Sac aid Fox Nation of Missouri

R.R. 1, BOX 60, RESERVE, KANSAS 66434

(913) 742-7471 FAX (913) 742-3785

RESOLUTION R1-95

WHEREAS, The Sac and E~o;: Nation o~ MISCOUrI, L~t

Knnsas ~nd flebrask~, Ls a duly r~ccgni~od Tcib~ i~:

a:~rdartce ~ith the Indian Re qan.i:at i.on Act of

H34 ~4~S tat. ~J4: ar.d has a C Lit~ut1c~r. appro~ed

by the Secretary ot Lh.~ Intri.~r ~rt July 2i; H9~

WHEREAS, The Sac and Fo;~ TribaL Council meL in

reyu tar session on Ihe S~c dud Fox ?.e~rvatiofl in

Reserve, Kansas, December 2~, 1994; and

Wk(EREAS, The Seic and Fox Cour~~~i1 has be.~n giver.

full authority by the Tribe to act: .iL ~li r~iatte.~s

of business fir the Nation; and

WaEREAS, The Sac aitd Fox Nation i~ scriving for

seif-sutxiciency, an~.1 stionq tr~ai .jo rnr~nt ~y

pxovid.i-nr~ ecoi1ouu.,~ ~~mei-~ to improv2 t.t~C

economy, heaith, education, and weitare o~ -its

tri~l ~n~mber~ and

E~AS, The Jn.it~1 States Ccng::~ss a~aczcd ihii~

Law 100-497 , tne .Lnclian Ganii~ig Reguia~oi:y Act

(IGRA) ; ancL

WHEREAS~ The Sac and Fox Nation have adopted a

gau~i~y ordinaiice pursuatit to 1GRA; ~rLd

WHEREAS, The Sac and Fox Nation seeks L~ es~ab1ish

Class III g~i~ng on ~ Indian lands; anti

WHEREAS, IRA req~ii-re3 the Sac a~t~ ~ Naciurl to

requ~si the state of Ka~sa3 to i~ ; .L-.iLe~ ~ Clx~s 1.

gaiuing Compact.

NOW THEREFORE IT BE RESOLVED , The ~itc nnd Fo~

CounciL has read and approv~ci r.h~ Pr ib~ Gaming

oLdin~nc~ an~ ha5 rt~ad art z.~pprc.r~d a prOpO3~U

C)ass III CQmpact wic~ tne State ~ garisa~. dna

does ht.~i~by atliori:e itie Chairperson arid ~

(~r~ier.~ C~nsel to the TrLb~ to ~akc a~ 1 oce~:.;ary

s~.ep~ tc; 1 suomjt tti~ Ganung Qrdinan;e ~cr

approv~z.l of the ChaLrrnan o~ the ~acionaL lnd.i-ar:

Ga~njnc1 Commissi.n; ar~a (2a suontii. no~otiate, di~d

obtain approvaL of a CLass Itt Compact with the

State of Kansas.
Sac ard Fox Nation of Missouri

R.R. I, BOX 60, RESERVE, KANSAS 66434

(913) 742-7471 FAX (913) 742-3785

CE RT IF I CATION

This I oregoir~g Resolution was duly adopted chi~

date, January 11, 1995 , in a regular session of

the Tribal Council, at which 4iu~mbers of the

Triba.L Council we~o present, constituting a quc)cuin,

by a vote of ~-~or and ~~~gainst. Chairper.~on

abstaining.

~I2~L

~That~ Rebar, Chairperson

~

Sac ,and Fox Tribal. Councii.

7

ATT~

flenni~,

~

~rown, ~ctinq

~

Secretary

~~x T~:ib~il Council
*****

GAMING ORDINANCE

I. Purpose

The Sac and Fox Nation of Missouri in Kansas and Nebraska

(Sac and Fox Nation), as the beneficial owner of the Sac and Fox

Nations trust lands in Kansas and Nebraska, and acting through its

Tribal Council under its constitution in the exercise of its

inherent sovereign power to enact ordinances and otherwise

safeguard and provide for the health, safety and welfare of the Sac

and Fox Nations lands and the members of the Sac and Fox Nation,

hereby ordains and establishes this Ordinance for the purpose of

authorizing and comprehensively and preemptively re~i1ating the

terms and conditions under which Class II and Class III gaining may

be conducted on the Indian lands, as defined in 25 U.S.C Section

2701 et seq, of the Sac and Fox Nation.

II. Gaming Authorized

A. Class II gaming as defined in the Indian Gaming Regulatory

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

regulations lawfully promulgated by the National Indian Gaming

Commission (NIGC) that now or hereafter may be in effect is

hereby authorized.

B. Class III gaining as defined in IGRA, 25 U.S.C. Section

2703(8) and by regulations promulgated by the NIGC that now or

hereafter may be in effect is hereby authorized, provided such

gaming is also authorized by and consistent with a Tribal-State

Compact that has been approved by the Secretary of the Interior and

is in effect, or otherwise has been authorized by the Secretary of

the Interior or federal law.

III. Ownership of Gaming Facilities and/or Enterprises

The Sac and Fox Nation shall have the sole proprietary

interest in and responsibility for the conduct of any gaming

facilities and/or enterprise(s) authorized by this ordinance.

IV. Use of Gaming Revenue

A. Except as specifically authorized pursuant to Subsection

B of this Section, net revenues from Class II and Class III gaming

of the Sac and Fox Nation shall be used only for the following

purposes:

1) to fund Sac and Fox Nations government operations and

programs;

2) to provide for the general welfare of the Sac and Fox

Nation and its members;
3) to promote the Sac and Fox Nations economic development;

4) to donate to charitable organizations; or

5) to help fund operations of local government agencies.

B. If the Sac and Fox Nations elects to make per capita

payments to Sac and Fox Tribal members, it shall authorize such

payments only in conformity with a plan submitted to and approved

by the Secretary of the Interior pursuant to 25 U.S.C. §2710(b) (3).

V. Audit

A. The Sac and Fox Nations Tribal Council shall cause to be

conducted at least annually an independent audit of all gaining

operations and shall submit the resulting audit reports to the

NIGC, and to such other agencies as may be required by the terms

and conditions of any Class III compact or other document

authorizing Class III gaining on the Indian lands of the Sac and Fox

Nation.

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 and Class III gaming facilities on the Indian lands

of the Sac and Fox Nation shall be constructed, maintained and

operated in a manner that adequately protects the environment and

the public health and safety, with the Sac and Fox Nations Tribal

Council having primary responsibility for assessing the

environmental impact of all construction and gaming operations, and

taking such measures as it determines may be reasonably necessary

to mitigate any adverse environmental impacts as it may identify.

VII. Licenses for Key Employees and Primary Management Officials

The Sac and Fox Nations Tribal Council or its designated

gaming regulatory agency 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 and/or Class III gaming enterprise operated on Indian

lands of the Sac and Fox Nation:

A. Definitions

For the purposes of this section, the following

definitions apply:

1. Key employee means

2
(a) A person who performs one or more of the

following functions:

(1) Bingo Caller;

(2) Counting Room Supervisor

(3) Chief of Security

(4) Custodian of gaming supplies or cash;

(5) Floor Manager

(6) Pit Boss

(7) Dealer

(8) Croupier

(9) Approver of Credit; or

(10) Custodian of gambling devices

including persons with access to

cash and accounting records within

such devices;

(b) If not otherwise included, any other

person whose total cash compensation is

in excess of $50,000 per year; or

(C) If not otherwise included, the four most

highly compensated persons in the gaming

operation.

2. Primary management official means

(a) The person having management

responsibility for a management contract;

(b) Any person who has authority:

(1) To hire and fire employees; or

(2) To set up working policy for the

gaming operation; or

(C) The chief financial officer or other

person who has financial management

responsibility.

B. Application Forms

1. The following notice shall be placed on the

application form of 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

3
for the information in the performance of their official

duties. The information may be disclosed to appropriate

Federal, Sac and Fox Nation Tribal Council, 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

tribes being unable to hire you in a primary management

official or key employee position.

The disclosure of your Social Security Number (SSN) is

voluntary. However, failure to supply a SSN may result

in errors in processing your application.

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.

(18 U.S.C. §1001).

