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,
fribal, State, local, or foreign law enforcement and
regulatory agencies when relevant to civil, criminal or
regulatory investigations or prosecutions or when pursuant
to a requirement by a tribe or the National Indian Gaming
Commission in connection with the hiring or firing of an
employee, the issuance or revocation of a gaming license, or
investigations of activities while associated with a tribe
or a gaming operation. Failure to consent to the disclosures
indicated in this notice will result in a tribe'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.

2. Existing key employees and primary management officials
shall be notified in writing that they shall either:

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

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

3. The following notice shall be placed on the application
form for 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.)

4. The Tribe shall notify in writing existing key
employees and primary management officials that they shall
either:

a. Complete a new application form that contains a notice
regarding false statements; or

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

Cc. Background Investigations



b) The applicant has failed to comply with the
application requirements or to reveal a fact
material to such application, or has furnished any
information which is untrue or misleading in
connection with such application, thus posing a
threat to the public interest or to the effective
regulation of gaming, or create or enhance the
dangers of unfair or illegal practices, methods, or
activities in the conduct of gaming enterprise.

If the Tribal Gaming Agency denies a license application, it
shall immediately notify the applicant, the Management of the
Gaming Enterprise and the Chief of Police of such denial.

The Chief of police shall immediately revoke any temporary
permit issued to the applicant.

The Management of the Gaming Enterprise shall, with regard to
an applicant for a license as a primary management official,
take immediate step to terminate the applicant’s participation
in the entity that comprises the management contractor; or
with regard to an application for a license as a key employee,
immediately terminated the employment of the applicant at the
gaming enterprise.

Action of Granting a license:

If the Tribal Gaming Agency grants an application for a
license, it shall:

Notify the National Gaming Commission
Notify the Gaming Enterprise who registered the applicant

Direct the Police Chief to issue a license to the applicant,
provided that the license shall not become effective before
the thirtieth day after notification of the intention to issue
a license to such applicant has been mailed, to the National
Indian Gaming Commission.

A license is not transferrable. Any transfer thereof shall
render such license void.

The Gaming Agency holds scheduled hearing the second Tuesday
of each month. Ad hoc hearings or other scheduled meeting may
be called by the Tribal Gaming Chairman or by a majority of
the agency.

DESCRIPTION OF PROCEDURE FOR RESOLVING DISPUTES BETWEEN THE
GAMING PUBLIC AND THE TRIBE OR THE MANAGEMENT CONTRACTOR (IF
ANY).

Page 4


F. Report to the National Indian Gaming Commission

1. Pursuant to the procedures;set out in subsection E of
this section, the Tribe shall prepare and forward to the National
Indian Gaming Commission an investigative report on each
background investigation. An investigative report shall include
all of the following:

a. Steps taken in conducting a background
investigation;
b. Results obtained;
c. Conclusions reached; and
d. The bases for those conclusions.
2. The Tribe shall submit, with the report, a copy of the

eligibility determination made under subsection D of this
section.

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

a. Shall notify the National Indian Gaming
Commission; and

b. May forward copies of its eligibility
determination and investigative report (if any) to
the National Indian Gaming Commission for
inclusion in the Indian Gaming Individuals Records
System.

4. With respect to key employees and primary management
officials, the Tribe 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.

G. Granting a Gaming License

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

2. The Tribe shall respond to a request for additional
information from the Chairman of the National Indian Gaming

8


(d) Any person or entity (including individuals comprising
such entity) that operates or manages a gaming enterprise
on lands under the jurisdiction of the Miccosukee Tribe
or that has a direct financial interest in, or management
responsibility for, any management contract for the
operation and management of any gaming enterprise;
including (i) in the case of a trust, all beneficiaries
and trustees, (ii) in the case of a partnership, all
general and limited partners, (iii) in the case of a
corporation, those individuals who serve on the board of
directors of such corporation and each of its
stockholders who hold (directly or indirectly) 10 percent
or more of its issued and outstanding stock, and (iv) in
the case 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.

