Title 15 - Page i

SEMINOLE NATION CODE OF LAWS

TITLE 15

INDEX

SEMINOLE NATION CODE OF LAWS TITLE 15 INDEX................................................... i

SEMINOLE NATION OF OKLAHOMA PUBLIC GAMING ACT OF 2011 ...................... 1

SEMINOLE NATION CODE OF LAWS TITLE 15................................................................ 1

GENERAL PROVISIONS....................................................................................................... 1

Section 1. Title................................................................................................................. 1

Section 2. Authority......................................................................................................... 1

Section 3. Findings........................................................................................................... 1

Section 4. Purposes. ......................................................................................................... 2

Section 5. Definitions....................................................................................................... 3

Section 6. Interpretation of Act........................................................................................ 9

Section 7. Severability. .................................................................................................... 9

Section 8. Repeal of Inconsistent Legislation.................................................................. 9

Section 9. Codification..................................................................................................... 9

Section 10. Effective Date of Act. ..................................................................................... 9

Section 11. Proprietary Interest........................................................................................ 10

Section 12. Classes of Games Authorized. ...................................................................... 10

Section 13. Regulation of Gaming................................................................................... 10

Section 14. Use of Gaming Revenue. .............................................................................. 10

Section 15. Management Contracts. ................................................................................ 11

Section 16. Internal Revenue Code and Other Applicable Federal Laws........................ 11

Section 17. Designation of Agent for Service of Process................................................ 12

Section 18. Compliance with Compact............................................................................ 12

Section 19. Consent to Jurisdiction.................................................................................. 12

Section 20. Noncompliance. ............................................................................................ 13

CHAPTER ONE SEMINOLE NATION GAMING AGENCY AND COMMISSIONERS

................................................................................................................................................... 14

Section 101. Establishment of Seminole Nation Gaming Agency Successor in Interest;

Structure....................................................................................................... 14

Section 102. Establishment, Appointment, Term, and Qualifications of the Seminole

Nation Gaming Agency Commissioners and Chief Gaming Regulator;

Provision for Acting Chief Gaming Regulator. ........................................... 16

Section 103. Outside Employment and Activities of the Chief Gaming Regulator. ......... 18
Title 15 - Page ii

Section 104. Removal or Suspension of Gaming Commissioners. ................................... 18

Section 105. Duties and Authorities of the Chief Gaming Regulator................................ 20

Section 106. Duties and Authorities of the Seminole Nation Gaming Agency................. 23

Section 107. Issuing, Revising, and Withdrawing Regulations......................................... 26

Section 108. Confidentiality of SNGA Records................................................................ 30

Section 109. Right to Appeal SNGA Actions.................................................................... 31

Section 110. Appellate Procedure of the Seminole Nation Gaming Commission, Judicial

Review: Due Process. .................................................................................. 32

CHAPTER TWO LICENSING............................................................................................. 39

Section 201. Gaming License, Permit or Registration Required....................................... 39

Section 202. Exemptions. .................................................................................................. 40

Section 203. Applications and Requirements for Licenses. .............................................. 41

Section 204. Registration of Non-Gaming Vendors.......................................................... 58

Section 205. Applications and Requirements for Class I Gaming Permits. ...................... 59

Section 206. Applications and Requirements for Work Permits. ...................................... 59

Section 207. Inspection of Premises. ................................................................................. 59

CHAPTER THREE CIVIL AND CRIMINAL ACTIONS, PENALTIES, AND

ENFORCEMENT................................................................................................................... 61

Section 301. Civil Violations............................................................................................. 61

Section 302. Criminal Violations....................................................................................... 64

Section 303. Civil Sanctions.............................................................................................. 64

Section 304. Investigations and Examinations of Violations. ........................................... 66

Section 305. Civil Process. ................................................................................................ 67

Section 306. Agent for Service of Process for Gaming Vendors and Financing Vendors.69

Section 307. Production of Records; Hearings.................................................................. 69

Section 308. Price-Fixing and other Trade Restraints Prohibited...................................... 70

Section 309. Protection of Informant Identity. .................................................................. 71

CHAPTER FOUR................................................................................................................... 72

Section 401. Responsibilities of SNGE. ............................................................................ 72

Section 402. Gaming Requirements. ................................................................................. 73

CHAPTER FIVE REVENUES AND AUDITS.................................................................... 76

Section 501. Audits and Accounts - Responsibility........................................................... 76

Section 502. Gaming Revenue........................................................................................... 77
Title 15 - Page 1

SEMINOLE NATION OF OKLAHOMA PUBLIC GAMING ACT OF 2011

SEMINOLE NATION CODE OF LAWS

TITLE 15

GENERAL PROVISIONS

Section 1. Title.

This Act shall be cited as the “Seminole Nation of Oklahoma Public Gaming Act of 2011.”

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]

Section 2. Authority.

The Nation is empowered to enact this Act pursuant to the Constitution of the Seminole Nation,

Art. V, Sec. (a) & (d).

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]

Section 3. Findings.

The General Council finds that:

(a) The present needs of the Seminole people include employment and training,

health care, education opportunities, nutrition, mental health, juvenile services, housing, planning

and development, legal services, senior citizen programs and social services which are not

presently being met in sufficient quantity by United States government agencies;

(b) The Seminole Nation desires to be self-sufficient in its internal affairs, as reliance

upon federal resources has been adverse to the quality of life within this nation in both the recent

and far past;

(c) The Seminole Nation wishes to promote its economic development, selfsufficiency, and capacity for self-governance;

(d) The regulation of public gaming within the Seminole Nation is in the interest of

the Seminole people and their health and welfare;

(e) Public gaming operations have been introduced to the Seminole Nation, and it is

of vital interest to the public health, safety and welfare of the Seminole people that the Nation

regulated public gaming in a manner commensurate with the interests of the Seminole people;

and
Title 15 - Page 2

(f) The Indian Gaming Regulatory Act of 1988, 25 U.S.C. §2701 et seq., recognizes

the authority of the Seminole Nation to regulate gaming within its borders.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]

Section 4. Purposes.

The purposes of this Act are to:

(a) Promote the public health, safety, welfare, and standard of living of the Seminole

people by regulation of public gaming activities and to generate revenue for self-perpetuation

and essential governmental services;

(b) Promote economic development, self-sufficiency, and a strong government for the

Seminole Nation;

(c) Establish the legal and regulatory framework for the regulation, control, and

licensing of all classes of gaming activities within the jurisdiction of the Seminole Nation,

including Class I, II, and III gaming activities;

(d) Establish the powers and authority of the Seminole Nation Gaming Agency, as

successor in interest to the Seminole Nation Gaming Commission, and create the position of

Chief Gaming Regulator to supervise, direct, and lead the SNGA, which shall serve as the

primary regulator of the Seminole Nation’s gaming activities, and which shall have the power

and authority to:

(1) License the Nation’s gaming facilities, employees, vendors, and financers;

(2) Monitor and regulate all gaming activities conducted within the

jurisdiction and authority of the Nation;

(3) Adopt and implement such rules and regulations as may be necessary to

carry out the purposes of this Act;

(4) Conduct investigations and sanction violations of the gaming laws and

regulations of the Seminole Nation;

(5) Conduct hearings; and

(6) Establish a schedule of fees and monetary penalties;

(e) Ensure that Seminole Nation gaming laws are fully and fairly enforced in

accordance with principles of fundamental fairness and due process of law in relation to all

persons involved in gaming activities under the jurisdiction of the Nation; that the Seminole

Nation’s gaming activities are conducted fairly and honestly by both gaming operators and
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players; and that such gaming activities remain free from corrupt, incompetent, unconscionable,

and dishonest persons and/or practices;

(f) Establish as a matter of law that a Seminole Nation License to operate a gaming

activity is a revocable privilege, not a right or property interest;

(g) Ensure that such gaming activities are carried out in conformity with the Indian

Gaming Regulatory Act of 1988, 25 U.S.C. §2701 et seq. and any Tribal-State Gaming Compact

with the State of Oklahoma as may presently be in effect or be executed hereafter;

(h) Ensure that revenues from the operation of the Seminole Nation’s regulated

gaming activities are used only for authorized purposes; and

(i) Ensure that the Seminole Nation is the primary beneficiary of the revenues

derived from the Nation’s gaming activities.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]

Section 5. Definitions.

For the purpose of this Act -

(a) Chief. “Chief of or Principal Chief’ means the Principal Chief of the Seminole

Nation.

(b) Chief Gaming Regulator. “Chief Gaming Regulator” means the official who

directs the SNGA on a daily basis and performs the duties of the Chief Gaming Regulator

established by this Title, including implementing this Act which governs the actions of any

gaming operations licensed under this Act.

(c) Collateral Agreement. “Collateral Agreement” means any contract, whether or not

in writing that is related, either directly or indirectly, to a management contract or to any rights,

duties or obligations created between a Nation (or any of its members, entities, or organizations)

and a management contractor or subcontractor (or any person or entity related to a management

contractor or subcontractor).

(d) Commissioner. “Commissioner” means SNGA Gaming Commissioner.

(e) Commission. “Commission” shall mean the SNGA Commission.

(f) Compact. “Compact” means an effective Tribal-State Gaming Compact between

the Seminole Nation and the State of Oklahoma pursuant to the terms and conditions of 25

U.S.C. §2710(d).

(g) Covered Game. “Covered Game” shall mean the following games conducted in

accordance with the standards, as applicable, set forth in Sections 11 through 18 of the State-
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Tribal Gaming Act that sets forth the terms of the Compact between the Nation and the State of

Oklahoma, amendments or successor statutes thereto: an electronic bonanza-style bingo game,

an electronic amusement game, an electronic instant bingo game, nonhouse-banked card games;

any other game, if the operation of such game by a tribe would require a compact and if such

game has been: (i) approved by the Oklahoma Horse Racing Commission for use by an

organizational licensee, (ii) approved by state legislation for use by any person or entity, or (iii)

approved by amendment of the State-Tribal Gaming Act. For purposes of this Title, the term

“Covered Game” shall also mean any Class I or Class II operated in the Nation’s Jurisdiction for

which no compact is required with the State of Oklahoma.

(h) Covered Game Employee. “Covered Game Employee” shall have the same

meaning under this Title as defined under the Compact.

(i) Gaming. “Gaming” means all forms of Class I, Class II, or Class III Gaming, as

defined in IGRA (25 U.S.C. §2703(6-8)).

(j) Gaming Facility. “Gaming Facility” means each location at which the Gaming

Enterprise operates Covered Games authorized under IGRA or the Compact and Title 15 of the

Seminole Nation Code of Laws.

(k) Gaming Financer. “Gaming Financer” means a person or entity providing

financing to the Enterprise as described in Part 10.C.1 of the Compact and excepting persons or

entities excluded under Part 10.C.3 or Part 10.C.4, who requires a License under the terms of the

Compact. Provided, this term shall also include any person or entity employed, retained, or

engaged to procure financing or provide development services.