4. The Sac and Fox Nation Tribal Council or its

designated gaining regulatory agency 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

4
1. The Sac and Fox Nations Tribal Council or its

designated gaming regulatory agency 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 f or the previous five years: all

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 Subsection;

d. Current business and residence telephone numbers;

e. A description of any existing and previous business

relationships with Indian Tribal Councils,

including ownership interests in those businesses;

f. A description of any existing and previous business

relationships with the gaming industry generally,

including ownership interests in those businesses;

g. The name and address of every licensing or

regulatory agency with which the person has filed

an application for a license or permit related to

gaming, whether or not such license or permit was

granted;

h. For each felony for which there is an ongoing

prosecution or a conviction, the charge, the name

and address of the court involved, and the date and

disposition if any;

i. For each misdemeanor conviction or ongoing

misdemeanor prosecution (excluding minor traffic

violations) within ten years of the date of the

application, the name and address of the court

involved and the date and disposition;

j. For each criminal charge (excluding minor traffic

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

such criminal charge is within ten years of the

date of the application and is not otherwise listed

5
pursuant to paragraph (1)(h) or (1)(i) of this

Subsection, the criminal charge, the name and

address of the court involved and the date and

disposition;

k. The name and address of each 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 Sac and Fox Nations

Tribal Council may deem relevant under the

circumstances; and

n. Fingerprints consistent with procedures adopted by

the Sac and Fox Nations Tribal Council in

accordance with 25 C.F.R. §522.2(h).

2. The Sac and Fox Nations Tribal Council or its

designated gaming regulatory agency shall conduct an investigation

sufficient to make a determination under Subsection D. below. In

conducting a background investigation, the Sac and Fox Nations

Tribal Council or its agent(s) shall promise to keep confidential

the identity of each person interviewed in the course of the

investigation.

D. Eligibility Determination

The Sac and Fox Nations Tribal Council or its designated

gaming regulatory agency shall review a applicants 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 Sac and Fox Nations Tribal Council or its

designated gaming regulatory agency determines that employment of

the person poses a threat to the public interest or to the

effective regulation of gaming, or creates or enhances dangers of

unsuitable, unfair, or illegal practices and methods and activities

in the conduct of gaming, the 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, the Sac and Fox Nations Tribal Council or its

6
designated gaming regulatory agency shall forward to the

National Indian Gaining 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 Sac and Fox Nations Tribal Council or its

designated gaming regulatory agency shall forward the

report referred to in Subsection F of this Section to the

National Indian Gaining Commission within 60 days after an

employee begins work or within 60 days of the approval of

this Ordinance by the Chairman of the National Indian

Gaming Commission.

3. The gaming operation shall not employ as a key

employee or primary management official a person who does

not have a license after 90 days.

F. Report to the National Indian Gaming Commission

1. Pursuant to the procedures set out in Subsection E

of this Section, the Sac and Fox Nations Tribal Council or its

designated gaming regulatory agency 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 the background

investigation;

b. Results obtained;

c. Conclusions reached; and

d. The bases for those conclusions.

2. The Sac and Fox Nations Tribal Council or its

designated gaming regulatory agency shall submit, with the report,

a~copy of the eligibility d~f~nth1aFiQflJfla~ under Subsection D of

this Section.

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

and Fox Nations Tribal Council or its designated

gaming regulatory agency:

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

7
Records System.

4. With respect to key employees and primary management

officials, the Sac and Fox Nations Tribal Council or its

designated gaining regulatory agency 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 or denial 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 Sac and Fox Nations Tribal

Council or its designated gaming regulatory agency 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 Sac and Fox Nations Tribal Council or its

designated gaming regulatory agency has provided an application and

investigative report to the National Indian Gaming Commission, the

Sac and Fox Nations Tribal Council or its designated gaming

regulatory agency may issue a license to such applicant.

2. The Sac and Fox Nations Tribal Council or its

designated gaming regulatory agency 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 Subsection G.l. 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 ~

Tribal Council with a statement itemizing its objection(s) to the

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

official for whom the Sac and Fox Nations Tribal Council or its

designated gaming regulatory agency has provided an application and

investigative report to the National Indian Gaming Commission, the

*** Tribal Council or its designated gaming regulatory agency shall

reconsider the application, taking into account the objection(s)

itemized by the National Indian Gaming Commission. The Tribal

Council of the Sac and Fox Nation 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

Tribal Council of the Sac and Fox Nation or its designated gaming

regulatory agency receives from the National Indian Gaming

Commission reliable information indicating that a key employee or

8
a primary management official is not eligible for employment under

Subsection D above, the Tribal Council of the Sac and Fox Nation or

its designated gaining regulatory agency shall suspend such license

and shall notify in writing the licensee of the suspension and the

proposed revocation.

2. The Sac and Fox Nations Tribal Council or its

designated gaming regulatory agency 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 Sac and Fox Nations

Tribal Council or its designated gaming regulatory agency shall

decide whether to revoke or to reinstate a gaming license. The Sac

and Fox Nations Tribal Council shall notify the National Indian

Gaming Commission of its decision.

VIII. Licensing of Gaming Places, Facilities and Locations

A separate license shall be required for each place, facility,

or location on Indian lands where Class II and/or Class III gaming

is to be conducted on the Sac and Fox Nations Indian Reservation.

IX. Creation of Sac and Fox Nations Tribal Gaming Commission

A. There is hereby created the Sac and Fox Nations Tribal

Gaming Commission, which shall consist of three persons who would

themselves qualify for licensing under this Ordinance.

B. The members of the Sac and Fox Nations Gaming Commission

shall be appointed by the Sac and Fox Nations Tribal Council, and

shall not be removed during their terms of office except for

misconduct, neglect of duties or other acts that would render such

persons unqualified for licensure hereunder. An affirmative vote

of at least four members of the Sac and Fox Nations Tribal

Council, taken in an open meeting after a duly-noticed hearing at

which the member charged with misconduct shall have the right to

hear and present evidence concerning his/her removal, shall be

required to remove a member of the Commission. At the request of

the member whose removal is at issue, the hearing may be held in

executive session. The Tribal Council of the sac and Fox Nation

also may elect to receive in executive session any evidence public

disclosure of which might compromise any ongoing lawenforcement

investigation, or which might jeopardize any privilege or immunity

possessed by the Sac and Fox Nation.

C. There shall be a Chairperson of the Sac and Fox Tribal

Gaming Commission, who shall be appointed for a term of two years.

The remainin~ members of the Commission shall be appointed for

terms of ~ year. The Tribal Council shall determine and

authorize the compensation, if any, to be paid to members of the -

Sac and Fox Tribal Gaming Commission based upon the Tribal

9
Councils determination of the time required to be expended upon

Commission duties and the qualifications of the appointed

Commissioners.

D. The Sac and Fox Nations Tribal Gaming Commission shall be

authorized and hereby is directed to promulgate, subject to review

and approval by the Tribal Council, detailed and comprehensive

regulations for the implementation and enforcement of this

Ordinance. Said regulations shall describe and establish the rules

for each specific Class II and Class III gaming activity to be

authorized to be conducted on Indian lands of the Sac and Fox

Nation, and no form of such gaming may be conducted on such lands

without prior approval by the Sac and Fox Nations Tribal Gaming

Commission. Pending approval of the Sac and Fox Nations Tribal

Gaming Commissions regulations by the Sac and Fox Nations Tribal

Council, any interim regulations that the Sac and Fox Nations

Tribal Council may adopt shall govern gaming on the such lands.

E. The Sac and Fox Tribal Gaming Commission, independent of

the Tribal Council, shall have full authority to monitor compliance

with this Ordinance and its Regulations, and to investigate and act

to prevent any violation(s) thereof.

F. Subject to the approval of the Tribal Council and the

appropriation of funds therefor, the Sac and Fox Nations Tribal

Gaming Commission shall be authorized to employ such staff as

reasonably may be required to fulfill its responsibilities under

this Ordinance. Compensation of Commission employees shall be

limited to that which is comparable to compensation paid to persons

performing similar duties in other governmental gaming regulatory

agencies.

G. Subject to the approval of the Tribal Council, the Sac and

Fox Nations Tribal Gaming Commission hereby is authorized to

establish and impose upon gaming facilities, permittees, applicants

and licensees such application, permit and license fees as may be

necessary to fully reimburse the Sac and Fox Nation for its actual

costs of operating the Sac and Fox Nations Tribal Gaming

Commission, enforcing this Ordinance and Sac and Fox Nations

Tribal Gaming Commission regulations, processing of licensing and

permit applications, and otherwise fulfilling its regulatory

responsibilities under IGRA. All such fees shall be collected by

the Tribal Gaming Commission and hereby are continuously

appropriated solely for the purposes enumerated in this Subsection.

H. Failure to timely pay any gaming-related fee imposed by

the Sac and Fox Nations Tribal Council or the Tribal Gaming

Commission, or to comply with any Commission regulation or order,

or any other violation of this Ordinance or the terms of any Class

III gaming compact authorizing and regulating gaming on the Indian

lands of the Sac and Fox Nation, shall be grounds for suspension or

revocation of any license or permit issued pursuant to this

10
Ordinance, exclusion of any nonmember of the Sac and Fox Nation

from the Sac and Fox Indian Reservation or other Indian lands of

the Sac and Fox Nation, and imposition of such other sanctions as

the Sac and Fox Nations Tribal Gaming Commission may deem

appropriate.