3. Person means an organizational entity as well as a human
person

B. Application Forms

1. The following notice shall be placed on the
application form for a key employee or a primary management
official before that form is filled out by an applicant:

In compliance with the Privacy Act of 1974, the following
information is provided: Solicitation of the information on
this form is authorized by 25 U.S.C. 2701 et seq. The purpose
of the requested information is to determine the eligibility
of individuals to be employed in a gaming operation. The
information will be used by National Indian Gaming Commission
members and staff who have need for the information in the
performance of their official duties. The information may be
disclosed to appropriate Federal, Tribal, State, local, or
foreign law enforcement and regulatory agencies when relevant
to civil, criminal or regulatory investigations or
prosecutions or when pursuant to a requirement by a tribe or
the National Indian Gaming Commission in connection with the
hiring or firing of an employee, the issuance or revocation of
a gaming license, or investigations of activities while
associated with a tribe or a gaming operation. Failure to
consent to the disclosures indicated in this notice will
result in a tribe’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.


1.

The Tribe shall request from each primary management

official and from each key employee all of the following
information: B

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);

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) of
this section;

Current business and residence telephone numbers;

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 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;

5


60 days of the approval of this ordinance by the Chairman of the
National Indian Gaming Commission.

3. The gaming operation shall not employ as a key employee
or primary management official a person who does not have a
license after 90 days, and no such person shall serve in such
position.


VI. Protection of the Environment and Public Health and Safety

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

VII. Licenses for Key Employees and Primary Management Officials

The Tribe shall ensure that the policies and procedures set
out in this section are implemented with respect to key employees
and primary management officials employed at any class II gaming
enterprise operated on Indian lands:

A. Definitions

For the purposes of this section, the following
definitions apply:

1. Key employee means

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

(1) Bingo caller;

(2) Counting room supervisor

(3) Chief of security;

(4) Custodian of gaming supplies or cash;

(5) Floor manager;

(6) Pit boss;

(7) Dealer;

(8) Croupier;

(9) Approver of credit; or

(10) Custodian of gambling devices including
persons with access to cash and accounting
records within such devices; or

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

(c) I£ not otherwise included, the four most highly
compensated persons in the gaming operation; or

(d) If not otherwise included, any person who is employed
at a gaming enterprise with responsibility for the
Management or supervision of the conduct of gaming
activities; the handling or safekeeping of money or
financial records; the making of decisions as to the
hiring, retention, and promotion of personnel; the
maintenance or inventory of gaming supplies, equipment
or apparatus; or the maintenance of the security of the
gaming premises, including, but not limited to the
following specific positions (or positions involving
functions similar to those performed by): a General

2


the Tribe shall suspend such license and shall notify in writing
the licensee of the suspension and the proposed revocation.

2. The Tribe shall notify the licensee of a time and a place
for a hearing on the proposed revocation of a license.

3. After a revocation hearing, the Tribe shall decide to
revoke or to reinstate a gaming license. The Tribe shall notify the
National Indian Gaming Commission of its decision.

VIII. License Location

The Tribe shall issue a separate license to each place,
facility, or location on Indian lands where class II gaming is
conducted under this ordinance.

IX. Repeal _ and Other Ordinances

To the extent that they are inconsistent with this ordinance,
all prior gaming ordinances are hereby repealed. Prior,
supplemental, or additional gaming ordinances which are not
inconsistent with this ordinance and which establish additional
regulatory provisions or requirements which are not inconsistent
with this ordinance, the regulations of the National Indian Gaming
Commission, and the Indian Gaming Regulatory Act, shall be
effective.

CERTIFICATION

This is to certify that the foregoing resolution was adopted
by the members of the Miccosukee Business Council during a
specially called and duly constituted Business Council meeting held
on the Miccosukee Reservation, Dade County, Florida on the 13th day
of December, 1993, by a vote of yA for, and _@ against.

?

press, Chairman
Miccdsukee Tribe of Indians
of Florida


2.

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 Tribe deems relevant; and

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

Such additional material as the Tribal Gaming Agency or
Chief of Police may require.

The Tribe shall conduct an investigation sufficient to

make a determination under subsection D. below. In conducting a
background investigation, the Tribe or its agent shall promise to
keep confidential the identity of each person interviewed in the
course of the investigation.

D. Eligibility Determination

The Tribe shall review a person’s license application and
background, including but not limited to prior activities, criminal

6


2. Existing key employees and primary management officials
shall be notified in writing that they shall either:

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

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

3. The following notice shall be placed on the application
form for 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.)