(l) Gaming Goods. “Gaming Goods” means any items or supplies used for or in

conjunction with games and gaming and the security for such games and shall include, but not be

limited to, the Games themselves (including gaming machines, gaming tables, cards, chips, dice,

etc.); machines that count, weigh, or otherwise are used to process currency, chips, gaming

tickets, gift cards, and other items of monetary value on the gaming floor or in backroom

operations including currency and ticket counters, ticket redemption units, ticket and currency

kiosks, and bill breakers; software and computer hardware that controls such games and/or that

monitors or accounts for money and tickets for one or more games or that tracks players; security

equipment such as surveillance cameras, recording equipment, key security systems, etc.; and the

parts and supplies for such games, machines, items, and systems.

(m) Gaming Operation. “Gaming Operation” means the Gaming Enterprise together

with the Gaming Enterprise Board, employees, agents and the gaming facilities.

(n) Gaming Vendor. “Gaming Vendor” means any person or entity that:

(1) Manufactures, sells, or supplies gaming equipment any gaming equipment

or parts or provides goods, or services for the gaming activities at the

Gaming Enterprises, including accounting services and financing, but

excluding certified public accountants or attorneys and their firms to the

extent that they are providing services covered by their professional

licenses;
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(2) Provides any other goods and services to or related to the Gaming

Operation which person or entity is determined by regulations authorized

under this Title to be a Gaming Vendor; or

(3) Otherwise meets the description under Part 10.B.1 of the Compact for

requiring a License; and

(4) Provides development and/or construction services in relation to a gaming

facility licensed or required to be licensed by this Title.

(5) A person or business entity engaged by the Seminole Nation under a

Management Contract is also a Gaming Vendor.

(o) General Council. “General Council” means the General Council of the Seminole

Nation.

(p) Hearing de Novo. “Hearing De Novo” means a new hearing or a hearing for the

second time contemplating an entire trial in the same manner in which the matter was originally

heard with, in addition, a review of previous hearings.

(q) IGRA. “IGRA” means the Federal Indian Gaming Regulatory Act of 1988,

25U.S.C, §2701, et seq., as amended.

(r) Indian Lands of the Seminole Nation. “Indian Lands of the Seminole Nation”

means all lands of the Seminole Nation that meet the definition of Indian lands as defined in 25

U.S.C. §2703(4).

(s) Key Employ. “Key Employee” means:

(1) A person who performs one or more of the following functions within the

Gaming Enterprise:

(A) Bingo Caller;

(B) Counting room supervisor;

(C) Chief of security;

(D) Custodian of gaming supplies or cash;

(E) Floor manager;

(F) Pit Boss;

(G) Dealer;

(H) Croupier;

(I) Approver of credit; or
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(J) Custodian of gambling devices including persons with access to

cash and accounting records within such devices;

(2) A person or entity that is a Covered Employee;

(3) If not otherwise included, any other person employed by the Gaming

Enterprise whose total cash compensation is in excess of $50,000 per year;

(4) If not otherwise included, the four most highly compensated persons in the

Gaming Enterprise;

(5) Any person employed by SNGE who has substantial responsibilities

related to the Gaming Enterprise; or

(6) Any person or entity providing services requiring: 1) access to sensitive or

restricted areas of a gaming facility; 2) actual or remote access to a

gaming system, gaming accounting system, and/or player tracking system;

3) access to the internal components of gaming machines; and/or

(7) Any other person or entity designated a Key Employee by regulation

issued pursuant to this Title.

(t) License. “License” means a revocable privilege granted by authority of the

Seminole Nation Gaming Agency to do an act or series of acts, which without permission, would

be unlawful under this Act. It is a permission granted by the SNGA to an instrumentality of the

Seminole Nation to operate gaming establishments or to a person or entity to be employed by or

to conduct business with such gaming establishments under the jurisdiction of the Seminole

Nation.

(u) Licensee. “Licensee” means the holder of a License issued by SNGA under this

Title.

(v) Management Contract. “Management Contract” means any contract, subcontract,

or agreement collateral thereto between the Seminole Nation and a third-party contractor or

between a Seminole Nation contractor and a subcontractor if such contract or agreement

provides for the management of all or part of a Gaming Enterprise. Any person or entity

operating under a Management Contract shall also be deemed a Gaming vendor under this Title.

(w) Nation. “Nation,” when used alone or as “Seminole Nation” means the Seminole

Nation of Oklahoma.

(x) National Indian Gaming Commission or NIGC. “National Indian Gaming

Commission,” or “NIGC,” means the federal agency established by the IGRA.

(y) Net Win. “Net Win” shall mean the total amounts wagered less payouts/winnings

to patrons.
Title 15 - Page 7

(z) Net Revenues. “Net Revenues” shall have the same meaning as that defined in

Section 2703(9) of the Indian Gaming Regulatory Act.

(aa) Non-gaming Vendor. “Non-gaming Vendor” means a provider of services or

goods to a Gaming Enterprise or any entity providing administrative or other services to or on

behalf of the Gaming Enterprise that are not directly related to or used in connection with

gaming activities or the handling, processing, and/or accounting of cash or cash equivalents from

the gaming activities, but excluding goods and services provided by a publicly regulated utility

company. Examples of such goods and services include, but are not limited to, providers of:

uniforms or laundry services; food, beverages and goods; cleaning supplies and services; general

purpose equipment or items such as light bulbs, vacuum cleaners, and decorations; and

entertainment services. Goods and services provided by Non-gaming Vendors explicitly exclude

goods and services provided by Gaming Vendors.

(bb) Patron. “Patron” means any person on the premises of a gaming facility for the

purpose of playing games authorized under IGRA or the Compact.

(cc) Patron Dispute. “Patron Dispute,” for purposes of this Act, shall mean a dispute

between a patron and a Gaming Enterprise, such as a dispute over the amount of a prize or a

dispute over access of the Gaming Enterprise or a game within the Gaming Enterprise, but shall

not mean a tort claim for personal injury or property damage against a Gaming Enterprise.

(dd) Primary Management Official. “Primary Management Official” means:

(1) The person having management responsibility for a management contract;

(2) Any person employed by a Gaming Facility, and/or SNGE or under a

contract who has authority to:

(A) Hire, fire, direct, supervise, and/or discipline employees of a

Gaming Facility, and/or SNGE or of the contractor performing

services for the Gaming Operation;

(B) Establish, approve, and/or implement policy for the Gaming

Operation;

(C) Supervise, direct, or operate gaming activities, including any

person with authority to direct the placement or removal of games

on or from a Gaming Facility; and

(D) Supervise, direct, or oversee the financial affairs and activities of

the Gaming Operation; and

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

responsibility as an employee of SNGE, or under a contract providing

services to the Gaming Enterprise.
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(ee) Principal. “Principal” means, with respect to any Gaming vendor or Gaming

Financer, its sole proprietor or any partner, trustee, beneficiary, or shareholder holding five

percent or more of its beneficial or controlling ownership, either directly or indirectly, or any

officer, director, primary management employee including its Chief Financial Officer or other

person who has financial management responsibility as an employee or under contract, or key

employee thereof.

(ff) Secretary. “Secretary” means the Secretary of the Department of the Interior.

(gg) Seminole Nation Court. “Seminole Nation Court” means a court established by

the Seminole Nation to exercise criminal and/or civil jurisdiction over actions arising in Indian

Country within the Seminole Nation pursuant to the Seminole Nation Constitution and Code of

Laws.

(hh) SNGA. “SNGA” means the Seminole Nation Gaming Agency established

pursuant to this Act.

(ii) SNGA Gaming Commissioner. “SNGA Gaming Commissioner” means the

official who directs the SNGA, and the Chief Gaming Regulator, and hears appeal and performs

the duties of the Commissioner established by this Title, including issuing regulations

implementing this Act which govern the actions of any gaming operations licensed under this

Act

(jj) SNGE. “SNGE” or “Gaming Enterprise” means the entity established under Title

8 of the Seminole Nation Code to manage and operate the Nation’s gaming and gaming-related

activities and includes its executive director, employees, agents, its employees and agents as

more particularly described under Title 8 of the Seminole Nation Code, or any successor in

interest.

(kk) State Compliance Agency (or SCA). “State Compliance Agency” (or “SCA”)

shall mean the State of Oklahoma’s Office of State Finance.

(ll) This Title. “This Title” (or, “this Title”) used in the text of this Title means Title

15 of the Seminole Nation Code of Laws, as it may, from time to time, be amended or the Title

renumbered.

(mm) Tribal Compliance Agency (TCA). “Tribal Compliance Agency” (TCA) under the

Compact shall be the Seminole Nation Gaming Agency.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 92-1, March 7, 1992;

amended by TO 94.2, February 24, 1994; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012;

modified on March 4, 2017 pursuant to authority granted by SNC Title 21, § 203;

acknowledged by TR 17-27; NIGC approved May 17, 2017.]
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Section 6. Interpretation of Act.

The provisions of this Act, being necessary for the welfare of the Seminole Nation and its

inhabitants, shall be liberally construed to affect the purposes and objects thereof. Section

headings contained herein shall not be deemed to govern, limit, modify or in any manner affect

the scope, meaning or intent of the provisions of any article or section hereof.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]

Section 7. Severability.

The provisions of this Act are severable and if any part or provision hereof shall be held void by

a court of competent jurisdiction, the decision of the court so holding shall not affect or impair

any of the remaining parts or provisions of this Act.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]

Section 8. Repeal of Inconsistent Legislation.

This Act revokes, supersedes, and replaces both the Seminole Nation Ordinance 91-12, and

Seminole Nation Ordinance 09-08, as amended, in their entirety. All other laws of the Seminole

Nation inconsistent with the provisions of this Act and existing as of the effective date of this

Act are hereby repealed, including all inconsistent laws, ordinances, and resolutions. Repeal by

this Act of any law, ordinance, or resolution shall not have the effect of reviving any prior law,

ordinance, or resolution heretofore repealed or suspended by such repealed code.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 94-2, February 24,

1994; amended by TO 09-08, June 6, 2009; superseded by TO 2011-11, October

29, 2011; NIGC approved February 9, 2012.]

Section 9. Codification.

This Act is hereby codified as Title 15 of the Seminole Nation code of Laws and may be

recodified as necessary to the extent the Seminole Nation Code of laws is recodified.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]

Section 10. Effective Date of Act.
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This Act shall become effective as a replacement for the Seminole Nation Ordinance 91-12, as

codified as Title 15 of the Seminole Nation Code of Laws and any amendments to Title 15

enacted prior to the date of this Act immediately upon its approval by the Chairman of the NIGC.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]

Section 11. Proprietary Interest.

The Seminole Nation shall have sole proprietary interest and responsibility for the conduct of

gaming activities conducted on the Indian Lands of the Seminole Nation.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]

Section 12. Classes of Games Authorized.

(a) Class I, II, and III gaming are hereby authorized to be conducted upon Indian

Lands of the Seminole Nation, provided that Class III gaming shall be permitted only if, and only

to the extent, authorized by a duly executed Tribal-State Gaming Compact(s) and/or

amendment(s) thereto between the Nation and the State of Oklahoma approved by the Secretary

of the Department of the Interior.