I. Any person or entity subject to any sanction or penalty by

the Sac and Fox Nations Tribal Gaming Commission shall have the

right to appeal such sanction or penalty to the Tribal Council in

accordance with such rules and regulations as may be promulgated by

the Tribal Council for that purpose. The decision of the Tribal

Council on any appeal shall be final and not otherwise reviewable.

X. Repeal

To the extent that they are inconsistent with this ordinance,

all gaming ordinances previously enacted or amended by the Sac and

Fox Nation hereby are repealed.

CERTIFICATION

This is to certify that the foregoing Ordinance was adopted on

-1/ , f9g4~ at a duly-called meeting of the Sac and Fox Tribal

Council dt which a quorum was present, b v te of ~ i avor,

~ opposed and j ab~aining. /

Dated ~k~1/( / C~

/ J n bar, hr~rson

Affirm: Dated:~~7 // /ff~ ______________________

(/1 , Secretary

11
INTERIM GAMING REGULATIONS OF

THE SAC AND FOX NATION OF MISSOURI IN KANSAS AND NEBRASKA

I. ~ . 1

II . DEFINITIONS 1

III. ADMINISTRATION

(A) Staff; personnel policies; job descriptions . . . 4

(B) Job descriptions; organization chart . . . . . . 4

( C ) Budgets . . . . . . . . 4

IV. ENFORCEMENT AND SECURITY SERVICES

(A) Division established 4

(B) Gaming Security Board . . . . . . . . . . . . . . . 5

(C) Provision of security, surveillance, and

enforcement services; prompt payment required . . 5

(D) Security personnel employees of the commission . . 5

(E) Pricing; billing; late payment penalties . . . . . 6

V. LICENSES

(A) Policy; revocable privilege . . . . . . . . . . 6

(B) License and permit categories 7

(C) Standards for issuance of license or permit . . 8

(D) License application procedures . . . . . . 8

(E) Background investigations 12

(F) Applications reviews; approvals; denials;

hearings; appeals; waivers 13

(G) Expirations . . 17

( H ) Renewals . . 18

(I) Identification cards and name badges . . 18

(J) Employment of unlicensed or unpermitted

persons prohibited 19

(K) Facility license requirements 19

(L) Posting of facility license 22

VI. PENALTIES

(A) Suspensions . . 22

(B) Civil penalties . . . . . . . . . 23

(C) Criminal prosecution 23

(D) Revocations . . . . . . . . . . . 23

( E) Hearings . . . . . . 24

(F) Appeals 25

VII GAMING OPERATIONS

(A) Hours of operation 25

(B) Wagers with chips only 25

(C) House rules . . . . . . . . 25

(D) Tournaments 26

(E) Electronic gaming equipment 26

(F) Gambling by employees . 26

(G)Creditprohibited 26

1
I PREAMBLE

(A) Development of regulations The following interim regulations

are issued pursuant to the powers vested in the Sac and Fox Tribal

Council by the Sac and Fox Tribal Constitution and Tribal Gaming

Ordinance. Until such time as the Sac and Fox Gaining Commission is

operational, the Tribal Council may from time to time issue, amend,

and repeal such regulations consistent with the policy and purposes

of the Tribal Gaming Ordinance.

II. DEFINITIONS

(A) Chairman means the chairman of the Sac and Fox Nation of

Missouri or designee unless the context clearly indicates

otherwise.

(B) Tribal Council means the Sac and Fox Tribal Council.

(C) Tribal Council representative means any member of the Tribal

Council or any other person duly appointed by the Tribal Council as

its representative in any matter.

(D) Employee has the same meaning as the term is used by the

United States Internal Revenue Service.

(E) Financial interest means a right to a share in or benefit

from the proceeds of:

(1) A gaming operation, other than those rights accruing from

the provision of goods or services for which no part of the

compensation is based upon a percentage of the profits or a

similar share of the operations proceeds; or

(2) A lease or purchase agreement for the leasing or

purchasing of any gaming equipment where the agreement is for

more than six months duration in any 12 month period.

(F) Gambling game or game means any game defined and

authorized by the Sac and Fox Gaming Ordinance.

(G) Gaming or gambling means the offering of any games

authorized by the Sac and Fox Gaming Ordinance, except card games

played in private homes in which no person makes money for

operating the game, except as a player, and traditional Indian

games as defined in the Sac and Fox Gaming Ordinance.

(H) Gaming facility means any place, location, or building

wherein gaming is conducted, and including any associated food

service area, lounge, offices or other areas housed therein as well

as the area occupied by the gaines. The term shall also include all

buildings, improvements, equipment, and facilities used or

maintained in connection with such business.

1
(I) Gaming operation means each economic entity that operates

games, receives the revenues, issues the prizes, and pays the

expenses of the games.

(J) Key contractor means any person or other legal entity, other

than a management official or key employee, who has a contract or

other agreement with a gaming operation meeting of any of the

following criteria:

(1) Where the contract or agreement is primarily for

services, the contemplated or actual payment to the contractor

exceeds $50,000 in any 12 month period;

(2) Where the contract or agreement is primarily for goods,

the contemplated or actual payment to the contractor exceeds

$100,000 in any 12 month period; or

(3) The contractor performs for the gaming operation any

function described in the definition for a key employee.

The term also includes any individual employed by a key

contractor who performs any function for the gaming operation

described in the definition for a key employee or is compensated in

any manner in excess of $50,000 per annum for services provided

directly or indirectly to the gaming operation.

(K) Key employee means any employee who is directly or

indirectly engaged in the administration or supervision of the

gaming operations or physical security activities of such gaming

operations. The following classes of employees are presumed to be

actively and directly engaged in the administration or supervision

of gaming:

1) All individuals who are compensated in any manner in

excess of $50,000 per annum;

2) All individuals who have the authority to supervise or

direct a shift of any gaming or security activity, including

but not limited to supervision or direction of the pit area,

card rooms, keno or bingo gaines, mechanical or electronic

gaming devices, race or sports books, parimutuel operations, or any persons having authority to supervise or direct such

persons;

3) All individuals who supervise or direct other employees

engaged in the control of gaming assets and revenues and

record keeping, including the recording of cash and evidences

of indebtedness, and the maintenance, review, or control of

the records, accounts, and reports of transactions;

4) All individuals who have custodial responsibility for

2
cash or gaming supplies;

5) All count room supervisors and personnel;

6) All individuals who supervise or direct other employees

engaged in providing security or surveillance services to the

gaining establishment;

7) All individuals who may approve or extend gaming credit

in any amount, or whose recommendations in this regard are

ordinarily sought or followed;

8) All individuals who may approve or extend gaming credit

in any amount, or whose recommendations in this regard are

ordinarily sought or followed;

9) Any individual who has been specifically represented to

the Tribal Council by a licensee as being important or

necessary to the operation of the gaming establishment.

The term key employee does not include any person licensed as a

management official.

(L) License means a written approval of the Tribal Council

authorizing a specific individual to engage in certain gaming

activities which may also require approval from the federal

government.

(M) Sac and Fox Tribal Council or Tribal Council means the

governing body of the Sac and Fox Nation as established and defined

by the Sac and Fox Nation of Missouris Constitution.

(N) Management committee means a group of individuals selected

by the owner of a gaming operation to oversee and establish

policies for that operation.

(0) Management contractor means any person or other legal entity

engaged by the owner of a gaming establishment to provide

management services under a management contract as that term is

used by the Indian Gaming Regulatory Act.

(P) Management interest means the ability to effect significant

policy for a gaming establishment. A management official is deemed

to possess a management interest.

(Q) Management official. means any member of a gaming management

committee or other board of directors for a gaming operation, any

management contractor, any person having a direct or indirect

interest in a management company, the spouse of any person having a direct or indirect interest in a management company, the general

manager, the gaming operations manager, the controller or chief

financial officer, and any other person who has authority to hire

3
or fire employees or set working policy for a gaming operation.

(R) National Indian Gaming Commission or NIGC means the

federal gaming regulatory body created by the Indian Gaining

Regulatory Act (Public Law 100-497, 25 U.S.C. §2701 et seq.)

(S) Permit means a written approval of the Tribal Council

authorizing a specific individual to engage in certain gaming

activities that do not require a separate approval from the federal

government.

(T) Player shall mean a person who participates in a game other

than as an employee or contractor of the gaming operation.