4. The Tribe shall notify in writing existing key employees
and primary management officials that they shall either:

a. Complete a new application form that contains a notice
regarding false statements; or

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

c. Background Investigations

1. The Tribe shall request from each primary management
official and from each key employee all of the following
information:

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

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

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

d. Current business and residence telephone numbers;

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

5


(a)

(b)

(c)

(d)

_ ww

Manager, Program Director, Cash Room Supervisor,
Operations Manager, Controller, Personnel Director or
such other position that:may be designated from time to
time by the Tribal Gaming Agency.

Primary management official means

The person having management responsibility for a
Management contract; or

Any person who has authority:

(1) To hire and fire employees; or
(2) To set up working policy for the gaming operation;
or

The chief financial officer or other person who has
financial management responsibility; or

Any person or entity (including individuals comprising
such entity) that operates or manages a gaming
enterprise on lands under the jurisdiction of the
Miccosukee Tribe or that has a direct financial
interest in, or management responsibility for, any
management contract for the operation and management of
any gaming enterprise; including (i) in the case of a
trust, all beneficiaries and trustees, (ii) in the case
of a partnership, all general and limited partners,
(iii) in the case of a corporation, those individuals
who serve on the board of directors of such corporation
and each of its stockholders who hold (directly or
indirectly) 10 percent or more of its issued and
outstanding stock, and (iv) in the case 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.

Person means an organizational entity as well as a
human person

B. Application Forms

1. The following notice shall be placed on the

application form for a key employee or a primary management
official before that form is filled out by an applicant:

In compliance with the Privacy Act of 1974, the

following information is provided: Solicitation of the
information on this form is authorized by 25 U.S.C. 2701 et
seq. The purpose of the requested information is to
determine the eligibility of individuals to be employed in a
gaming operation. The information will be used by National

3


3. If a license is not issued to an applicant, the Tribe:
a. Shall notify the National Indian Gaming Commission;
and

b. May forward copies of its eligibility determination
and investigative report (if any) to the National
Indian Gaming Commission for inclusion in the
Indian Gaming Individuals Records System.

4. With respect to key employees and primary management
officials, the Tribe 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.

G. Granting a Gaming License

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

2. The Tribe shall respond to a request for additional
information from the Chairman of the National Indian Gaming
Commission concerning a key employee or a primary management
official who is the subject of a report. Such a request shall
suspend the 30-day period under paragraph G. 1. of this section
until the Chairman of the National Indian Gaming Commission
receives the additional information.

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

H. License Suspension

1. If, after the issuance of a gaming license, the Tribe
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 subsection D. above,

8


- wy

Commission 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 G. 1. of this section
until the Chairman of the National Indian Gaming Commission
receives the additional information.

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

H. License Suspension

1. If, after the issuance of a gaming license, the Tribe
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
subsection D. above, the Tribe shall suspend such license and
shall notify in writing the licensee of the suspension and the
proposed revocation.

2. The Tribe shall notify the licensee of a time and a
place for a hearing on the proposed revocation of a license.

3. After a revocation hearing, the Tribe shall decide to
revoke or to reinstate a gaming license. The Tribe shall notify
the National Indian Gaming Commission of its decision.

VIII. License Location

The Tribe shall issue a separate license to each place,

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

conducted under this ordinance.

IX. Repeal and Other Ordinances

To the extent that they are inconsistent with this
ordinance, all prior gaming ordinances are hereby repealed.
Prior, supplemental, or additional gaming ordinances which are
not inconsistent with this ordinance and which establish
additional regulatory provisions or requirements which are not
inconsistent with this ordinance, the regulations of the National
Indian Gaming Commission, and the Indian Gaming Regulatory Act
shall be effective.


NATIONAL

INDIAN
- GAMING

COMMISSION £

Paul Skeados, Director

Miccosukee Gaming Agency
Miccosukee Administration Building
Miccosukee Indian Reservation

Mile Marker 70

Tamiami Trail (U.S. Highway 41)
Miami, Florida 33144

Dear Mr. Skeados:

This letter responds to your request to review and approve the
tribal gaming ordinance submitted on December 14, 1993, for the
Miccosukee Tribe of Indians of Florida (the Tribe). 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. Also, such
approval does not constitute approval of specific games.

It is important to note that the gaming ordinance is approved for
gaming only on Indian lands as defined in the IGRA.

With the Chairman's approval of the Tribe's gaming ordinance, the
Tribe 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).

Thank you for submitting the ordinance of the Miccosukee Tribe

for review and approval. The NIGC staff and I look forward to
working with you and the Tribe in implementing the IGRA.