(b) No Class III gaming activities may be conducted on Indian Lands of the Seminole

Nation in the absence of a valid, approved Compact or in contravention of such Compact.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]

Section 13. Regulation of Gaming.

All gaming activities of the Seminole Nation and all related activities undertaken in connection

with such gaming activities shall be regulated by the Seminole Nation Gaming Agency, an

independent regulatory agency of the Seminole Nation.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

Superseded by TO 2011-11, October 29, 2011; NIGC approved February 9,

2012.]

Section 14. Use of Gaming Revenue.

(a) Net revenues from Class II and Class III gaming shall be used only for the

following purposes:
Title 15 - Page 11

(1) To fund the Nation’s government operations and programs;

(2) To provide for the general welfare of the Nation and its members;

(3) To promote the Nation’s economic development activities;

(4) To donate to charitable organizations; and

(5) To help fund operations of local government agencies.

(b) Restrictions. The Nation’s gaming revenues may be expended for the purposes

specified in subsection (a) of this Section 14 only if administered by a governmental department,

division, component, agency, and/or other governmental instrumentality of the Seminole Nation

as authorized by the Nation’s law(s) and/or as appropriated by the General Council. The Nation’s

gaming revenues shall not be subject to distribution to individual members on a per capita basis,

provided that, nothing in this section shall be construed to prevent the Nation from disbursing

grants, scholarships, or providing other benefits or services administered by the Nation to

qualified members. Provided further, nothing in this Act shall be construed to limit the authority

of the Seminole Nation or any governmental instrumentality of the Seminole Nation to make any

purchase of any kind or to save, deposit, or invest any portion of the Nation’s gaming revenues

in any authorized savings and/or investment fund, account, or program.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]

Section 15. Management Contracts.

No management contract may be executed by or on behalf of the Seminole Nation with any

third-party unless authorized by a duly adopted resolution of the General Council and in full

compliance with all applicable provisions of IGRA, particularly, 25 U.S.C. Section 2711 and

regulations issued pursuant thereto.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]

Section 16. Internal Revenue Code and Other Applicable Federal Laws.

In addition to its authority to enforce compliance with this Title and regulations issued

hereunder, the SNGA is hereby delegated the authority to monitor, enforce, and sanction

violations of all federal laws and regulations applicable to the Nation’s gaming activities

including, without limitation, the pertinent provisions of Title 25 of the United States Code and

the Code of Federal Regulations, the Internal Revenue Code and Title 31 of the U.S. Code and

Code of Federal Regulations, among others.
Title 15 - Page 12

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]

Section 17. Designation of Agent for Service of Process.

The Chief Gaming Regulator of SNGA is hereby designated as agent for service of any official

determination, order, or notice of violation of this Title or of IGRA. The address, phone number,

and fax number of the Chief Gaming Regulator shall be published and continuously made

available on the website of the SNGA and/or Nation. The Chief Gaming Regulator shall

promptly report and provide copies of any such service to the Chief and/or General Council as

appropriate. Should the Chief Gaming Regulator be unavailable or the position vacant, any

actively and validly appointed SNGA Gaming Commissioner shall be alternatively designated as

service agent.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]

Section 18. Compliance with Compact.

The SNGA is hereby delegated the authority to monitor, enforce, and sanction violations of the

terms and conditions of the Nation’s gaming Compact(s).

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]

Section 19. Consent to Jurisdiction.

(a) Consent. Any person who:

(1) Applies for and/or is granted a License under this Title;

(2) Applies for employment in any Gaming Facility Licensed and/or regulated

under this Title;

(3) Enters into any contract, engagement, or agreement related to gaming

regulated under this Title; or

(4) Participates in any gaming activity authorized by this Title or enters onto

the premises of any Gaming Facility licensed under this Title is subject to

the civil jurisdiction of the Nation, SNGA, and the Seminole Nation Court

and a person’s performance of any of these acts shall constitute consent to

a commercial transaction and consent, waiver and ratification of the

Nation’s exercise of such jurisdiction.

(b) Consent. Any Native American who:
Title 15 - Page 13

(1) Applies for and/or is granted a License under this Title;

(2) Applies for employment in any Gaming Facility Licensed and/or regulated

under this Title;

(3) Enters into any contract, engagement, or agreement related to gaming

regulated under this Title; or

(4) Participates in any gaming activity authorized by this Title or enters onto

the premises of any Gaming Facility licensed under this Title is subject to

both the civil and criminal jurisdiction of the Nation, SNGA, and the

Seminole Nation Court; and a person’s performance of any of these acts

shall constitute consent to a commercial transaction and consent, waiver

and ratification of the Nation’s exercise of such jurisdiction the Nation’s

exercise of such jurisdiction.

(c) Limitation. Nothing in this Section shall limit the jurisdiction of the Nation, the

SNGA, or the Seminole Nation Court under any circumstances not explicitly contemplated in

this Title nor shall this Title be construed to waive, in whole or in part, the Nation’s sovereign

immunity from unconsented suit.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]

Section 20. Noncompliance.

Failure to comply with any of the requirements of this Title, or the regulations promulgated

hereunder shall constitute a violation of this Title.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]
Title 15 - Page 14

CHAPTER ONE

SEMINOLE NATION GAMING AGENCY AND COMMISSIONERS

Section 101. Establishment of Seminole Nation Gaming Agency Successor in Interest;

Structure.

(a) SNGA Established. In order to provide for comprehensive and effective

regulation of the Nation’s Gaming activities, there is hereby established the Seminole Nation

Gaming Agency.

(b) Successor in Interest to the Seminole Nation Gaming Commission. The Seminole

Nation Gaming Agency shall be the successor in interest to the Seminole Nation Gaming

Commission. All staff, assets, liabilities and contractual obligations of the Seminole Nation

Gaming Commission are hereby transferred to and assumed by the Seminole Nation Gaming

Agency, and nothing in this Act shall be construed to alter any lawful contractual obligations

authorized by the Seminole Nation Gaming Commission under prior law. All regulations

approved by the Seminole Nation Gaming Commission approved under prior law shall continue

in force under SNGA until amended or withdrawn by the SNGA Gaming Commissioners with

input from the Chief Gaming Regulator in accordance with this Title.

(c) Organizational Structure. SNGA shall have separate divisions for Licensing,

Compliance, Audit, and Surveillance, and such other units as necessary, which shall report to the

Chief Gaming Regulator and which shall have the responsibilities set out in this subsection and

such other responsibilities as may be assigned to them by the Chief Gaming Regulator or the

SNGA Gaming Commissioners.

(1) Licensing Division. The Licensing Division shall have responsibility for

administering the licensing, registration and permitting programs of the

Seminole Nation for gaming facilities, individuals, and entities pursuant to

this Title, IGRA, and the Compact, including the conduct of background

investigations for License applicants, continuous review of licensees, and

ensuring that all suitability standards required of licensees are met and

maintained.

(2) Compliance Division. The Compliance Division shall have authority to

monitor and investigate compliance with this Act, including:

(A) Monitoring, inspecting, and investigating known or suspected

violations of this Act and regulations promulgated pursuant thereto

or other applicable laws as well as the Compact(s);

(B) Conducting or causing to be conducted inspections and

investigations related to the health, safety, and environmental

protection of patrons, staff, facilities, and the external

environment;
Title 15 - Page 15

(C) Monitoring the installation, use, and operation of games, gaming

systems and gaming equipment; and

(D) Carrying out other functions and responsibilities as directed or

assigned by the Chief Gaming Regulator or the SNGA Gaming

Commissioners.

(3) Audit Division. The Audit Division shall have responsibility for:

(A) Conducting financial and other audits to ensure compliance with

all financial and operational requirements for Gaming activities of

the Seminole Nation such as those included in this Title, IGRA,

Title 31 of the United States Code, SNGA regulations, and the

Compact;

(B) Assuring that all necessary external audits are performed annually

or at such other periods as may be required;

(C) Reviewing all audit reports and the financial controls in place in

such gaming operations;

(D) Reporting all violations and material weaknesses to the Chief

Gaming Regulator and SNGA Gaming Commissioners for

appropriate action; and

(E) Carrying out other functions and responsibilities as directed or

assigned by the Chief Gaming Regulator or the SNGA Gaming

Commissioners.

(4) Surveillance Division. The Surveillance Division shall have the

responsibility for conducting a continuous surveillance program at all

gaming operations licensed under this Title including the designation of

locations and operation of continuous camera coverage of gaming

operations, the recording of such camera coverage, the operation of any

rooms designated for surveillance over gaming activities, the conduct of

surveillance investigations, and the conduct of such other surveillance as

may be appropriate. Such surveillance program shall comply with all

terms and reporting requirements related to surveillance provisions of this

Title, IGRA, and the Compact.

(d) Employment Limitations. Persons employed by the Seminole Nation Gaming

Agency shall:

(1) Undergo a background investigation and meet the same suitability criteria

as that applicable to key employees;
Title 15 - Page 16

(2) Be independent of SNGE. Officials and employees of the SNGA may not

be employed by SNGE nor shall they participate in any gaming activities,

including promotional activities;

(3) Have no financial interest in the operation of a licensee under this Act or

in any contract entered into between the Gaming Operation and another

party; and

(4) Shall not be considered “employees” of the Nation as defined by Title 11

of the Seminole Nation Code of Laws; and shall only be subject to the

hiring, firing, benefits and terms of the SNGA’s Employment Policies and

Procedures. Any extension of benefits under the Nation’s policies of laws

shall not be construed as waiver and it shall not constitute or give rise to

the expectation of continued employment or additional employment rights

outside of the SNGA policies. Nothing in the SNGA policies shall be

construed as an employment contract or a waiver of the Sovereign

immunity of the SNGA or the Seminole Nation or consent to lawsuit.

(e) Gaming Commissioners may Issue Subpoenas and Compel Testimony. Issue

subpoenas to compel testimony and to obtain records and things as needed for investigations or

civil violation hearings.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012;

amended by TO 2013-03, June 1, 2013.]

Section 102. Establishment, Appointment, Term, and Qualifications of the Seminole

Nation Gaming Agency Commissioners and Chief Gaming Regulator;

Provision for Acting Chief Gaming Regulator.

(a) The Seminole Nation Gaming Agency shall consist of three SNGA Gaming

Commissioners nominated by the Principal Chief for appointment and confirmed by the General

Council.

(b) To be eligible for appointment as an SNGA Gaming Commissioner, a nominee

shall:

(1) Based on a combination of experience and education, be considered to be

capable of performing the duties of the position with preference given to

those who have obtained an associate’s degree, or bachelor’s degree, and

have significant gaming experience and certifications;

(2) Be at least twenty-five years of age at the time of appointment;

(3) Never have been convicted on any crime of moral turpitude, including, but

not limited to, fraud, theft, bribery, or embezzlement, regardless of the

degree of the offense, by any court of law;
Title 15 - Page 17

(4) Never have been convicted of any felony offense by any court of law;

(5) Never have been found culpable for any gaming offense by any regulatory

jurisdiction;

(6) Never have had a gaming license suspended or revoked;

(7) Never have been removed from the office of Gaming Commissioner or

gaming employee of misconduct or cause;

(8) Have no pecuniary interest in any gaming management contract between

the Nation and a third party, or in any entity that provides gaming

equipment or supplies to a Facility licensee; and

(9) Preference shall be given to members of the Seminole Nation and then to

non-member, Native Americans and then to non-Native Americans.