(U) Gaming Security Board means the Gaming Security Board

established by the Tribal Council for the purpose of implementing

these regulations, or as further defined by the Tribal Council.

(V) Standard employee means any employee of a gaming operation,

including but not limited to card dealers, runners, food servers,

administrative personnel, maintenance, valet, and any other gaming

operation employee in any capacity except management officials and

key employees.

(W) Tribal representative means any member of the Tribal Council

or any other person duly appointed by the Tribal Council as their

representative in any manner, excluding management contractors.

III. ADMINISTRATION

(A) Staff; personnel policies; lob descriptions The Tribal

Council may hire, supervise, and discipline such personnel as the

Tribal Council may deem necessary to implement the Sac and Fox

Gaming Ordinance and these regulations in an efficient and

effective manner. The personnel policies of the Sac and Fox Nation

of Missouri shall apply to all Tribal Council employees unless

alternative policies are adopted and approved by the Tribal

Council.

(B) Job Descriptions; organization chart A job description

including job title, position supervisor, responsibilities,

authorities, and minimum qualifications shall be provided for each

position. The Tribal Council shall maintain an organization chart

that clearly shows the lines of control and supervisory authority

between all gaming regulatory boards, committees, and employees of

the Tribal Council.

(C) Budgets The Tribal Council shall each year prepare and

approve annual operating and capital expenditure budgets.

IV. ENFORCEMENT AND SECURITY SERVICES

4
(A) Division established A Gaining Enforcement and Security

Services Division of the Nation shall be established for the

purpose of administering the Tribal Councils license and permit

regulations, monitoring compliance of gaming operations with the

Tribal Gaming Ordinance and these regulations, and providing

physical security and surveillance services to licensed gaming

operations and premises.

(B) Gaming Security Board

(1) Gaming Security Board established, delegated powers and

responsibilities The Tribal Council shall establish and maintain

a Gaming Security Board composed of at least two Tribal Council

members and the Tribal administrator. The Gaming Security Board is

delegated Tribal Council powers to: conduct or oversee necessary

personal background and criminal history investigations of license

and permit applicants; approve and deny applications for gaming

licenses and permits; issue gaming licenses and permits; restrict,

suspend, or revoke licenses and permits or impose penalties or

other sanctions established by these regulations against the holder

of a license or permit; conduct hearings to consider an applicants

appeal of a Gaming Security Board decision to deny any application or to consider a permit applicants request for a waiver of permit

standards; and perform other Tribal Council duties as the Tribal

Council may decide. The Gaming Security Board is not delegated

Tribal Council authority to contract with the State of California

or any other third party, without the prior approval of the Tribal

Council, for the performance of background and criminal history

investigations.

(2) Security and surveillance policy-making responsibilities;

written policies required The Gaming Security Board shall

supervise and establish written policies and procedures for the

Tribal Councils security and surveillance force. When convened to

discuss security and surveillance policies and procedures, the

Gaming Security Board membership shall also include the general

manager of the gaming operation to which the security and

surveillance services are provided. Under no circumstances shall

the general manager of a gaming operation participate in or

influence any decision of the board or Tribal Council concerning a

gaming license or permit.

(C) Provision of security, surveillance, and enforcement services;

prompt payment required Physical security and surveillance

services for gaming facilities owned by the Sac and Fox Nation of

Missouri and enforcement of these regulations shall be provided by

Tribal employees. The Gaming Security Board shall bill the gaming

operation for the services provided by the Tribal Council and any

expenses incidental to these services. Failure on the part of a

gaming operation to promptly pay such expenses shall be grounds for

suspension or revocation of a facility license and/or other

disciplinary actions of the Gaming Security Board against the

5
facility and/or its management officials.

(D) Security personnel employees of the Sac and Fox Nation The

Gaming Security Board shall hire, supervise, and discipline a.

gaming security director. The gaining security director shall hire,

supervise, and discipline a gaming security force. All security

and surveillance services personnel shall be employees of the Sac

and Fox Nation of Missouri.

(E) Pricing; billing; late payment penalties Gaming/regulatory

services provided to a gaming operation shall be priced to cover

all costs associated with providing the services without any

financial burden on the Sac and Fox Nation. Pricing of services

shall include all direct expenses, overhead, and indirect charges

associated with or reasonably attributed to the Sac and Fox

Nations provision of the services. The Gaming Security Board

shall prepare and present an invoice from the Tribal Council to the

gaming operation that received the services. The Gaming Security

Board shall bill the gaming operation monthly or as near to monthly

as is possible. Invoices for security and surveillance services

shall be due and payable upon receipt of the invoice by the billed

party. Payments shall be deemed to be late if the invoice is not

paid in full within 15 calendar days after its receipt. The Gaming

Security Board shall impose a late payment penalty equal to 10% of

the unpaid invoice amount for every month or partial month the

payment is late. The imposition or collection of late payment

penalties shall not limit the Gaming Security Board from taking

other disciplinary actions against the licensed operation or

responsible management officials that the Gaming Security Board may

deem necessary and appropriate.

V. LICENSES

(A) Policy; revocable privilege

(1) It is declared policy of the Sac and Fox Nation of

Missouri that all gaming facilities, all persons having a financial

or management interest in such games, and all employees of such

gaming operations shall be licensed and controlled so as to better

protect the public health, safety, morals, good order, and welfare

of the community. Any gaming license or permit which is issued by

the Tribal Council shall be deemed to be a revocable privilege and

no person holding such a license or permit is deemed to have

acquired any vested rights therein.

(2) Every gaming facility, management official, key employee,

key contractor, and standard employee of a gaming operation shall

possess a valid gaming license or permit issued by the Tribal

Council of the activity in which s/he is engaged.

(3) An application for a Sac and Fox tribal gaming license or

permit is seeking the granting of a privilege, and the burden of

6
proving his/her qualification to receive any license or permit is

at all times on the applicant. An applicant must accept any risk

of adverse public notice, embarrassment, criticism, or other action

or financial loss which may result from action with respect to an

application and expressly waive any claim for damages as a result

thereof.

(4) An application for a license or permit constitutes a

request to the Tribal Council for a decision upon the applicants

general suitability, character, integrity, and ability to

participate or engage in, or be associated with, the gaming

industry in the manner or position sought by the application.

(5) To protect the public good, it is the Tribal Councils

intent to err on the side of caution when considering any license

application.

(6) The granting of a license or permit by the Tribal Council

does not constitute a commitment on behalf of the Tribal Council or

any other party to hire or continue to employ the licensee or

permittee.

(7) These regulations do not apply to bonafide traditional

Indian gambling gaines, so long as such games are conducted by and

for Indian persons at Tribal celebrations or gatherings and not as

a business.

(B) License and Permit Categories

(1) Facility license No gambling games may be played at any

place, facility, or location within the Sac and Fox Nation tribal

lands unless the manager of the gaming operation first obtains and

maintains in good standing a valid facility license issued in

accordance with these regulations.

(2) Management officials license No person, corporation,

or other entity other than the Sac and Fox Nation of Missouri may

have a management interest or financial interest in a gaming

operation unless s/he first obtains and maintains in good standing

a valid management officials license issued in accordance with

these regulations.

(3) Key employee license No person shall be employed as a

key employee by a gaming operation or by the Tribal Council unless

such person first obtains and maintains in good standing a valid

key employee license issued in accordance with these regulations.

The term key employee is defined in Section II of these

regulations.

(4) Work permit Each standard employee in a gaming

operation not classified as a management official or key employee

shall first obtain and maintain in good standing a valid work

7
permit issued in accordance with these regulations.

(5) Key contractor license No person or other legal entity

shall enter into any contract or other agreement with a gaming

operation that establishes the entity as a key contractor unless

the entity first obtains and maintains in good standing a valid key

contractor license issued in accordance with these regulations.

(6) Any person possessing a valid management official license

need not obtain a key employee license, key contractor license, or

work permit. Any person possessing a valid license need not obtain

a permit.

(C) Standards for issuance of license or permit No license or

permit shall be granted unless and until the applicant has

satisfied the Tribal Council that the applicant

1) Is a person of good character, honesty, and integrity;

2) Is a person whose background, reputation, and

associations will not result in adverse publicity for the Sac

and Fox Nation of Missouri;

3~ Is a person whose prior activities, criminal record, if

any, reputation, habits, and associations do not pose a threat

to the public interest or to the effective regulation of

gaming, or create or enhance the dangers of unsuitable,

unfair, or illegal gaming practices, methods, and activities.