Sincerely yours,
Anthony J. Hope

Anthony J. Hope
Chairman

1850 M STREET NW. SUITE 250 WASHINGTON. DC P0036 TEL BOD 632 JOON FAX

7066

WRITER
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to conduct background investigations. Officers of the
Miccosukee Police Department are Florida State certified
police officers and also,hold commissions from the B.I.A.
and the National park Service as law enforcement
officers. All background investigation are under the
supervision of the Chief of Police.

A LISTING OF THE MINIMUM INVESTIGATIVE PROCEDURES TO BE
PERFORMED, INCLUDE THE FOLLOWING:

1. Verify by written or oral communication information
submitted by the applicant.

2. Inquire into applicant's prior activities, criminal
record, if any, and reputation, and associates;
interview a sufficient number of knowledgeable
people such as former employers, personal
references, and others to whom referred in order to
provide basis for the Tribe to make a finding
concerning the eligibility for employment in a
gaming operation.

3. Document the disposition of all potential problem
areas noted and disqualifying information obtained.

4. Obtain a financial credit history check on each
applicant.

5. Obtain certified copies of the past three (3) years
income tax returns.

6. Obtain copies of military records.

7. Routine checks with local police agencies where
applicant resides.

8. Contact with landlord if applicant rents a
residence.

9. Obtain copy of applicant‘’s driver license.

10. Confirm school records.

E. AN INVESTIGATIVE REPORT SETTING FORTH THE FOLLOWING:

1. The investigating officer outlines the background
information. Each item is identified separately
and either confirmed, or not confirmed and the lack
of confirmation explained.

2. A summary of the background investigation is
prepared by the investigating officer which details

Page 2


SUBJECTS:

MICCOSUKEE TRIBE OF INDIANS OF FLORIDA
ADDITIONAL SUBMISSION REQUIREMENTS

1. BACKGROUND INVESTIGATIONS

2. LICENSING PROCEDURES ON KEY EMPLOYEES AND
PRIMARY MANAGEMENT OFFICIALS

3. PROCEDURES FOR RESOLVING DISPUTES

4. AGENT FOR SERVICE

5. FINGERPRINTS

DESCRIPTION OF PROCEDURES FOR CONDUCTING BACKGROUND
INVESTIGATION ON APPLICANTS (KEY EMPLOYEES, PRIMARY MANAGEMENT
OFFICIALS) FOR GAMING LICENSES.

A.

The Miccosukee Tribe of Indians of Florida is responsible
for conducting background investigations and making
suitable determinations on all applicants for Gaming
Licenses for the Miccosukee Indian Bingo Hall or any
other gaming enterprises located on Miccosukee Indian
lands.

The Chief of the Miccosukee Police Department or his
designee shall promptly upon receipt of a completed and
acceptable application, fingerprints and photograph cause
the initiation of a background investigation.

Miccosukee Police Officers and investigators assisted by
Miccosukee Gaming Agents shall conduct all background
investigations.

The Miccosukee Police Chief shall review and if
appropriate, approve the background investigation.

The Miccosukee Gaming Agency assisted by the Miccosukee
Police department shall report the results of the
background investigation to the National Indian Gaming
Commission.

The Miccosukee Police Department shall take the proper
and necessary applicant’s fingerprints using the
appropriate fingerprint card and forward same to the
National Indian Gaming Commission. (SEE M.O.U. FORM)

The Miccosukee Police Chief, upon completion of the
background investigation of an applicant, shall submit a
report to the Tribal Gaming Agency with a recommendation
whether a license should be granted or denied.

A licensee is subject to reinvestigation by the Chief of
Police or Gaming Director at any time new information so
warranting comes to their attention.

The Miccosukee Tribal Gaming Agency appointed the
Miccosukee Police Chief and Miccosukee Police Department


record, if any, and reputation, habits and associations to make a
finding concerning the eligibility of a key employee or primary
management official for licensing and for employment or service in
or in connection with a gaming operation. If the Tribe determines
that employment or service of the person poses a threat to the
public interest or to the effective regulation of gaming, or
creates or enhances dangers of unsuitable, unfair, or illegal
practices and methods and activities in the conduct of gaming, the
Tribe shall not issue a license for, the person shall not serve as,
and a tribal gaming operation shall not employ that person in, a
key employee or primary management official position.