(c) Within six (6) months of the enactment of this provision, the Principal Chief shall

nominate three individuals to serve as SNGA Gaming Commissioners, such nominations to be

affirmed or denied by the General Council. The term of office for Gaming Commissioners shall

be five years; the initial appointments under this provision shall serve staggered terms of one (1),

two (2) and three (3) years, respectively. Individuals serving as SNGA Gaming Commissioners

may be reappointed for subsequent terms.

(d) Each SNGA Gaming Commissioner shall be entitled to receive a stipend of

$6,000.00 per year as approved by the General Council in the annual SNGA budget. Gaming

Commissioners shall not be considered employees of the Nation for purposes of Title 11.

(e) The SNGA Gaming Commissioners shall meet not less than monthly with

additional meetings to be called as needed subject to prior posting of notice with the Office of

the Principal Chief and the Office of the Council Secretary. The SNGA Gaming Commissioners

shall have the authority to call special, emergency meetings as necessary; however, in all

meetings, special or regular, attempted, reasonable notice must be made as soon as possible to all

Commissioners and the Chief Gaming Regulator.

(f) Actions taken by the SNGA Gaming Commissioners shall be upon majority vote.

(g) Within three months of their appointment, the SNGA Gaming Commissioners

shall hire a Chief Gaming Regulator who shall be hired as the equivalent of a Grade 15 position

pursuant to Title 11, Section 202 of the Seminole Nation Code of Laws or as modified in an

annual budget approved by the General Council.

(h) The Chief Gaming Regulator shall be the equivalent of an Executive Director as

used in Title 11. The Chief Gaming Regulator shall remain exempt from Title 11. All

employment-related disputes shall be handled by the SNGA Gaming Commission.
Title 15 - Page 18

(i) Chief Gaming Regulator. The Chief Gaming Regulator shall be responsible for

the day-to-day direction and management the SNGA at the direction of the SNGA Gaming

Commissioners.

(j) Acting Chief Gaming Regulator. If the position of the Chief Gaming Regulator

position becomes vacant for any reason, including, but not limited to retirement, termination,

resignation, disability, or death, any SNGA Gaming Commissioner, who is willing and able may

assume the responsibilities as Acting Chief Gaming Regulator, as an interim appointment of the

Principal Chief not requiring additional confirmation by the General Council shall be appointed

with notice to the General Council for a term not to exceed three (3) months until a replacement

is appointed or hired.

(k) These provisions shall take full force and effect upon the appointment of at least

two of the three SNGA Gaming Commissioners by the General Council. After three SNGA

Gaming Commissioners are initially appointed, a subsequent, simultaneous vacancy of two

SNGA Gaming Commissioners shall not prevent the action of a single SNGA Gaming

Commissioner from having authority act until such time as replacements are appointed.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 2001-12, December

1, 2001; amended by TO 2003-32, December 6, 2003; amended by TO 2003-24,

December 16, 2003; amended by TO 2004-31, December 4, 2004; amended by

TO 2007-02, March 3, 2007; amended by TO 09-08, June 6, 2009; superseded by

TO 2011-11, October 29, 2011; NIGC approved February 9, 2012; amended by

TO 2013-03, June 1, 2013.]

Section 103. Outside Employment and Activities of the Chief Gaming Regulator.

The Chief Gaming Regulator may not hold any other tribal position except temporary duties

assigned by Executive Order to be performed without increase in compensation. Subject to

approval of the SNGA Gaming Commissioners, the Chief Gaming Regulator may not be

engaged in a business or employment outside the Nation, provided that the Chief Gaming

Regulator shall not engage in any business which is subject to provisions of this Title or which

has commerce with any licensee under this Title.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]

Section 104. Removal or Suspension of Gaming Commissioners.

(a) Cause Required. A SNGA Gaming Commissioner may be removed for cause,

which shall include, but is not limited to: failure to carry out SNGA duties, excessive use of

intoxicants or controlled substances, use of office for personal gain, violation of this Title or

other law or regulation of the Nation or of IGRA, or any misconduct or gross neglect of duty

reflecting adversely on the dignity and integrity of the Seminole Nation or its government. Only

the General Council shall have the authority to remove a Gaming Commissioner upon majority

vote, provided that the removal process may be commenced upon recommendation of the Chief.
Title 15 - Page 19

(b) Removal Authority. A SNGA Gaming Commissioner may be removed from

office prior to the end of any term when the General Council by majority vote removes said

Commissioner for any of the following reasons, including but not limited to:

(1) Failure to carry out his or her SNGA responsibilities,

(2) Excessive use of intoxicants or controlled substances,

(3) Use of office for personal gain,

(4) Violation of this Title or other law or regulation of the Nation or of IGRA,

or

(5) Any misconduct or gross neglect of duty reflecting adversely on the

dignity and integrity of the Seminole Nation or its government.

(c) Mandatory Removal. A Gaming Commissioner shall be removed by the General

Council upon majority vote and the position deemed immediately vacant if the Commissioner is,

but not limited to:

(1) Convicted by a court of law of any felony,

(2) Convicted for any misdemeanor offense involving a crime of moral

turpitude,

(3) Found by any gaming jurisdiction to be culpable for any gaming offense,

or

(4) Found to be ineligible for a gaming License under this Title.

(d) Suspension. A SNGA Gaming Commissioner may be suspended by the Principal

Chief for the following circumstances, including but not limited to: misconduct, pending removal

process, or any criminal charge, arrest, or conviction. Suspension may be without pay. Should

any charge or arrest not result in a conviction, back-pay may be retroactive upon financial

availability.

(e) Due Process for Removal. In any removal process, a Notice of Proposed Removal

shall be provided to the SNGA Gaming Commissioner at least fourteen days in advance of the

date set for the General Council’s meeting to take action on such removal, and shall set forth, in

particular, the basis for such proposed action with sufficient specificity as to permit the

preparation of an answer to such allegation(s). The respondent shall have the right to be

represented by legal counsel at respondent’s own expense and shall be permitted to speak and

offer relevant evidence in his or her own defense. The General Council’s decision shall be final

and unappealable.

(f) Continuing Duty to Report. A SNGA Gaming Commissioner shall serve under a

continuing duty to apprise the Principal Chief and the General Council of any charge, arrest, or

conviction that occurs during his or her term of office.
Title 15 - Page 20

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 2004-04, January 17,

2004; amended by TO 09-08, June 6, 2009; superseded by TO 2011-11, October

29, 2011; NIGC approved February 9, 2012.]

Section 105. Duties and Authorities of the Chief Gaming Regulator.

(a) Responsibilities. The Chief Gaming Regulator shall:

(1) Administer and Enforce This Title. Be charged with the responsibility of

administering and enforcing the provisions of this Title at the direction of

the SNGA Gaming Commissioners.

(2) Direct and Manage SNGA. Direct and manage the SNGA and its staff and

administer the resources of the SNGA as directed by the SNGA Gaming

Commissioners.

(3) Monitor and Enforce Compliance. Monitor and enforce compliance with

all laws and regulations applicable to the Nation’s gaming activities.

(4) Issue Regulations. Subject to approval of the SNGA Gaming Commission,

have the authority and responsibility for issuing regulations to implement

all provisions of this Title for the purposes and in the manners provided in

Section 107 of this Title, which authority and responsibility may not be

further delegated.

(5) Resolve Patron Disputes. Investigate, determine the validity of, and order

action on the part of the Enterprise or deny action to a patron in a patron

dispute, other than one involving a prize claim or machine malfunction,

which order or denial shall be final action on behalf of the Seminole

Nation and may not be appealed to the Gaming Commission.

(6) Resolve Patron Disputes Over Prizes. Investigate, determine the validity

of, and order action granting to a patron claimant the just and reasonable

compensation for the amount of a prize not previously paid to a patron by

the Enterprise in the case of a prize claim not resolved by the Enterprise

within seventy-two hours of the filing of the prize claim where the prize

earned was not awarded, the amount earned was not awarded, or the right

to receive a refund or other compensation was infringed upon by the

Gaming Operation, or order the denial of such a claim on behalf of the

Enterprise. Provided further that:

(A) Such actions by the Chief Gaming Regulator shall be in accord

with the Compact(s) for any games covered by the Compact(s);

(B) The Chief Gaming Regulator shall, subject to the approval of the

SNGA Gaming Commission, promulgate regulations for this
Title 15 - Page 21

purpose, which regulations shall be consistent with the Compact

for all games covered under the Compact;

(C) Failure on the part of a claimant to file a timely claim or follow the

procedures provided in the Compact or the regulations

promulgated under this subsection shall constitute

mandatory grounds for denying a prize claim; and

(D) A decision of the Chief Gaming Regulator denying a prize claim

by a patron shall be deemed a denial of the prize claim by the

Enterprise and may be appealed by the denied patron to the SNGA

Gaming Commission.

(7) Designate a Deputy Chief Gaming Regulator. Subject to the approval of

the SNGA Gaming Commission, designate an employee of the SNGA, as

a collateral duty, to serve as Deputy Chief Gaming Regulator, who shall

assume the duties of the Chief Gaming Regulator when the Chief Gaming

Regulator is: 1) on leave or travel; 2) recused from dealing with a

particular matter; or 3) otherwise unavailable. The Deputy Chief Gaming

Regulator, for such time and with such authority and responsibilities as

may permissibly be delegated by the Chief Gaming Regulator, shall

assume the functions and responsibilities of the Chief Gaming Regulator.

(8) Make Employment Decisions. Employ such persons, in conformity with

job descriptions approved by the SNGA Gaming Commissioners, as may

be necessary and are within the approved budget of the SNGA, assign

them responsibilities, and delegate them authority to act. The authority to

employ persons shall include the authority to hire, terminate, suspend,

discipline and take other personnel actions commensurate with managing

a staff of employees consistent with the SNGA Employment Polices. The

Seminole Nation Gaming Regulatory Agency shall be exempted from the

requirements of Title 11 of the Seminole Nation Labor Laws, the

Seminole Nation Employment Systems Act; however, if SNGA fails to

adopt employment, personnel or labor guidelines, regulations or policies,

Title 11 requirements shall apply until such time as the SNGA

Employment Polies are adopted. Nothing in this section prevents the

SNGA from adopting or opting into the requirements of Title 11.

(9) Classify and License Games. Classify and license Class I, II, or III games

subject to the approval of the SNGA Gaming Commission.