Specifically, the applicant must have:

a) Not been determined by any court to be guilty of

committing any felony, regardless of sentence, including

any pending appeals;

b) Not been determined by any court to be guilty of

committing any nonfelony crime involving violence,

dishonesty, theft, or moral turpitude within the past

five (5) years, including any pending appeals;

c) Not been identified in the published reports of any

federal, tribal, state, or executive body as a member or

associate of organized crime, or as being of notorious

and unsavory reputation; and

d) No outstanding warrant for arrest from any jurisdiction.

4) If other than a management committee member, is not an

elected member of the Sac and Fox government or a relative in

the immediate household of an elected member of the Tribal

government.

5) Meets the federal requirements pertaining to Indian

8
gaming licenses, especially the Indian Gaming Regulatory Act

and related regulations.

(D) License application procedures.

(1) General requirements Applicants for a gaining license or

permit must complete the appropriate application form and submit

the form, all necessary additional documents, and the application

fee to the Gaming Security Board. The application will not be

regarded as complete until the Gaming Security Board receives all

requested information from the applicant and the application fee

and any additional investigation fees that may be required are

received by the Tribal Council.

(2) Application forms; contents; amendments

(a) Every application or report must be filed on forms

furnished or approved by the Gaming Security Board and must

contain and be accompanied by such documents and information

as may be specified or required.

(b) It is grounds for denial of an application or

disciplinary action for any person to make any untrue

statement of material fact in any application or report filed

with the Gaining Security Board or to willfully omit any

material fact in such application or report.

(c) All information required to be included in an application

must be true and complete as of the dates of the Gaming

Security Board action sought by such application; and an

applicant shall promptly supply any factual information

occurring after the original application. Failure by an

applicant to promptly update his application to include all

material facts shall be deemed by the Gaming Security Board as

a willful omission of information.

(d) Every application for any gaming license or permit, other

than a facility license, shall include, at a minimum, the

following information:

i) The applicants full name, any other names used,

date and place of birth, citizenship, social

security number, drivers license numbers, and

physical description; and

ii) The dates and places of residence of the applicant

for the past ten years, dates and places of

employment and/or business including the positions

held or types of work engaged in for the past ten

years (this information is needed for only the past

five years for employee work permit applicants);

and

9
iii) The applicants current business and residence

telephone numbers; and

iv) The applicants current business and residence

telephone numbers; and

v) A description of any previous or ongoing gaming or

business relationship with any Indian tribe; and

vi) A description of any previous business relationship

with the gaining industry, including the name and

address of any licensing or regulatory agency with

which the applicant has filed an application for a

license or permit relating to gaming and the status

of the application; and

vii) A list of all felony charges and dispositions

against the applicant, if any, the name and address

of the court involved, and the date and ruling of

the court; and

viii) A list of all misdemeanor charges and dispositions,

if any, within the past 10 years, the name and

address of the court involved, and the date and

ruling of the court; and

ix) A list of all determinations of guilt by any court

regardless of the sentence imposed, including any

appeals; and

x) For other than employee work permit applications, a

financial statement disclosing all assets,

liabilities, and financial interests for each of

the past ten years.

(e) Every application for a facility license shall

include, at minimum, the following information:

i) The name, address, and telephone number of the

gaming operation;

ii) The name, address, and telephone number of the

gaming operations owner;

iii) The name, address, and telephone number of the

management company, if any, and the name, address,

social security number, birth date, and percentage

interest in the management company of each person

possessing a financial interest in the management

company;

iv) An operating plan detailing all information

required in section VI(K) of these regulations,

10
including the annual budget;

v) A list of all management officials and key employee

names, including the position and annual salary of

each individual listed; and

vi) The complete current or proposed house rules of the

gaming operation.

(f) An application may be amended at the discretion of

the Gaming Security Board at any time prior to the Gaming

Security Boards final action on the application.

(g) Any document filed under any of the provisions of

the Sac and Fox Tribal Ordinance may be incorporated by

reference in a subsequent application if it is available in

the files of the Tribal Council, to the extent that the

document is currently accurate.

(h) Any person denied a license or permit may not

submit, and the Gaining Security Board may not accept, another

application from that person for at least six months after the

date the initial application was denied.

(3) Fingerprints An application for a management official

license, key employee license, or key contractor license shall not

be complete until the applicant furnishes to the Gaming Security

Board his/her fingerprints in duplicate on fingerprint impression

cards.

(4) Photographs Each applicant for a license or work permit

shall be required to submit a photograph in duplicate with their

application. The photographs must be satisfactory to the Gaming

Security Board and must have bene taken not more than 3 months

before the application is filed.

(5) Application and investment fees

(a) Each application for a license or work permit must

be accompanied by a nonrefundable application fee in the

amount shown below:

i) $500.00 for a management official license;

ii) $250.00 for a key employee license;

iii) $250.00 for a key contractor license;

iv) $150.00 for a work permit.

(b) In addition to any non-refundable application fees

paid, the Gaming Security Board may require an applicant to

pay such supplementary investigative fees and costs as may be

determined by the Gaming Security Board. The Gaming Security

Board may estimate the supplementary investigative fees and

11
costs and require the applicant to pay the estimated fees and

costs in advance as a condition precedent to beginning or

continuing an investigation.

(c) The Gaining Security Board may not act upon any

application unless all application and investigation fees and

costs have been paid in full. The Gaming Security Board shall

deny an application if the applicant has failed or refused to

pay all application and investigation fees and costs.

(d) A gaming operation may enter into an agreement with

the Gaming Security Board to guarantee an applicants payment

of the required application and investigation fees over a

threemonth period or less. The agreement must state that the

gaming operation will pay on the applicants behalf any

payments not timely made by the applicant regardless of

whether or not the applicant continues to be employed by the

gaming operation. The Gaming Security Board may take

preliminary or final action on an application before the

required application and investigation fees are received only

if payment of the fees is guaranteed by an agreement with the

gaming operation.

(E) Background investigations

(1) Within 14 calendar days after receipt of a complete

application and such supplemental information as the Gaming

Security Board may require, the Gaming Security Board shall begin

its investigation of the applicants background to determine if the

applicant meets the Tribal Councils minimum license or permit

standards. The Gaming Security Board shall investigate the

criminal history of each applicant for a license or permit and the

personal background and character of each applicant for a license.

At its own discretion the Gaming Security Board may also

investigate the personal background and character of any applicant

for-a permit. The Gaming Security Board shall perform, at a

minimum, the following investigations before taking preliminary or

final action on any application:

(a) Applicant for any gaming license or permit The

criminal background of an applicant for any gaming license or

permit shall be investigated by submitting the applicants

vital information, including but not limited to: full name;

any other names used, date and place of birth; citizenship,

drivers license numbers; social security number; and physical

description to the Brown County Sheriff and a federal law

enforcement or federal gaming regulatory agency and requesting a criminal history report.

(b) Applicant for any gaming license -

additional

requirements In addition to other investigations, the Gaming

Security Board shall submit the fingerprints of each license

12
applicant to a responsible agency of the federal government

and request a Federal Bureau of Investigation report of the

applicants criminal history. If the applicant lived outside

the United States for more than six months during the

preceding ten years the Gaining Security Board shall also

submit the applicants vital information to INTERPOL and

request an international criminal history report for the

applicant. The Gaming Security Board shall also interview at

least three previous employers, associates, or other persons

familiar with the applicant to determine if the applicants

reputation, character, habits, and activities meet the

standards for issuance of a license. The Gaming Security

Board shall also obtain a credit bureau report on the

applicant.

(c) Applicant for a management officials license In

addition to other investigations, the Gaming Security Board

shall contact banks, other financial institutions, and other

information sources as needed to verify the accuracy of

financial information provided by each person named in an

application for a management officials license.

(2) The Gaming Security Board is not limited to the above

investigations and shall make additional investigations and

inquiries as required by federal law or regulation or as needed to

determine with reasonable certainty that an applicant either does

or does not meet the minimum standards for issuance of a gaming

license or permit.

(3) The Gaming Security Board shall attempt to complete its

background investigation within 30 days following receipt of a

complete application. If the investigation cannot be completed

within 30 days the Gaming Security Board shall notify the applicant

in writing why the investigation is not complete and when it

expects to complete the investigation.

(4) Upon approval of the Tribal Council, the Gaming Security

Board may contract with private, state, and/or federal

investigation agencies to perform the required background and/or

criminal history investigations.

(F) Applications reviews; approvals; denials; appeals; waivers

(1) Review Within 14 calendar days following completion of

the background investigation the Gaming Security Board shall review

each application and all background investigation and criminal

history reports to determine if the applicant meets the standards

for issuance of the requested license or permit.

(2) Permit approval If, in the Gaming Security Boards

judgment, the applicant meets the standards for issuance of a

permit and all application and investigation fees are fully paid,

13
the Gaming Security Board may approve the application and issue the

permit.