E. Procedures for Forwarding Applications and RePorts for Key
Employees and Primary Management Officials to the National
Indian Gaming Commission

1. When a key employee or primary management official begins
work at a gaming operation authorized by this ordinance or
otherwise assumes such position, the Tribe shall forward to the
National Indian Gaming Commission a completed application for
employment and conduct the background investigation and make the
determination referred to in subsection D of this section.

2. The Tribe shall forward the report referred to in
subsection F of this section to the National Indian Gaming
Commission within 60 days after an employee begins work or within
60 days of the approval of this ordinance by the Chairman of the
National Indian Gaming Commission.

3. The gaming operation shall not employ as a key employee
or primary management official a person who does not have a license
after 90 days, and no such person shall serve in such position.

F. Report to the National Indian Gaming Commission

1. Pursuant to the procedures set out in subsection E of this
section, the Tribe shall prepare and forward to the National Indian
Gaming Commission an investigative report on each background
investigation. An investigative report shall include all of the
following:

a. Steps taken in conducting a background invest-

igation;
b. Results obtained;
c. Conclusions reached; and
d. The bases for those conclusions.
2. The Tribe shall submit, with the report, a copy of the

eligibility determination made under subsection D of this section.

7


k. The name and address of any licensing or regulatory
agency with which the person has filed an application
for an occupational license or permit, whether or not
such license or permit was granted;

1. A current photograph;
m. Any other information the Tribe deems relevant; and
n. Fingerprints consistent with procedures adopted by the

Tribe according to 25 C.F.R. 522.2(h).

oO. Such additional material as the Tribal Gaming Agency or
Chief of Police may require.

2. The Tribe shall conduct an investigation sufficient to
make a determination under subsection D. below. In conducting a
background investigation, the Tribe or its agent shall promise to
keep confidential the identity of each person interviewed in the
course of the investigation.

D. Eligibility Determination

The Tribe shall review a person’s license application and
background, including but not limited to 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 licensing and for employment or
service in or in connection with a gaming operation. If the Tribe
determines that employment or service of the person poses a
threat to the public interest or to the effective regulation of
gaming, or creates or enhances dangers of unsuitable, unfair, or
illegal practices and methods and activities in the conduct of
gaming, the Tribe shall not issue a license for, the person shall
not serve as, and a tribal gaming operation shall not employ that
person in, a key employee or primary management official
position.

E. Procedures for Forwarding Applications and RePorts for Key
Employees and Primary Management Officials to the National
Indian Gaming Commission

1. When a key employee or primary management official
begins work at a gaming operation authorized by this ordinance or
otherwise assumes such position, the Tribe shall forward to the
National Indian Gaming Commission a completed application for
employment and conduct the background investigation and make the
determination referred to in subsection D of this section.

2. The Tribe shall forward the report referred to in
subsection F of this section to the National Indian Gaming
Commission within 60 days after an employee begins work or within

6


1.

(a)

(b)

(c)

(a)

(a)

(b)

(c)

Key employee means

A person who performs one or more of the following
functions:

(1) Bingo caller;

(2) Counting room supervisor

(3) Chief of security;

Approver of credit; or

) Custodian of gambling devices including
persons with access to cash and accounting
records within such devices; or

(4) Custodian of gaming supplies or cash;
(5) Floor manager;

(6) Pit boss;

(7) Dealer;

(8) Croupier;

(9)

(10

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

If not otherwise included, the four most highly
compensated persons in the gaming operation; or

If not otherwise included, any person who is employed at
a gaming enterprise with responsibility for the
management or supervision of the conduct of gaming
activities; the handling or safekeeping of money or
financial records; the making of decisions as to the
hiring, retention, and promotion of personnel; the
maintenance or inventory of gaming supplies, equipment or
apparatus; or the maintenance of the security of the
gaming premises, including, but not limited to the
following specific positions (or positions involving
functions similar to those performed by): a General
Manager, Program Director, Cash Room Supervisor,
Operations Manager, Controller, Personnel Director or
such other position that may be designated from time to
time by the Tribal Gaming Agency.

Primary management official means

The person having management responsibility for a
management contract; or

Any person who has authority:

(1) To hire and fire employees; or

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

The chief financial officer or other person who has
financial management responsibility; or

3


All Patron and Employee Complaints Must Be Taken.

1.

10.

11.

12.

It shall be the responsibility of Agents of the
Miccosukee Gaming Agency to document complaint
information on the prescribed complaint form.