(10) Develop and Administer the SNGA Budget. Subject to the approval of the

SNGA Gaming Commission and the budget provisions of Title 14,

develop and recommend the budget for operations of the SNGA to the

Principal Chief, the Finance Committee, and the General Council, and

administer the financial affairs of the agency in accordance with

appropriate governmental accounting standards.
Title 15 - Page 22

(11) Write Checks. Have check writing authority, provided that any checks

written for $1000.00 or more shall require the signature of either the Chief

Gaming Regulator or the Deputy Chief Gaming Regulator and the

signature of a SNGA Gaming Commissioner, further provided that no

signatory on any check shall also prepare such check. The Chief Gaming

Regulator subject to the approval of the SNGA Gaming Commissioners

shall institute a system of accounting consistent with generally accepted

government accounting principles and sufficient financial controls to

ensure that the total amount of expenditures by the SNGA shall not exceed

the annual budget level approved by the General Council. The Seminole

Nation Treasurer shall maintain SNGA bank accounts on behalf of the

SNGA. Should there be a vacancy in either the Chief Gaming Regulator

and/or the Deputy Chief Gaming Regulator, SNGA Gaming

Commissioners shall have check signing authority.

(12) Secure Legal and Other Services. Employ or contract for legal and other

services by providers subject to the approval of the SNGA Gaming

Commission. The SNGA Gaming Commission may utilize the services of

the Office of Attorney General.

(13) Assess and Collect Licensing Fees. Assess and collect licensing fees,

which shall be retained and used by the SNGA to offset its expenses.

(14) Assess and Impose Fines. Subject to the approval of the SNGA Gaming

Commission, assess and impose fines for violations of this Act or noncompliance with regulations issued pursuant hereto, provided that the

proceeds from an imposed fine shall be deposited into the general fund of

the Seminole Nation.

(15) Observe Gaming Activities. The Chief Gaming Regulator and such staff

and attorneys of the SNGA, as he or she may designate or direct, shall

have the authority to observe all Gaming-related activities at Licensed

facilities under this Title in order to provide oversight of all gaming

activities under this Title, to assure financial accountability, and to assure

compliance with IGRA, this Title, and SNGA regulations. Interference

with the monitoring functions of the SNGA shall be deemed a substantial

violation of this Act.

(16) Hold Public Hearings, Take Sworn Testimony, and Take Other Legal

Acts. The Chief Gaming Regulator and such staff and attorneys of the

SNGA, as may be designated by the Chief Gaming Regulator, shall have

the authority to hold public hearings, take sworn testimony and do any

other legal act in furtherance of the SNGA’s duties.

(17) Seek Comity With Other Court Jurisdictions. The Chief Gaming Regulator

is empowered to seek comity and enforcement of the orders of the SNGA

by the courts of any jurisdiction whose assistance may be required to give
Title 15 - Page 23

effect to such orders. The Chief Gaming Regulator is also empowered to

issue orders to enforce the lawful orders of other gaming regulatory

agencies and the courts.

(18) Perform Other Duties. Perform all duties and responsibilities that are

deemed by the Chief Gaming Regulator or SNGA Gaming Commissioners

as necessary to carry out the provisions of this Title, the SNGA’s

regulations, IGRA, the terms of the Compact, and all other activities as are

consistent with the power and authority delegated to the Chief Gaming

Regulator and the SNGA under this Title

(19) Exercise Authorities of the SNGA. The Chief Gaming Regulator is

empowered to exercise the authorities granted to the SNGA.

(20) Procurement. The SNGA shall be exempted for Title 11 and 14 for the

purposes of TERO and Procurement. The SNGA shall adopt procurement

policies and contracting policies subject to the approval of the SNGA

Gaming Commissioners.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 2001-12, December

1, 2001; amended by TO 2004-05, March 6, 2004; amended by TO 09-08, June 6,

2009; superseded by TO 2011-11, October 29, 2011; NIGC approved February 9,

2012; amended by TO 2013-03, June 1, 2013.]

Section 106. Duties and Authorities of the Seminole Nation Gaming Agency.

In addition to the duties and authorities of the Chief Gaming Regulator and the SNGA Gaming

Commission described in Section 105 of this Title, the SNGA shall regulate all gaming activities

on the Indian Lands of the Seminole Nation and enforce the provisions of this Title.

Commensurate with these responsibilities, the SNGA shall have the following powers, duties,

and responsibilities:

(a) License. To -

(1) Prepare, print, distribute, and process applications for and issue Licenses

to gaming facilities, employees, and vendors;

(2) Establish a schedule of fees for gaming Licenses, and collect such fees;

(3) Approve or deny any License application;

(4) Revoke, limit, condition, suspend, or restrict any License; and

(5) Make a finding of suitability or approval of a License, provided that the

SNGA shall afford all licensees due process of law prior to the issuance of

a final order of denial, revocation, or suspension;
Title 15 - Page 24

(b) Review. To -

(1) Obtain and review any and all gaming contracts, records, and documents

and anything else necessary and pertinent to the financial accountability of

licensees or enforcement of any provision of gaming contracts,

agreements, IGRA, this Title, and other applicable laws of the Seminole

Nation.

(2) Obtain and review any reports prepared or caused to be prepared by SNGE

related to the Gaming Operation, including all financial statements,

performance reports, income and expense statements, reports, and

documentation, and any other record, document, or file related to the

Gaming Operation.

(3) Review, and as necessary, approve operational plans, policies, and

procedures of the Gaming Operation including plans for promotions,

marketing, player tracking, advertising and any other programs of the

Gaming Operation.

(c) Monitor, Inspect, and Regulate. To -

(1) Monitor and regulate the conduct of all licensees, and

(2) Inspect and examine all premises where gaming is conducted or gaming

devices or equipment is stored and/or serviced.

(d) Surveillance. To -

(1) Operate a program of continuous surveillance at all gaming operations

licensed under this Title including designation the locations and operation

of continuous camera coverage of gaming operations, the recording of

such camera coverage, the operation of any rooms designated for

surveillance over gaming activities, the conduct of surveillance

investigations, and the conduct of such other surveillance as may be

necessary and appropriate.

(2) Charge the entire cost of the surveillance program, including personnel

and equipment costs, in the form of a fee assessment against the Gaming

Operation.

(e) Investigate. To conduct such investigations as may be needed to carry out the

purposes of this Title including the conduct of background investigations to determine the

suitability of gaming License applicants and the investigation of any suspected violations of this

Title, IGRA, the Compact, and all applicable laws, rules and regulations. In carrying out its

investigative function the SNGA -

(1) May audit, inspect, examine, and photocopy an applicant’s or licensee’s

papers, books, and records, including financial records, employment
Title 15 - Page 25

history, and any and all other information the Agency deems necessary to

determining the suitability of applicants and the continuing suitability of

licensees; and

(2) Shall refer any criminal activity it uncovers to the appropriate law

enforcement agency for prosecution;

(f) Sanction and Enforce. To impose fines or otherwise sanction violations of this

Title and enforce its terms by means of appropriate orders and/or directives, provided that the

Agency shall accord all licensees due process of law prior to the issuance of a final order of

denial, revocation, or suspension;

(g) Audit. To conduct such audits as may be needed for the proper control and

financial oversight of gaming activities, including financial and operational audits; and

(1) Ensure that an annual independent financial audit is performed and timely

submitted to the NIGC, SCA, and the Seminole Nation; and

(2) Ensure that an annual independent operational audit conducted pursuant to

agreed upon procedures in relation to the Gaming Operation’s compliance

with the internal control standards established by SNGA, applicable NIGC

regulations, and the Compact;

(h) Conduct Hearings. To conduct hearings, issue subpoenas, take testimony, and

render decisions concerning -

(1) Licensing matters;

(2) Patron disputes;

(3) Exclusion matters;

(4) Enforcement matters;

(5) Evidentiary matters; and

(6) Such other matters as necessary and appropriate to the discharge of its

duties;

(i) Issue Orders and Citations. To issue orders and citations compelling action;

Assess Civil Penalties; and To assess civil Penalties.

(j) Monitor and Regulate Games. To monitor, regulate, classify, and establish

technical standards for games, gaming activities, and gaming equipment;

(k) Appear in Legal Proceedings. To appear before the SNGA Gaming Commission

and the Seminole Nation Court in any proceeding to which the Agency has voluntarily consented

a party or witness;
Title 15 - Page 26

(l) Grant Approvals for Operating Policies and Procedures of Gaming Activities. To

approve or disapprove all operating policies and procedures of the Seminole Nation’s gaming

activities;

(m) Resolve Patron Disputes. To resolve patron disputes such as those over casino

access and prize claims, but not tort claims.

(n) Address Patron Gaming Problems. to make determinations regarding the

exclusion of, or other actions related to, persons determined by the Gaming Operations to have a

compulsive gaming problem.

(o) Provide for Intergovernmental Cooperation. To enter into cooperative agreements

or other arrangements with other governmental entities, including but not limited to tribal, state,

and federal agencies, or to contract with private entities or institutions for the performance of

functions or activities related to the regulation of gaming such as health and safety inspections,

environmental review, and other technical services, provided that the Agency shall not waive or

purport to waive any jurisdiction of the nation or the Nation’s sovereign immunity from

unconsented suit.

(p) Reporting. That SNGA shall provide written reports to the General Council no

less than quarterly and shall provide additional reports, written or verbal, upon request by either

the Principal Chief or the General Council

(q) Perform Other Responsibilities. Perform any and all duties and

responsibilities that are deemed by the Chief Gaming Regulator as necessary to carry out the

provisions of this Title and the Seminole Nation of Oklahoma Code, the SNGA’s regulations,

IGRA, the terms of the Compact, and all other applicable laws and regulations; and handle such

other matters and conduct such other activities as are consistent with the power and authority

delegated to the SNGA Gaming Commission, Chief Gaming Regulator, and the SNGA under

this Title.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 2001-12, December

1, 2001; amended by TO 2004-05, March 6, 2004; amended by TO 09-08, June 6,

2009; superseded by TO 2011-11, October 29, 2011; NIGC approved February 9,

2012 modified on March 4, 2017 pursuant to authority granted by SNC Title 21, §

203; acknowledged by TR 17-27; NIGC approved May 17, 2017.]

Section 107. Issuing, Revising, and Withdrawing Regulations.

(a) Promulgate Regulations. The SNGA shall promulgate regulations as necessary to

administer the provisions of this Title.

(b) Regulatory Scope. The scope of the rulemaking authority of the SNGA shall

include the authority to promulgate rules and regulations -

(1) Necessary for the orderly transaction and conduct of SNGA operations;
Title 15 - Page 27

(2) Establishing standards and procedures for the licensing and/or registration

of persons and entities including, but not limited to, the issuance,

suspension and revocation of Licenses under this Title;

(3) Establishing standards and procedures for the licensing and regulation of

games to be used at a licensed Facility;

(4) Adding categories of employees, other persons, or entities to the list of

positions classified as Key Employees or entities classified as Gaming

Vendors;

(5) Governing the conduct and operation of gaming and gaming-related

activities such as, but not limited to, the award of prizes, internal control

standards, technical standards, installation of equipment, and classification

of games;

(6) Governing inspections, investigations, and enforcement actions;

(7) Establishing fees for licensing;

(8) Establishing fines and other sanctions, and taking such other actions as

may be necessary to enforce SNGA regulations, this Title, IGRA,

regulations of the NIGC, and the Compact;

(9) Establishing procedures for hearings conducted by the SNGA;

(10) Establishing procedures for service of process;

(11) Establishing procedures for appeals of regulations promulgated by SNGA

pursuant to this Section;

(12) Governing the handling and disposition of Patron Disputes;

(13) Governing the exclusion of Patrons to Gaming Operations or portions

thereof;

(14) Governing programs for addressing compulsive gaming;

(15) Governing the protection and relationship of Gaming Operations and their

employees with vendors and contractors;

(16) Governing promotional activities, advertising, player tracking, and other

marketing activities;

(17) Necessary to protect the security, public health, and safety of gaming

patrons, employees, and other persons while on the premises of gaming

operations on Indian Lands of the Seminole Nation; and
Title 15 - Page 28

(18) Addressing such other issues and matters as are necessary to fulfill the

purposes of this Title and the duties and functions of the SNGA as

provided for herein.