(3) License approvals

(a) Preliminary approval; temporary licenses. If, in

the Gaining Security Boards judgment, the applicant meets the

standards for issuance of a license and all application and

investigation fees are fully paid, the Gaming Security Board

may grant its preliminary approval of the application. At its

discretion, the Gaming Security Board may also issue a

temporary license. A temporary license shall not be valid for

more than 60 days.

(b) National Indian Gaining Commission review. Within

seven calendar days after granting preliminary approval of a

license application, the Gaming Security Board shall mail a

copy of the application and all background investigation and

criminal history reports to the National Indian Gaming

Commission or other appropriate federal agency. The Gaming

Security Board shall also include a cover letter indicating

the Sac and Fox Tribal Councils intent to issue the applicant

a license and request that the federal agency review the

application pursuant to the requirements of federal law. A

copy of this letter may also be sent to the applicant with a

notice that the application is not finally approved.

(c) Final approval. The Gaming Security Board may grant

final approval of a license application only after:

i) Receiving authorization to do so from the

National Indian Gaming Commission or other

responsible federal agency; or

ii) 30 days have elapsed since the responsible

federal agency was notified of the Tribal

Councils intent to issue the license and the

federal agency has not responded.

The Gaming Security Board shall promptly notify each

approved applicant that his/her application is approved and

issue a license. If a temporary license was previously

issued, the effective date of the license shall be the issue

date of the temporary license.

(4) License and permit limitations and restrictions No

license or permit shall be valid unless signed by the Chairman of

the Tribal Council or the Chairman of the Gaming Security Board.

The Gaming Security Board may limit the term of the license or

place such conditions thereon as it may deem necessary to protect

the Sac and Fox Nation of Missouri or public interest.

(5) Denial

14
(a) The Gaming Seôurity Board must deny an application

for any class of license or permit if, in the Gaming Security

Boards opinion, the applicant does not meet the standards

required for issuance of the requested license or permit

(minimum license and permit standards are defined in section

V (C). Without limiting the Gaming Security Boards

discretion to deny any application, if, in the Gaming Security

Boards judgment, such a denial is in the interests of the Sac

and Fox Nation of Missouri or public, the Gaming Security

Board may deny an application if the applicant:

i) Failed to disclose, misstated, or otherwise attempted to

mislead the Gaming Security Board with respect to any

material fact contained in the application for issuance

or renewal of a license or permit;

ii) Knowingly failed to comply with the provisions of the Sac

and Fox Gaming Ordinance or the regulations of the Tribal

Council at any time in the past;

iii) Commit, attempted, or conspired to commit any crime of

moral turpitude, embezzlement, or larceny or any

violation of any law pertaining to gaming;

iv) Committed, attempted, or conspired to commit a crime

which is any felony or a gross misdemeanor involving

theft, embezzlement, fraud, or violence;

v) Was identified in the published reports of any federal or

state legislative or executive body as being a member or

associate or organized crime, or as being of notorious

and unsavory reputation; or

vi) Had a gaming license or permit revoked by this Tribal

Council or the gaming commission or gaming regulatory

body of any Tribe, State, or foreign country;

vii) Failed to exercise discretion and sound judgment to

prevent incidents which might reflect on the reputation

of the Sac and Fox Nation of Missouri;

viii) Permitted persons who are visibly intoxicated to

participate in gaming activity;

ix) Catered to, assisted, employed, or associated with,

either socially or in business affairs, persons of

notorious or unsavory reputation or who have extensive

police records, or persons who have defied investigative

or other bodies acting on behalf of the United States, or

the Sac and Fox Nation of Missouri, or employing either

directly or through a contract, or any other means, of

any firm or individual in any capacity where the

reputation of the Sac and Fox Nation of Missouri is

liable to be damaged because of the unsuitability or

unethical methods of the firm or individual;

x) Employed in any gaming operation any person whom the

Tribal Council, any other gaming regulatory agency, or

any court has found guilty of cheating or using any

improper device in connection with any game, whether as

a licensee, permittee, or player;

15
xi) Failed to comply with or make provision for compliance

with all federal and Tribal laws and regulations

pertaining to the operations of a gaining facility

including, without limiting the generality of the

foregoing, payment of all license fees and withholding

and paying any payroll taxes;

xii) Possessed or permitted to remain in or upon the gaining

facility any cards, dice, mechanical device, or any other

cheating device whatever;

xiii) Conducted, operated, or dealt any cheating or thieving

game or device on the premises which may have in any

manner been marked, tampered with, or otherwise placed in

a condition, or operated in a manner, which tends to

deceive the public or which might make the game more

liable to win or lose, or which tends to alter the normal

random selection of criteria which determine the result

of the game; or

xiv) Denied any Tribal Council member or duly authorized

Tribal Council representative, upon proper presentation

of identification, access to, inspection, or disclosure

of any portion or aspect of a gaming facility or gaming

operation.

(b) In addition to the foregoing, the Gaming Security Board

may deny any activity on the part of a licensee or permittee,

his agents, or employees that is in any way contrary to the

public health, safety, morals, good order, and general welfare

of the Sac and Fox Nation of Missouri, or that would reflect

or tend to reflect discredit on the Sac and Fox Nation of

Missouri, as an unsuitable method of operation and cause for

denial of a license or permit.

(c) The Gaming Security Board shall deny any license

application that is disapproved by the National Indian Gaining

Commission or other federal agency responsible for Indian

gaming licenses under the Indian Gaming Regulatory act or

other federal law or regulations.

(d) The Gaming Security Board may deny an application at any

time during the application process, including after granting

preliminary approval to the application. The Gaming Security

Board shall promptly notify an applicant that his/her

application was denied and shall specify the reasons for the

denial, including a list of criminal conviction(s), date(s),

and location(s), if any, that contributed to the Gaming

Security Boards decision to deny the application. If an

application was denied as a result of information contained

mt he applicants FBI identification record, the applicant

shall also be advised of the procedures to change, correct, or

update the record as set forth in Title 28 CFR, Section 16.34.

16
(6) Hearings All persons denied a license or permit shall

be informed of their right to a hearing before the Gaming Security

Board. Hearings to consider the denial of a license or permit

shall be conducted in accordance with the hearing provisions of

section VI with the following additional requirements:

a) The applicant must state in his/her written request for

a hearing the reasons s/he believes the application

should be approved.

b) The applicant shall also include copies of all documents

supporting the applicants position, including police

records and reports, character references, and other

relevant information.

c) Failure by the applicant to provide this information

shall be deemed just cause to deny the applicants

request for a hearing or, if the hearing is held ont he

premise that the required information was provided, the

board may deem the omitted information as a willful

attempt to deceive the board and shall deny the

application.

(7) ApDeals Any applicant denied a license or permit

following a hearing by the Gaming Security Board may appeal the

boards decision. The appeal must be made in accordance with the

hearing and appeal provisions of section VI.

(8) Waivers

(a) Any enrolled member of the Sac and Fox Nation of Missouri

or other Native American with established ties to the Sac and Fox

tribal lands denied an application for a permit may request a

waiver of the permit standards. Waivers may not be considered for

any nonNative American resident of the Sac and Fox tribal lands,

community or any other person not enrolled as a member of the Sac

and Fox Nation of Missouri. Waivers may not be considered when the

application is for a license. The eligible applicant must show

that a waiver is in the best interests of the Sac and Fox Nation of

Missouri or the Gaming Security Board may not grant the requested

waiver.

(b) The procedures for requesting and considering a waiver

are the same as those for hearings before the Gaming Security Board

with the following additional requirements:

i) If the requested waiver involves any of the following

criminal offenses, the waiver applicant must provide

copies of all police and court records relating to

his/her conviction(s), probation officer reports,

character references, and any other information relevant

to proving the applicant is now of good character:

1) Any felony conviction involving crimes of violence,

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dishonesty, theft, or moral turpitude within the

last five (5) years; or

2) Any other felony conviction within the last two (2)

years.

(c) The Gaining Security Board may also require that any

applicant for a waiver provide the Gaming Security Board with

copies.of police, court, and other records related to any criminal

or civil charges made against the applicant. The waiver applicant

will follow all other procedures for Gaming Security Board hearing

sand must appear in person before the Gaming Security Board to

present his/her arguments that the issuance of a permit would be in

the best interests of the Sac and Fox Nation of Missouri.

(G) Expirations

(1) Except for a facility license and a key contractor

license, the expiration date of each license an permit shall be

determined by the licensees or permittees birth date. The

license or permit shall expire on the licensees or permittees next birth date if this date occurs six months or later from the

date the license or permit was issued. The license or permit shall

expire one year from the licensees or permittees next birthday if

the next birthday occurs within six months of the license or permit

issue date.