Each complaint shall be assigned an individual
complaint number. A Complaint Log Book with master
case numbers is located in the Gaming Agency
Office.

The Miccosukee Gaming Agent shall take each version
of the complaint (Patron & Management).

The Miccosukee Gaming Agent will record the events
as reported in sufficient detail to allow the
complaint to be thoroughly investigated.

All customer/employee and non criminal complaints
shall be investigated by the Miccosukee Gaming
Agency.

Complaints of a criminal nature shall be
immediately referred to the Miccosukee Police
Department. The basic information shall be lodged
and documented by the gaming agent.

Complaints concerning the Miccosukee Bingo Hall or
other Miccosukee Gaming Enterprises may be
originated by patrons, employees, management
personnel, gaming agents, police officers or any
other interested parties.

The Miccosukee Gaming Director shall check each
completed investigation for details and
thoroughness.

Complaints may be taken in person or by telephone.

Complaints of a non criminal nature shall be
completed within sixty (60) days unless an
extension is granted by the Gaming Director.

All complaints when completed shall be maintained
for at least three (3) years.

Complaints may be resolved by mutual agreement,
compliance by one of the parties or police action.
In the event the complaint remains unresolved, the
Miccosukee Gaming Commission shall take final
action.

Page 5


- ~ "RE

CLASS II GAMING ORDINANCE
of the
MICCOSUKEE TRIBE OF INDIANS OF FLORIDA

I. Purpose

The Business Council of the Miccosukee Tribe of Indians of
Florida (hereinafter "Tribe"), empowered by the Tribe’s
Constitution to enact ordinances, hereby enacts this ordinance in
order to set the basic terms for class II gaming operations on
tribal lands.

II. Gaming Authorized

Class II gaming as defined in the Indian Gaming Regulatory
Act, P.L. 100-447, 25 U.S.C. Section 2703(7)(A) ("IGRA") and by
the regulations promulgated by the National Indian Gaming
Commission at 25 C.F.R. 502.3 (as published in the Federal
Register at 57 FR 12382-12393, April 9, 1992) is hereby
authorized.

III. Ownership of Gaming

The Tribe shall have the sole propriety interest in and
responsibility for the conduct of any gaming operation authorized
by this ordinance.

IV. Use of Gaming Revenue

A. Net revenues from class II gaming shall be used only
for the following purposes: to fund tribal government operations
and programs; provide for the general welfare of the Tribe and
its members; promote tribal economic development; donate to
charitable organizations; or help fund operations of local
government agencies.

B. If the Tribe elects to make per capita payments to
tribal members, it shall authorize such payments only upon
approval of a plan submitted to the Secretary of the Interior
under 25 U.S.C. §2710(b) (3).

Vv. Audit

A. The Tribe shall cause to be conducted annually an
independent audit of gaming operations and shall submit the
resulting audit reports to the National Indian Gaming Commission.

B. All gaming related contracts that result in the
purchase of supplies, services, or concessions in excess of
$25,000.00 annually, except contracts for professional legal and
accounting services, shall be specifically included within the
scope of the audit that is described in subsection A. above.


III. Ownership of Gaming

The Tribe shall have the sole propriety interest in and
responsibility for the conduct of any gaming operation authorized
by this ordinance.

IV. Use of Gaming Revenue

A. Net revenues from class II gaming shall be used only for
the following purposes: to fund tribal government operations and
programs; provide for the general welfare of the Tribe and its
members; promote tribal economic development; donate to charitable
organizations; or help fund operations of local government
agencies.

B. If the Tribe elects to make per capita payments to tribal
members, it shall authorize such payments only upon approval of a
plan submitted to the Secretary of the Interior under 25 U.S.C.
§2710(b) (3).

v. Audit

A. The Tribe shall cause to be conducted annually an
independent audit of gaming operations and shall submit the
resulting audit reports to the National Indian Gaming Commission.

B. All gaming related contracts that result in the purchase
of supplies, services, or concessions in excess of $25,000.00
annually, except contracts for professional legal and accounting
services, shall be specifically included within the scope of the
audit that is described in subsection A. above.