(c) Rulemaking Procedure. The SNGA shall adhere to the following procedures

when promulgating regulations under this Title.

(1) Standard Rulemaking Procedure.

(A) Prior Notice. In adopting, amending, or repealing any regulations

under this Title other than emergency, mandatory, minor or

interpretive regulations, the SNGA Gaming Commission shall give

prior notice of the proposed action by posting such notice on its

website along with a copy of the text of the proposed regulations.

(B) Comment. There shall be a thirty (30) day period during which any

Nation member or an affected person or entity may submit written

comments to the SNGA on the proposed rule.

(C) Promulgation. Upon receipt and review of comments, if any, the

Commission may promulgate the regulation as a final regulation in

its original or amended form, or may withdraw the proposed

regulation.

(i) Such final regulation shall be made available to the public

on the website of the SNGA and/or the Nation.

(ii) The SNGA Gaming Commission may stay the

implementation of a final regulation for good cause shown.

(iii) If the proposed regulation is withdrawn, it shall be removed

from the website.

(2) Emergency Rulemaking Procedure. In the event the SNGA Gaming

Commission concludes that promulgating a regulation is sufficiently

urgent that the requirements of the Standard Rulemaking Procedure would

result in damage to the interests to the Seminole Nation or violation of this

Title, IGRA, or the Compact, the SNGA Gaming Commission may

promulgate a regulation as an interim final regulation without prior notice

or may shorten the period for comment as he or she deems necessary.

(3) Mandatory Compliance Rulemaking Procedure. In the event of a change

in applicable Seminole Nation law; applicable federal statutes or

regulations; or the execution of a new; modified or revised Compact

requires an urgent change in Seminole Nation gaming regulations for the

Seminole Nation gaming activities to be in compliance, the SNGA

Gaming Commission may promulgate a compliant regulation as an interim

final regulation without prior notice, or may shorten the period for prior
Title 15 - Page 29

notice as he or she deems necessary to comply with the change. Such

interim final regulation shall be made available for written comment by

licensees for a period of not less than thirty (30) days.

(4) Minor Rulemaking Procedure. The Chief Gaming Regulator may make

technical corrections or minor amendments to the SNGA regulations

without prior notice, but such minor amendments under this procedure

must have de minimus effect. Such final technical corrections or minor

amendments shall be made public in the same manner as under the

Standard rulemaking Procedure before the rule shall be deemed final.

(5) Interpretive Rulemaking Procedure. The SNGA Gaming Commission

may issue regulations without prior notice giving its interpretation of

regulations issued under this Section, IGRA, or the Compact. Such

interpretive regulations shall be made public in the same manner as under

the Standard Rulemaking Procedure.

(6) Interim Final Regulations. When exercising the rulemaking authority

pursuant to paragraphs (2)-(4) of this subsection, the SNGA Gaming

Commission shall issue such regulation in the form of an interim final

regulation. An interim final regulation shall be enforceable immediately

upon its publication on the website, however, that the SNGA shall accept

written comments for a period of not less than thirty (30) days from the

date of publication before the rule may be deemed final.

(d) Regulatory Effect. Regulations promulgated under this Title shall bind all

persons, organizations, or vendors licensed under this Title within the scope of their License;

gaming activities operated by SNGE; all visitors, guests and patrons of a gaming facility; and all

persons employed by the Gaming Operation. Failure to comply with any regulation of the SNGA

shall constitute a violation of Seminole Nation law and subject the violator to fines, penalties, or

other sanctions.

(e) Standard of Review. The SNGA Gaming Commission and shall give deference

to the regulations and/or challenged actions or decisions made pursuant thereto, unless the

regulation and/or challenged action or decision is:

(1) Arbitrary, capricious, an abuse of discretion, or otherwise not in

accordance with law;

(2) Contrary to the Constitution of the Seminole Nation or any right, power;

privilege, or immunity under Seminole Nation law; or

(3) In excess of the authority delegated by this Title.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 2001-12, December

1, 2001; amended by TO 2004-05, March 6, 2004; amended by TO 09-08, June 6,

2009; superseded by TO 2011-11, October 29, 2011; NIGC approved February 9,
Title 15 - Page 30

2012 modified on March 4, 2017 pursuant to authority granted by SNC Title 21, §

203; acknowledged by TR 17-27; NIGC approved May 17, 2017.]

Section 108. Confidentiality of SNGA Records.

(a) Use of Confidential and Proprietary Information. Confidential and proprietary

information collected by the SNGA in the performance of its investigative or regulatory

functions, as specified in this Section, may be used only for official purposes by the SNGA.

(b) Disclosure of Confidential Information. Confidential information may not be

disclosed to any entity other than a law enforcement agency, the NIGC, the State of Oklahoma,

or another gaming regulatory agency except pursuant to a lawful court order unless the applicant

or licensee files a written waiver of confidentiality with SNGA.

(c) Confidential Records. The following types of records shall be deemed

confidential:

(1) Tax returns of individual applicants or licensees;

(2) Gaming License application forms;

(3) Credit reports and financial history records of individual applicants or

licensees;

(4) Health and medical records of individual applicants or licensees;

(5) Social security and driver’s license numbers of individual applicants or

licensees;

(6) Marketing, financial, or sales data, the disclosure of which may be harmful

to the competitive position of SNGE, SNGA licensees or persons seeking

or doing business with SNGE, provided that no financial information shall

be withheld from the General Council;

(7) Audit work papers, worksheets and auditing procedures used by the

SNGA, its agents or employees; and

(8) Such other documents, information, or records as the SNGA may specify

by regulation.

(d) Privileged Communications. Communications between the Chief Gaming

Regulator and the staff of the SNGA relating to licensing, disciplining of licensees, or violations

by licensees are privileged and confidential if made lawfully and in the course of and in

furtherance of the business of the SNGA on gaming, except pursuant to court order after an incamera review. The Chief Gaming Regulator or any member of the staff of the SNGA may claim

this privilege.
Title 15 - Page 31

(e) Limitations. No SNGA Gaming Commissioner, Chief Gaming Regulator, or

member of the staff of the SNGA shall:

(1) Disclose confidential information except to other gaming regulatory

agencies or law enforcement agencies;

(2) Hold financial interests in or transact business with the Gaming Enterprise

in conflict with the conscientious performance of their duties as regulators;

(3) Use their office or position for private gain; or

(4) Fail to disclose any conflict of interest to the SNGA or fail to recuse

oneself from any participation in such matter.

(f) Breach. Any SNGA Gaming Commissioner, Chief Gaming Regulator or SNGA

staff member who intentionally breaches the SNGA’s duty of confidentiality; uses confidential

information for any improper purpose; or otherwise breaches the official’s ethical duties may be

subject to removal from office or termination from employment with the SNGA.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 2001-12, December

1, 2001; amended by TO 2004-05, March 6, 2004; amended by TO 09-08, June 6,

2009; superseded by TO 2011-11, October 29, 2011; NIGC approved February 9,

2012 modified on March 4, 2017 pursuant to authority granted by SNC Title 21, §

203; acknowledged by TR 17-27; NIGC approved May 17, 2017.]

Section 109. Right to Appeal SNGA Actions.

(a) Unless otherwise specified in this Title, any action or decision of the Chief

Gaming Regulator or the SNGA, other than:

(1) Issuing, revising, or withdrawing a regulation, or

(2) A personnel action of the Chief Gaming Regulator with regard to an

employee of Seminole Nation Gaming Agency is subject to appeal to the

SNGA Gaming Commission as provided in Section 111 of this Title and

subsequently, subject to the limits in Section 111, the Seminole Nation

Court.

(b) Failure to timely file an appeal as specified in this Title shall render final and

unappealable a decision by the Chief Gaming Regulator or SNGA Gaming Commission. Unless

otherwise specified by Compact or this Code, appeals shall be filed no less than (30) calendar

days from SNGA action.

(c) Employees of the Seminole Nation Gaming Agency shall be exempt from the

appeal and grievance provisions of Title 11 of the Seminole Nation Code of Laws. The SNGA

Gaming Commission shall have final authority to hear employee grievances and render

determinations thereon.
Title 15 - Page 32

(d) The SNGA Gaming Commission shall have appellate jurisdiction over actions

and decisions of the Chief Gaming Regulator or actions or decisions unlawfully withheld under

this Title including, but not limited to, licensing decisions, enforcement actions taken, directives

issued to licensees, approvals of licensee actions, and licensee requests denied.

(e) In furtherance of its jurisdictional responsibilities, the SNGA Gaming

Commission shall:

(1) Develop rules and procedures consistent with this Title, including but not

limited to Section 110, for processing, hearing, and rendering decisions on

appeals subject to its jurisdiction. Such rules and procedures of shall be

adopted and published by the SNGA Gaming Commission on the website

of the Nation;

(2) Receive, process, hear, remand, decide, dismiss, and/or otherwise dispose

of appeals made by the Gaming Operation, individual licensees, vendor

licensees, registrants, or permittees; and patrons and other persons or

entities;

(3) Render written decisions on matters coming before it for disposition

within (30) business days from the later of the date of hearing or waiver of

hearing; and

(4) Maintain, or cause to be maintained, a permanent system of records of

cases and matters.

(5) All personnel, procurement and other administrative actions of the SNGA

Gaming Commission shall be in accordance with the administrative

requirements of the Seminole Nation Code; however, exempted from Title

11.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 2001-12, December

1, 2001; amended by TO 2004-05, March 6, 2004; amended by TO 09-08, June 6,

2009; superseded by TO 2011-11, October 29, 2011; NIGC approved February 9,

2012.]

Section 110. Appellate Procedure of the Seminole Nation Gaming Commission, Judicial

Review: Due Process.

(a) Jurisdiction.

(1) The SNGA Gaming Commission shall have appellate jurisdiction over all

decisions of the Chief Gaming Regulator and the SNGA.

(2) The SNGA Gaming Commission shall have primary appellate authority

over all patron prize, machine malfunctions, and tort claim disputes. By

this provision, and consistent with both the language and intent of the
Title 15 - Page 33

Compact, the Nation affirms and clarifies that no state or federal court

shall have jurisdiction over any tort or prize claim arising within the

Nation’s Jurisdiction or relating in any way to the Gaming Operation.