(2) A key contractor license shall expire not later than one

year from the date it was issued.

(3) A facility license shall expire not later than one year

from the date it was issued.

(4) The expiration schedules in this section describe the

maximum period for which a license or permit may be granted. The

Council, Commission or Gaming Security Board may issue any license

or permit for a shorter period if the Council, Commission or Gaming

Security Board deems the shorter period is necessary to adequately

protect the interests of the Sac and Fox Nation of Missouri or the

public.

(H) Renewals Subject to the power of the Gaming Security Board

to deny, revoke, suspend, or limit licenses and permits, any gaming

license or permit in force may be renewed for the next succeeding

period upon proper application for renewal and payment of

applicable license and investigation fees as required by law and

the regulations of the Tribal Council. The Gaming Security Board

shall encourage license and permit holders to apply for a license

or permit renewal at least 60 days prior to expiration of the

current license or permit, but he Gaming Security Board may not

accept a renewal application more than 120 days prior to expiration

of the current license or permit.

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(I) Identification cards and name badges

(1) The Gaming Security Board shall issue an identification

card to every person granted a license or permit. The

identification card shall include the licensees or permittees

photograph, name, license, or permit category and number, name of

the gaming operation by which they are employed or to which they

provide services, expiration date of the license or permit, Sac and

Fox Nation of Missouri logo, and such other identifying marks

deemed necessary by the Tribal Council to readily identify

legitimate cards from counterfeit cards. The gaming security

director shall direct the preparation and issuance of

identification cards pursuant to procedures established by the

Gaming Security Board. An identification care may not be issued

until after the applicants application is approved and the license

or permit signed by the chairman of the Tribal Council or Gaming

Security Board. An identification card may be issued to the holder

of an approved temporary license.

(2) The licensee or perinittee shall be required to carry the

identification card on their person at all times s/he is on duty,

or mt he case of a management official, whenever s/he is at the

gaming establishment. A licensee or permittee is required to

promptly. show his/her identification card to any person requesting to inspect the card.

(3) Every licensee or permittee shall at all times while on

duty wear a name badge issued by the gaming operation. Undercover

security personnel performing legitimate security or monitoring

functions are not required to wear a name badge.

(4) The licensee or permittee shall be required to surrender

his/her photo identification card when: the cad expires; when a new

license or permit is issued; when the licensee;s or permittees

association with the gaming operation ends, whether or not the

termination is voluntary; or when the license or permit is

suspended or revoked. The gaming operation shall be required to

withhold an employees or contractors last paycheck or final

payment until the photo identification card is returned to the

Tribal Councils security director.

(5) Any person who has lost his/her photo identification card

must report he loss to the security director within 24 hours of the

loss or discovery of the loss. Replacement of the first lost photo

identification cared may be made for a fee of $25. Subsequent lost

photo identification cards may be replaced for a fee of $50.

(J) Employment of unlicensed or unpermitted persons prohibited

A licensee shall not employ any person or enter into any contract

or agreement for service s with any person in a capacity for which

that person is required to obtain a license or permit if that

person does not possess the proper and valid license or permit as

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required by these regulations. The gaming operation shall

immediately discharge any employee and cancel any contract or

agreement upon notification by the Gaining Security Board that the

employee;s orcontractors license or permit has been revoked by

the Gaming Security Board or that the employee or contractor does

not possess the required license or permit.

(K) Facility license requirements

(1) License fee

(a) Each gaining operation approved to receive a facility

license shall pay a facility fee not to exceed 10% of the

amount which the approved annual budget for that operation

establishes as an estimate of the management contractors

compensation, if there is a management contractor; otherwise,

the facility fee shall not exceed the lesser of four percent

of net profit or the actual cost of regulating the gaming

operation in the year for which the facility is to be

licensed. The approved annual budget of the operation shall

be that budget approved by the operations management

committee. The license fee shall be paid in advance in

quarterly installments. The actual license fee shall be based

upon the Tribal Councils estimate of the expected costs of

regulations for the period in which the license is to be

effective.

(b) The facility license shall not become valid until

the first quarters license fee is received the Gaming

Security Board. The facility license shall lapse and the

Gaming Security Board shall take appropriate enforcement

actions if subsequent quarterly payments are not timely made.

(c) License fee payments shall be deemed to be late if

not paid in full by the first day of each calendar quarter.

The Gaming Security Board shall impose, and the facility

licensee shall pay, a late payment penalty equal to 10% of the

unpaid license fee for every month or partial month the

payment is late. A suspended facility license may not be

reinstated until all license fees and penalties are paid by

the gaming operation. The imposition or collection of late

payment penalties shall not limit the Gaming Security Board

from taking other disciplinary actions against he gaming

operation or responsible management officials that the Gaming

Security Board may deem necessary and appropriate.

(2) Operating Plan

(a) Every facility licensee shall at all times maintain

on file with the Gaming Security Board a current operating

plan, verified by the affidavit of the operations general

manager, including, but not limited to: days and hours of

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operation; the maximum number and type of gaming tables or

devices expected to be uncovered or in use at any time during

the year; the number of gaming tables or devices expected to

be in actual use during the first month of the report year;

and the duly approved operating budget. The approved

operating budget shall be submitted to the Gaming Security

Board within one week of its approval by the operations

manager but not later than two weeks prior to the beginning of

the operations new fiscal year.

(b) Any significant changes to the operating plan shall

be reported to the Gaming Security Board in writing no more

than two weeks following the end of the month in which eh

change occurred. Significant changes include, but are not

limited to, a change of 15% or more in the number of gaming

tables or devices uncovered or in use; a change of 15% or more

in the net profit forecast for the balance of the current

year; or a change in the operations fiscal year or accounting

policies.

(c) A facility licensee must submit any plans to

increase the number of gaming tables or devices currently

authorized for play or to introduce any new game in writing to

the Gaming Security Board. The Gaming Security Board shall

review the plans in a timely manner and shall approve the

plans if the Gaming Security Board finds the changes are not

detrimental to the tribal and public interests. The Gaming

Security Board may request and the licensee shall provide any

additional material, including financial projections and

target market demographics, the Gaming Security Board deems

necessary to evaluate the impacts of the requested change.

(2) Key employee report

(a) Each facility licensee shall submit an annual key

employee report to the Gaming Security Board on a form to be

furnished by the Gaming Security Board.

(b) The annual key employee report shall identify every

management official and key employee of the operation and their

annual wage or salary compensation. The report shall also include

an organization chart for the operation and a description of each

management officials and key employees duties and

responsibilities, and the authority delegated to each individual

identified in the report.

(c) Any changes, additions, or deletions to any information

contained within the annual key employee report which occurs

subsequent to the filing of the report and prior to the filing of

the next years report shall be reported to the Gaming Security

Board in writing no more than two weeks following the month during

which the change, addition, or deletion occurred.

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(3) Financial reports

(a) Annual audited financial report. The operations general

manger shall ensure an annual audit is coimnenced by an independent

CPA within 30 days following the end of the operations fiscal

year. Within two weeks following its receipt by the operations

manage and in no case later than six months after the close of the

operations fiscal year, every facility licensee shall provide the

Tribal Council with a complete an d audited financial statement of

gaming operations for that fiscal year. The financial statement

and audit report shall be prepared by an independent certified

public accountant.

(b) Monthly financial reports. Before the 25th day of the

following month, every facility licensee shall provide the Tribal

Council with monthly and year-to-date reports of the gaming

operations financial performance. The reports shall include, at

a minimum, detailed income statements and balance sheets.

(C) The Tribal Council may, at its sole discretion, inspect

or audit the financial records, management procedures, or other

aspects of a licensed operations activities. The Tribal Council

may employ independent auditors or investigators to perform such

inspections or audits as the Tribal Council deems necessary. In

the absence of an alternative agreement, the expense of such audits

or investigations shall be borne by the Tribal Council.

(L) Posting of facility license A facility license by the Gaming

Security Board must be prominently displayed at all times upon the

licensed premises in such position as it may be observed by persons

participating in the gaming activities.

VI. PENALTIES

(A) Suspensions

(1) Emergency suspensions The Tribal Councils gaming

security director or his/her subordinates may seize an individuals

identification card and exclude that individual from the gaming

establishment for up to 72 hours if, in the security directors

judgment, the licensees or permittees actions or commissions pose

a threat to the integrity of the gaming operation, the safety of

the general public, patrons, or other employees, or the image and

reputation of the Sac and Fox Nation of Missouri. The security

director shall immediately notify the gaining operations general

manager of the emergency suspension. At its discretion, the Gaming

Security Board may take formal suspension action against the

individual.