VI. Protection of the Environment and Public Health and Safety

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

VII. Licenses for Key Employees and Primary Management Officials

The Tribe shall ensure that the policies and procedures set
out in this section are implemented with respect to key employees
and primary management officials employed at any class II gaming
enterprise operated on Indian lands:

A. Definitions

For the purposes of this section, the following
definitions apply:


~ ~“

Miccosukee Tribe of Indians
of Florida

P, ©, BOX 440021, TAMIAMI STA., MIAMI, FLORIDA 33144
TELEPHONE: 305/223-8380

COUNCIL
BUSINESS & GENERAL

BILLY CYPRESS
CHAIRMAN,

JASPER NELSON
ASS'T. CHAIRMAN

JIMMIE BERT MICCOSUKEE BUSINESS COUNCIL
SECRETARY

MAX BILLIE Miccosukee Tribe of Indians of Florida
TREASURER

HENRY BERT

LAWMAKER

Resolution No. MBC 07-94

Subject: Adoption of Model Class II Gaming Ordinance
Date: December 13, 1993

The Business Council of the Miccosukee Tribe of Indians hereby
adopts the following "Class II Gaming Ordinance" in order to set
the basic terms for class II gaming operations on tribal lands, on
this the 13th day of December, 1993:

CLASS II GAMING ORDINANCE
of the
MICCOSUKEE TRIBE OF INDIANS OF FLORIDA

I. Purpose

The Business Council of the Miccosukee Tribe of Indians of
Florida (hereinafter "Tribe"), empowered by the _ Tribe's
Constitution to enact ordinances, hereby enacts this ordinance in
order to set the basic terms for class II gaming operations on
tribal lands.

II. Gaming Authorized

Class II gaming as defined in the Indian Gaming Regulatory
Act, P.L. 100-447, 25 U.S.C. Section 2703(7)(A) ("IGRA") and by the
regulations promulgated by the National Indian Gaming Commission at
25 C.F.R. 502.3 (as published in the Federal Register at 57 FR
12382-12393, April 9, 1992) is hereby authorized.

CONSTITUTION APPROVED BY SECRETARY OF THE INTERIOR, JANUARY 11, 1962


the background report.

3. After the investigator's summary report is
completed it is reviewed by the Chief of Police.
If the background investigation is complete, the
Police Chief prepares a summary of the report based
on the investigation. The Police Chief then reads
his report and makes a recommendation to the Gaming
Agency.

4. A conclusion is reached by taking in consideration
the confirmation of the applicant’s statements,
based on the completed background investigation,
and criminal record, if any, habits, associates,
financial status, character and conduct consistent
with federal guidelines and outlined in the
I.G.R.A.

DESCRIPTION OF PROCEDURES TO ISSUE TRIBAL GAMING LICENSES TO
PRIMARY MANAGEMENT OFFICIALS AND KEY EMPLOYEES:

Before issuance of a gaming license to any applicant, the
Tribal Gaming Agency will forward a copy of the background
investigation on such applicant to the National Indian Gaming
Commission together with a notification that it intends to
issue a license to the applicant and the date on which such
license hall become effect, provided that the effective date
of such license shall not occur earlier than thirty (30) days
after notification required in this section is mailed to the
Commission.

The Tribal Gaming Agency shall have the final authority to
grant or deny a license.

The Tribal Gaming Agency reviews the complete application and
full background of an applicant to determine if the applicant
poses any threat to the public interest or to the effective
regulation of gaming, or create or enhance the dangers of
unfair or illegal practices, methods, or activities in the
conduct of gaming enterprise.

A license is not granted if the Tribal Gaming Agency
determines that the applicant falls into one or more of two
sub-categories, as follows:

a) The applicant is a person whose prior activities,
including, but not limited to criminal record, if
any, reputations, habits, or associates pose a
threat to the public interest or to the effective
regulation of gaming, or create or enhance the
dangers of unfair or illegal practices, methods, or
activities in the conduct of gaming enterprise; or

Page 3


tw Ww

4. AGENT FOR SERVICE

Paul Skeados, Director of the Miccosukee Gaming Agency will
serve as agent of service at the following address:

Miccosukee Administration Building

Miccosukee Indian Reservation

Mile Marker 70, Tamiami Trail (U.S. Highway 41)
Miami, Florida 33144

5. FINGERPRINTS

The Miccosukee Police Department will take applicants
fingerprints. Fingerprint cards of applicants are mailed to
the national Indian Gaming Commission and to the Florida
Department of Law Enforcement. Additionally checks are made
through Metro-Dade County Police Department and Intelligence
Divisions of the Florida Department and local police
departments.

December 10, 1993

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