(3) The SNGA Commission shall have jurisdiction to compel the Chief

Gaming Regulator to act timely in accordance with the requirements in

this Title or the Compact on a matter within SNGA Gaming

Commission’s jurisdiction, provided that the SNGA Gaming Commission

may not compel a specific outcome in a particular matter when exercising

its compulsory authority.

(b) Process. The matters subject to appeal under this Section may be appealed in

accordance with the following:

(1) The appellant must have exhausted all available administrative remedies;

(2) The appeal shall be in writing and shall state the name of the licensee, the

issue(s) contested and the change(s) sought, the basis of such change(s),

and such evidence as the appellant may wish to submit.

(3) In addition to the written appeal, the appellant may request an oral hearing

before the SNGA Gaming Commission.

(4) If a hearing is granted and takes place, it shall be at a date, time and place

as set by the SNGA Gaming Commission and shall be recorded, at the

Appellant’s expense, by a certified shorthand reporter.

(5) The SNGA Gaming Commission shall issue a written determination

supporting or denying (in whole or in part) the appeal and setting out its

basis for the decision within (30) business day after hearing or if hearing

waived, upon receipt of appeal.

(6) Such written determination shall be deemed a final action of SNGA

Gaming Commission.

(c) Seminole Nation Court.

(1) Appellate Jurisdiction - Tort Claims

(A) The Seminole Nation Court shall have the authority to review

decisions by the SNGA Gaming Commission related to claims for

personal injury or property damage filed by a patron against the

Gaming Operation. All Patrons shall be deemed to have consented

to the civil jurisdiction of the Seminole Nation Court. The Gaming

Operation does not consent, and shall not be permitted to consent,

to jurisdiction in any other court.
Title 15 - Page 34

(B) A patron may assert a claim against the Gaming Operation in the

Seminole Nation Court only if:

(i) The purported personal injury occurred on the premises of

a Gaming Facility licensed under this Title;

(ii) The claimant followed all necessary procedures pursuant to

the pertinent terms of the Compact; exhausted all

administrative remedies; and provided all of the

information required by the Compact for filing such a claim

including, without limitation, the delivery of a valid and

timely written tort claim notice, signed by the claimant

under an oath affirming the validity of all information

provided in the notice, to the Gaming Operation;

(iii) The Gaming Operation denied the tort claim; and

(iv) The clamant filed the appeal in the Seminole Nation Court

no later than the one-hundred-eightieth day after denial of

the claim by the Enterprise.

(C) Limitation on Jurisdiction.

(i) The Seminole Nation Court shall have no jurisdiction to

award damages to any claimant in excess of the limits of

the Gaming Operation’s liability insurance and no

judgment may entered or recovered except against the

Gaming Operation’s liability insurance policy.

(ii) A claimant’s failure to file a tort claim or prize claim in

accordance with the requirements of this subsection and in

accordance with all applicable requirements of the

Compact shall constitute a waiver of all rights of appeal

and further shall deprive the Seminole Nation Court of

jurisdiction over the claim.

(iii) A claimant’s failure to file a tort claim within one year of

the date of the purported personal injury shall deprive the

Seminole Nation Court of jurisdiction over the matter and

forever bar such tort claim against the Gaming Operation.

(iv) The Seminole Nation Court shall have no authority to

award damages from the assets of the Seminole Nation.

(v) Except as specifically provided in the Nation’s Compact,

nothing herein shall be construed as a waiver of the

Nation’s sovereign immunity from suit.
Title 15 - Page 35

(2) Appellate Jurisdiction.

(A) The Seminole Nation Court shall have appellate jurisdiction over

final decisions of the SNGA Gaming Commission, provided that

the appeal is filed no later than the thirtieth (30th) day following

the date of a final decision by the SNGA Gaming Commission.

(i) Failure to seek review of the final action of the SNGA

Gaming Commission by the thirtieth (30th) day following

the date of such final action or decision shall constitute a

waiver of all rights of appeal and further shall deprive the

Seminole Nation Court of jurisdiction over the matter.

(B) The Seminole Nation Court(s) shall have appellate jurisdiction

over the SNGA Gaming Commission’s actions and decisions in

relation to prize claims and patron disputes, provided that a

claimant’s failure to file a prize claim notice within ten days of the

event which forms the basis of a prize claim shall forever bar such

prize claim and shall operate to deprive the Court of jurisdiction in

the matter.

(3) Judicial Process.

(A) Except as otherwise provided in this Title, the manner and further

requirements for filing appeals and/or claims for adjudication in

the Seminole Nation Court shall be in accordance with the Court’s

rules and procedures.

(B) Appeals to the Seminole Nation Court of SNGA Gaming

Commission decisions concerning actions and/or decisions of

SNGA or the Chief Gaming Regulator shall be limited to the

administrative record that was before the Chief Gaming Regulator

or SNGA at the time of the final action, including any recording or

hearing transcript(s) resulting from any hearings conducted by the

Commission and its written records of decision. The standard of

review shall not be de novo, but shall be abusive or discretion,

arbitrary or capricious, or clear error.

(C) The Seminole Nation Court may remand any matter to the

Commission for further proceedings as warranted by the

circumstances.

(4) Standard of Review.

(A) The Commission and the Seminole Nation Court shall give

deference to the administrative expertise of the Chief Gaming

Regulator and shall not set aside, modify, or remand any
Title 15 - Page 36

determination by the Chief Gaming Regulator except upon a

finding that the decision, action, or lack of action was:

(i) Arbitrary and capricious, an abuse of discretion, or

otherwise not in accordance with law;

(ii) Contrary to right under the Constitution of the Seminole

Nation, this Title, the Compact or other applicable law;

(iii) In excess of statutory jurisdiction, authority, or limitation or

short of statutory right;

(iv) Without observance of procedure required by law; or

(v) Unsupported by a preponderance of the evidence in a case

reviewed on the record.

(B) The Seminole Nation Court’s review of an appeal on a tort claim

shall be de novo and shall be decided based on applicable law.

(5) Legal Representation. A petitioner may be represented by legal counsel in

any proceedings or adjudications conducted by the SNGA Gaming

Commission or the Seminole Nation Court at the petitioner’s own

expense, and the Gaming Operation, or SNGA Gaming Commission may

appear or be represented by legal counsel at their expense.

(6) Standing. Only those persons or entities directly and adversely affected by

an action or decision of the Gaming Operation and/or Chief Gaming

Regulator shall have standing to appeal such action or decision to the

Commission and/or the Seminole Nation Court, except where:

(A) The Petitioner is seeking relief against the Chief Gaming Regulator

for action unduly or unreasonably delayed or withheld where such

inaction is causing articulable harm to the Petitioner.

Unreasonably withheld should be liberally construed to be no less

than (30) business days; or

(B) The Petitioner is a licensee seeking appellate review of a regulation

promulgated by the SNGA Gaming Commission on the grounds

that such regulation is arbitrary and capricious, constitutes an

abuse of discretion, or is otherwise not in accordance with law.

(7) Remedies

(A) The Commission and/or the Seminole Nation Court, upon appeal,

after hearing, may:
Title 15 - Page 37

(i) Affirm, reverse, modify or remand a matter as appropriate

subject to the standard of review established in this Title;

(ii) Compel SNGA and/or the Chief Gaming Regulator to take

an action that the Commission and/or Court has found was

unlawfully or unreasonably delayed or withheld by SNGA

and/or the Chief Gaming Regulator; or

(iii) Set aside and remand a regulation of the SNGA to the

Chief Gaming Regulator upon a finding that such

regulation or some portion of the regulation is arbitrary and

capricious, an abuse of discretion, or otherwise not in

accordance with law.

(B) The Seminole Nation Court upon appeal, after hearing may:

(i) Affirm, reverse, modify or remand a matter to the

Commission, as appropriate, subject to the standard of

review established in this Title; or

(ii) Compel the SNGA Gaming Commission to act or make a

decision where an action or decision has been unduly

delayed, or it may assume jurisdiction in a case before the

SNGA Gaming Commission where a decision has been

unduly delayed or due process has been denied.

(C) The Seminole Nation Court upon appeal, after hearing, may award

just and reasonable compensation for a personal injury or property

damage upon a finding that the Gaming Operation is liable as a

matter of law given all the facts and circumstances of the case as

adduced at hearing of the case under applicable law, provided that:

(i) The amount of such award shall be reduced by 10% if the

tort claim is filed with the Enterprise more than ninety (90)

days after the event allegedly giving rise to the claim; and

(ii) The amount of compensation awarded for any one person

for personal injury, for any one occurrence for personal

injury, or for any one occurrence for property damage may

not exceed the amount of the public liability insurance each

such category of personal injury or property damage

maintained by the Gaming Operation for the express

purposes of covering and satisfying tort claims.

(D) The Commission and/or Seminole Nation Court upon appeal of the

denial, in whole or in part, of a prize claim, after hearing, may

award just and reasonable compensation if the full amount of an

award determined to be due was not paid, provided that the amount
Title 15 - Page 38

of the award may not exceed the amount of the prize that the

claimant establishes he or she was entitled to be awarded nor, in

any case, an amount exceeding the maximum prize available in the

game or gaming machine giving rise to the dispute.

(E) Burden of Proof. The Appellant shall bear the burden of proof in

any appeal filed pursuant to this Title.

(F) Filing Fees. Each appeal under this Title shall be subject to a nonrefundable filing fee of five hundred dollars ($500.00) to be paid to

the SNGA Gaming Commission and/or Seminole Nation Court, as

appropriate, which fee(s) may be waived only upon a

demonstration of hardship supported by substantial evidence. The

Seminole Nation Court may amend the filing fee by administrative

order.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991, amended by TO 2001-12, December

1, 2001, amended by TO 2003-07, September 6, 2003; amended by TO 09-08,

June 6, 2009; superseded by TO 2011-11, October 29, 2011; NIGC approved

February 9, 2012.]
Title 15 - Page 39

CHAPTER TWO

LICENSING

Section 201. Gaming License, Permit or Registration Required.

(a) Persons, Entities, and Facilities Required to Be Licensed.

(1) Every –

(A) Seminole Nation Gaming Facility where Class II or III gaming

activities are conducted;

(B) Primary Management Official;

(C) Key Employee;

(D) Gaming Vendor; and

(E) Gaming Financer

shall be required to have and display prominently an appropriate, valid and current gaming

License issued pursuant to the provisions of this Code.

(2) The License for a Gaming Vendor or Gaming Financer shall cover the

business entity and the Principals of that Gaming Vendor or Financer

under a single License except for those Key Employees employed by the

Gaming Vendor or Gaming Financer with access to gaming activities,

gaming equipment, the accounts, and the gaming or accounting software at

or for the Enterprise, provided that all Principals of a Gaming Vendor or

Gaming Financer shall be subject to a background investigation and

suitability determination in accordance with the standards applicable to

Key Employees.