(2) Formal suspensions

(a) The Gaming Security Board may issue an order

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suspending a license or permit if the Gaining Security Board

has reasonable cause to believe that:

i) the suspension is necessary for the immediate

preservation of the public peace, health, safety,

morals, good order, or general welfare of the Sac

and Fox Nation of Missouri; or

ii) the licensee or permittee may have violated any

condition ore requirement imposed on the licensee

or permittee by the Tribal Council or Gaming

Security Board or applicable laws.

(b) The suspension order becomes effective when it is

signed by the chairman of the Gaming Security Board and served

upon the holder of the license or work permit.

(c) The order suspending the license or work permit must

state the reason for the suspension.

(d) The suspension order shall state that the licensee

or permittee shall forfeit his/her right to a hearing and any

appeal if s/he fails properly to request a hearing before the

Gaming Security Board within 30 days following the effective

date of the order.

(e) By the end of the next business day following the

effective suspension date of a license or permit, the Gaming

Security Board shall notify the general manager of the gaming

operation employing or contracting services of the suspended

licensee or permittee of the Gaming Security Boards action.

The gaming operations general manager shall immediately

suspend the employee or contract and shall not pay the

employee or contractor any wages, benefits, or other

compensation except for legitimate services actually rendered

prior to the suspension. If the suspension involves the

license of the general manager or the facility, the Gaming

Security Board shall notify the management contractor or other

representative of the operations owner.

(f) The Gaming Security Board may suspend a license or

permit for any period of time up to one year in length.

(g) The Gaming Security Board may reinstate a license

or work permit only after the licensee or perinittee

resolves to the Gaming Security Boards

satisfaction the cause for making the suspension.

(B) Civil Penalties The Gaming Security Board may impose a civil

penalty or penalties against any licensee or perinittee reasonably

determined by the Gaming Security Board to have violated any of

these regulations, whether or not the Gaming Security Board has

suspended the license or permit. If the Gaming Security Board

23
deems a penalty is appropriate, it shall notify the licensee or

permittee of the Gaming Security Boards intent to impose the

penalty and set a time and date to hear the licensees or

permittees rebuttal of the Gaming Security Boards determination.

The licensee or permittee shall be required to pay any penalty

before the license or permit may be reinstated.

(C) Criminal Prosecution The Gaming Security Board shall

promptly submit any knowledge or evidence of criminal wrongdoing

that it may discover to appropriate law enforcement officials for

prosecution.

(D) Revocations In addition to any penalty the Gaming Security

Board may elect to impose against a licensee or perinittee, the

Gaming Security Board may revoke a suspended gaming license or

permit if the Gaming Security Board determines that the licensee or

permittee:

a) Does not meet the minimum standards or requirements for

issuance of a license or permit;

b) Failed to disclose, misstated, or otherwise misled the

Gaming Security Board about any fact contained within any

application for a license or permit;

c) Violated any of the terms or conditions under which the

Gaming Security Board granted the license or permit; or

d) Failed to request a hearing before the Gaming Security

Board to reinstate a suspended license or permit.

Any person or other legal entity who has had a license or permit

revoked by the Gaming Security Board shall not be eligible to apply

for a new license or permit for one year after the effective date

of the revocation.

(E) Hearings

(1) The license or perniittee whose license or permit is

suspended or revoked or against whom a penalty was imposed or an

applicant denied a license or permit:

a) Has a right to a hearing before the Gaming Security

Board on the Gaming Security Boards decision or

order;

b) Must make a written request to the Gaming Security

Board for a hearing within 30 days following the

effective date of the Gaming Security Boards

decision or order. Failure to properly request a

hearing in a timely manner waives the persons

right to a hearing or any other appeal of the

Gaming Security Boards decision.

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(2) After receipt of a written request for a hearing, the

Gaming Security Board shall schedule a hearing for not later than

fourteen calendar days after the request was received. Following

the hearing the Gaming Security Board shall make a decision to

uphold, modify, or reverse the order imposing the suspension,

revocation, or penalty(s).

(3) Throughout the hearing and any appeals that may follow,

the appellant shall have the following rights:

a) The right to appear personally before the Gaining Security

Board;

b) The right to face and question the appellants accuser;

and

c) The right to representation by any party of the

appellant s choosing.

(4) The Gaming Security Board must determine that the offense

or other cause for the suspension, revocation, or penalty more

likely than not occurred, or the Gaming Security Board shall

withdraw the order or penalty. The Gaming Security Board shall

issue its decision in writing.

(5) The licensee or permittee may request and the chairman of

the Gaming Security Board shall grant a time extension or extension

s of any reasonable period necessary for the licensee or permittee to prepare for the hearing.

(6) The Gaming Security Board may amend its order at any

time.

(F) Appeals

(1) Appeals to the Tribal Council

(a) The licensee or perinittee against whom a penalty was

imposed or whose license or permit was suspended or revoked or an

applicant denied a license or permit and who, following a hearing

before the Gaming Security Board, remains dissatisfied with the

Gaming Security Boards decision may appeal that decision to the

Tribal Council. The licensee or permittee must file a notice of

appeal to the Tribal Council in writing within 30 days after the

Gaming Security Board issued its final decision or the right to

this and further appeals shall be forfeited.

(b) At the Tribal Chairmans direction, the Tribal Council

shall meet within 30 days following receipt of the written appeal

and consider the appellants request.

(c) The Tribal Council shall review the Gaming Security

Boards written decision and the Gaming Security Boards hearing

records and exhibits. The Tribal Council may reverse or modify the

25
Gaming Security Boards decision only if the Tribal Council

determines that the decision was arbitrary or capricious or the

Gaming Security Board clearly erred in its interpretation or

application of these regulations.

(d) The Tribal Council shall issue its determination in

writing within ten calendar days following the close of the appeal

hearing or any extensions thereto.

(e) Tribal Council members appointed to the Gaming Security

Board may not vote in the Tribal Councils final hearing decision.

(f) The decision of the Tribal Council shall be final and not

otherwise reviewable.

VII. GAMING OPERATIONS

(A) Hours of operation All gaines permitted by these regulations

and the Sac and Fox Gaming Ordinance may be conducted 24 hours per

day, seven days per week throughout the year unless otherwise

ordered by the Tribal Council.

(B) Wagers with chips only Except as may otherwise be permitted

by house rules approved by the Tribal Council, a wager may be

accepted in any card game only when the wager is made with chips

issued by the licensed facility within which the wager is made.

(C) House Rules

(1) Filing The manager of a licensed facility shall develop

and submit to the Tribal Council detailed house rules governing all

games offered or played in the facility. Any changes or amendments

to the rules shall be immediately forwarded to the Tribal Council

with a written description of the effect of the change or

amendment. All rules are subject to approval by the commission.

(2) Posting A summary of the house rules, including wager

limits, and a notice that the complete house rules are available

for review upon request, shall at all times be posted by the

manager of the licensed facility in a conspicuous and publicly

accessible location. At least one copy shall be posted in each

room where gaming occurs. Management shall take all steps

necessary to promptly comply with any persons request to review

the complete house rules.

(D) Tournaments Tournaments of poker or other card games

authorized by the Sac and Fox Gaming Ordinance are permitted. The

licensed facility may charge and retain a buy-in fee from all

tournament participants. All other entry fees shall be returned to

the persons participating as players in the tournament. All

tournaments shall be conducted with tournament chips that have no

cash value.

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(E) Electronic gaming equipment No electronic, computer or other

technologic aid to any Class II game, or any electronic gaining

device, may be used or possessed on Sac and Fox tribal lands unless

each said device has been authorized, inspected and approved by the

Tribal Council or its designee, and any such use or possession is

further conditioned upon strict compliance with any requirements

imposed by the Tribal Council concerning verification and

monitoring of the reliability, integrity and security of each said

device and each component thereof prior to the introduction of any

such equipment into service.

(F) Gambling by employees

(1) No employee of a licensed facility shall be permitted to

participate as a player in any game operated and banked by the

licensed facility, or any game played against the house.

(2) An employee of a licensed facility may participate as a

player in any game not banked by the licensed facility. This

section shall not be construed to allow minors or persons otherwise

ineligible to participate in the games as a player from so

participating.

(3) A persons employed by the licensed establishment to start

poker gaines (props) may participate as a player while on duty as

long as such participation is under the direction of the licensed

facilitys management, and provided that neither the licensed

establishment nor any gaming management employee receives any

portion of said persons winnings or reimburses said person for any

losses.

(G) Credit Prohibited No credit shall be extended by a gaming

operation to any player. This prohibition shall not be construed,

however, to prevent players or customers from utilizing bank cards,.

credit cards, and other forms of personal credit when the credit is

guaranteed by an independent financial institution.

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