform the federal agency of the 2004 Amendment:
Gaming Ordinance; and,

2¢ ENEMY SWIM +



dishonesty; or (8) unexcused failure to attend at least three consecutive Commission meetings. A
Regulatory Authority member who complies with the provisions of this Ordinance shall not be
removed during their term.

58-03-07 Conflict of Interest and Gift Prohibition.

No member of the Regulatory Authority or their immediate family may have any financial
interest in any business or enterprise providing any gaming equipment, goods or services to a
gaming operation or its licensees. Such a financial interest does not include the financial interest
resulting solely from their status as a tribal member. No member of the Regulatory Authority
may accept any gift or thing of value from a distributor, contractor, vendor or any person
providing any gaming equipment, goods or services to a gaming operation or its licensees.

58-03-08 Powers and Duties of the Regulatory Authority.

The Regulatory Authority shall have the authority to regulate this Ordinance and to regulate all
gambling operations, licensees and applicants governed by this Ordinance. The Regulatory
Authority shall have the following specific powers and duties:

A. To receive, investigate and process all license applications related to the conduct of Class
Il and Class II gaming activities on lands within the jurisdiction of the Sisseton-
Wahpeton Oyate. To conduct the requisite background check. To issue licenses to all
qualified gaming operations, persons and distributors who are required to be licensed by
this Ordinance. To notify the NIGC that a license has been issued, when required by this
Ordinance or federal law;

B. To limit, condition, suspend, restrict, or revoke any license it may issue and assess fines
for violations of this Ordinance or the rules or regulations promulgated by the Regulatory
Authority;

C. To adopt reasonable standards consistent with the size and scope of the gaming operation,
including games rules, security and surveillance operations, and the prize and wagering
structure. Such standards shall be consistent with the provisions and requirement, if any,
of the Sisseton-Wahpeton Gaming Compacts;

D. To inspect all gaming equipment and supplies in a gaming operation, or stored outside of
a gaming operation, which will be used or may have been used in the gaming operation;

E. To seize, remove and impound equipment and supplies from a gaming operation for the
purpose of examination, inspection, evidence, or forfeiture, provided that the Regulatory
Authority has reasonable cause to believe that a gaming violation has.occurred and that
such property is securely held pending a hearing and final determination;


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 prosecution or when pursuant to a requirement by
the Sisseton-Wahpeton Tribal Regulatory Authority 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 the Sisseton- Wahpeton Tribal Regulatory Authority or a gaming
operation. Failure to consent to the disclosures indicated in this notice will result
in the Sisseton- Wahpeton Oyate 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.

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 in accordance with U.S. Code, Title 18, Section 1001.

B. Any existing key employees or primary management officials who have not signed
application forms with the Privacy Act notice or notice of false statements shall sign a
statement that contains the Privacy Act and false statement notices, and consent to the
routine uses described in those notices.

58-04-03 Background Investigations.

The Regulatory Authority will perform background investigations and issues licenses according
to requirements at least as stringent as those established by the NIGC. In conducting a
background investigation, the Regulatory Authority shall keep confidential the identity of each
person interviewed in the course of the investigation. The Regulatory Authority shall conduct an
investigation sufficient to make an eligibility determination. The Regulatory Authority shall
request the following information from each primary management official and from each key
employee:

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

10