(3) Any employee or Principal of a Gaming Vendor or Gaming Financer,

including a manufacturer of gaming or gaming related equipment -

(A) Who has access to the gaming floor and/or secure or restricted

areas of a Gaming Facility, including storage and maintenance

areas, or who provides maintenance, repair or other service in

relation to a game or gaming system; or

(B) Who has on-site or off-site access to hardware or software related

to Gaming Activities, or who has any accounting or cash handling

duties related to the Gaming Operation, wherever conducted shall

be considered to be a Covered Employee and shall be required to

apply for and receive a Gaming License in accord with the same

licensure requirements as a Key Employee, provided that

accountants and attorneys shall be exempt from licensure or
Title 15 - Page 40

regulations when providing services covered by their respective

professional licenses.

(b) Registration. Every Non-gaming Vendor providing services or goods to the

Gaming Operation, other than a federally, state, or tribally regulated publicly traded public utility

company, shall be subject to a requirement to register with SNGA and provide such information

to SNGA as SNGA may by regulation require prior to contracting with or providing such goods

and/or services to the Gaming Operation.

(1) The Chief Gaming Regulator may, by regulation, except Non-gaming

Vendors from this registration requirement where the contract amount is

de minimus, or the potential for unlawful or criminal conduct is negligible.

(2) The Chief Gaming Regulator may, by regulation, require federally, state,

or tribally regulated publicly traded utility companies to register or be

registered under this provision if he or she determines that there is a

potential for criminal activity relating to the Gaming Operation

contracting with such companies.

(c) Class I Gaming Permit. A permit issued by SNGA shall be required for the

conduct of any Class I traditional forms of Indian gaming in connection with a tribal ceremony

or celebration involving wagering where the aggregate total of prizes to be awarded exceeds

$10,000. Tribal social activities not involving the placement of wagers, including contests,

competitions, or similar events in which prizes are awarded individually or to teams based on

prowess, knowledge, or appearance, such as rodeos, powwows, sports tournaments, pageants,

and other similar types of events, regardless of whether an entry fee is charged, do not constitute

gaming and are expressly excluded from regulation under this Title.

(d) Work Permit. Every employee of the Gaming Operation who is not a Primary

Management Official or a Key Employee shall be required to have a work permit issued by the

SNGA. Such work permit shall not authorize an employee to conduct any activities requiring a

License under this Title, provided that the SNGA may require any or all gaming employees to be

licensed upon a finding by the SNGA that the Gaming Operation is not compliant with the

restrictions on the permissible duties and functions of work permittees.

(e) Prohibition. Any other form of gaming other than those activities excepted by

Section 203 of this Title conducted within the jurisdiction of the Seminole Nation is prohibited.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991, amended by TO 2003-22, December

6, 2003; amended by TO 2004-01, January 17, 2004; amended by TO 09-08, June

6, 2009; superseded by TO 2011-11, October 29, 2011; NIGC approved February

9, 2012.]

Section 202. Exemptions.

(a) Class I games, other than those requiring a permit, are exempt from the licensing,

registration, and permit requirements of this Title if they -
Title 15 - Page 41

(1) Are traditional forms of Indian gaming engaged in by individuals as a part

of, or in connection with, tribal ceremonies or celebrations, or

(2) Are social games solely for prizes of minimal value.

(b) For purposes of this section, “minimal value” shall mean an individual prize with

a value no greater than $1,000 for a single prize or $10,000 in aggregate prizes to be awarded.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]

Section 203. Applications and Requirements for Licenses.

(a) General Requirements for Licenses.

(1) License Requirements.

(A) A License or Temporary License (not to exceed 90 days) must be

issued by SNGA to an applicant pursuant to this Title and

applicable regulations before the Gaming Operation may employ a

person in a Key Employee or Primary Management position.

(B) Gaming Vendors, Management Contractors and Gaming Financers

must be fully licensed by the SNGA prior to the commencement of

any engagement, contract, or agreement, the delivery of any

gaming goods or services, or the installation of any gaming or

gaming-related equipment.

(C) Non-gaming vendors shall register or be registered prior to

commencement of any transaction, contract, or engagement with

the Gaming Operation.

(D) Failure to comply with all applicable licensure requirements by a

person or entity required to be licensed pursuant to this Title shall

be deemed a substantial violation and shall subject such person or

entity to the enforcement authority of the SNGA.

(2) Term.

(A) A facility License shall be valid for a term of three years.

(B) A Primary Management Official License and a Key Employee

License shall be valid for a term of two years.

(C) A Gaming Vendor or Gaming Financer License shall be for a term

of one year.
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(D) A Temporary License shall have a term as determined by SNGA,

but not to exceed 90 days, provided that a Temporary License shall

expire automatically upon issuance or denial of a permanent

License.

(E) The term of a License shall start on the date it is issued and shall

expire on the last day of its term.

(3) Applicant and Licensee Responsibilities. Applicants and licensees shall be

legally responsible for compliance with this Title, regulations issued under

this Title, IGRA, and all relevant License provisions, conditions, or

restrictions.

(4) Sworn Application. No License shall be issued under this Title except

upon a sworn application filed with the SNGA in such form as may be

prescribed by the SNGA and containing all of the mandatory information

required for the License. Such form shall require agreement by the

licensee to abide by all requirements and restrictions in the License, this

Title, the Compact, and all applicable laws, rules and regulations.

(5) Withdrawal of Application. An application may not be withdrawn without

the permission of the SNGA. An applicant may request to withdraw an

application by submitting to the SNGA a written request for withdrawal.

The SNGA shall have the right, in its sole discretion, to grant or deny a

request for withdrawal. A decision to deny a request for withdrawal shall

be final and unappealable.

(6) Continuing Duty to Provide Information. Applicants and licensees shall

have a continuing duty to provide any materials, assistance, or other

information required by the SNGA and to fully cooperate in any

investigation conducted by or on behalf of the SNGA. If any information

provided on the application changes or becomes inaccurate in any way, the

applicant or licensee must promptly notify the SNGA of such changes or

inaccuracies.

(7) Suitability Determination. The SNGA shall review every License

applicant’s prior activities, criminal record, if any, and reputation, habits,

or associations to make a determination concerning the suitability of such

applicant for employment or for a contractual, financial or other business

arrangement with the Gaming Operation.

(A) The SNGA shall conduct an investigation sufficient to make a

suitability determination under this Section. In conducting a

background investigation, the SNGA or its agent shall strive to

keep confidential the identity of each person interviewed in the

course of the investigation and to protect confidential information

provided as part of the licensing process.
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(B) No person requiring a License for employment under this Title

may be employed, and no contract or other business arrangement

may be entered into with a Gaming Vendor or Gaming Financer if,

based on such review -

(i) The applicant has not fully completed all required

application forms, or has not provided the SNGA with such

other information the SNGA has requested;

(ii) The SNGA determines that employment of, contracting

with, or entering into a financial arrangement with the

applicant or a Principal or Primary Management Official or

Key Employee thereof, poses a threat to the public interest

or to the effective regulation of gaming or creates or

enhances the dangers of unsuitable, unfair, or illegal

practices, methods, or activities in the conduct of gaming or

the carrying on of the business and financial arrangements

incidental thereto; or

(iii) The SNGA determines that the applicant, or in the case of a

Gaming Vendor or Gaming Financer, the applicant or a

Principal or a Primary Management Official or Key

Employee thereof has

(I) Been convicted of any felony offense;

(II) Been convicted of any offense of any degree within

the past ten years involving an element of

dishonesty, such as theft, fraud, and, for example;

(III) Had a gaming license denied or revoked by any

licensing jurisdiction for any cause related to

dishonesty, such as theft, embezzlement, fraud,

cheating, or accepting bribes or kick-backs;

(IV) A reputation for dishonesty regardless of whether

charged or convicted; or

(V) Provided false or misleading information,

statements, or information on his or her License

application,

(VI) Failed to disclose any information required to be

disclosed on the License application; or

(VII) Otherwise failed to meet the suitability standard for

licensure.
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(C) When the applicant is applying for a Gaming Vendor or Gaming

Financer License, in addition to the reasons denoted in subsection

(B) of this Section, the SNGA, based on the background

investigation, may deny the applicant a License if the SNGA

concludes the applicant;

(i) Is not sufficiently stable and capitalized;

(ii) Is owned, operated, or managed by persons who fail to

meet the suitability standards in this Section; or

(iii) Has a history of performance failure or contentious

business relationships.

(D) If, at any time, the SNGA finds that a licensee fails to continue to

meet the licensure standard established in this Section, the SNGA

may take appropriate steps to suspend or revoke the License.

(8) Temporary License. The SNGA may, in its sole discretion, issue a

Temporary Gaming License to Key Employees and Primary Management

Officials upon the SNGA’s review of their individual, completed gaming

License applications, review of their fingerprints consistent with the

procedures adopted by SNGA according to 25 C.F.I. § 522.2, and upon a

signed, written representation by the applicant that he or she meets the

standards for licensing in this Section. Such Temporary License may be

cancelled or revoked and the license application denied if the SNGA finds

that the Applicant does not meet the standards for licensing under this

Section.

(9) Exclusion. Gaming Vendors shall not be eligible to receive a temporary

license nor shall any gaming or related equipment be installed in any

gaming facility prior to the issuance of a Gaming Vendor License by the

SNGA. The Gaming Enterprise shall ensure that all Gaming Vendor

contracts specify that such contract shall be null, void, and unenforceable

if the Gaming vendor fails to apply for, receive, and maintain a Gaming

Vendor License.

(10) License Requirements and Restrictions. Any License issued by SNGA

may be subject to such requirements, conditions, and/or restrictions as

SNGA may require, including restrictions on the areas to which the

licensee may have access, restrictions on the positions a licensee may

hold, requirements for reporting or submitting information to the SNGA,

and such other conditions, restriction and/or limitations as the Chief

Gaming Regulator deems appropriate under the circumstances.

(11) License contingency Terms for Employment and Business Arrangements.
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(A) An employment agreement for any persons requiring a License

under this Title; and

(B) Business arrangements, including contracts, engagements, and

agreements entered into by the Gaming Operation with Gaming

Vendors or Gaming Financers and/or their Principals and/or

Primary Management Officials who are required to be licensed

under this Title shall include terms:

(i) Providing for termination if the requisite License is denied

or revoked;

(ii) Acknowledging the licensee’s duty to comply with all

applicable gaming laws and regulations, including, but not

limited to the Nation’s internal control standards, federal

laws and regulations, and the Compact; and

(iii) Providing consent to the regulatory jurisdiction of the

SNGA.

(12) Non-Assignability of License. Any License issued pursuant to the

provisions of this Title is valid only for the person(s) or entity(ies) shown

on the face thereof. Any such License is not assignable or otherwise

transferable to any other person or entity or, in the case of a facility

License, for any other location unless authorized and approved by the

SNGA.

(13) Employee License Site Limitation. An Employee License or Work Permit

shall be specific to each Gaming facility unless SNGA, authorizes a

specific licensee or group of licensees to conduct activities covered by

their Licenses at other Gaming facilities, which authorization shall be

indicated on the Employees’ badge(s).

(14) Duty of Licensee to Keep Informed of Requirements. Acceptance of a

License or renewal thereof, or restriction imposed thereon, by a licensee

constitutes an agreement on the part of the licensee to be bound by all the

regulations and/or restrictions of the SNGA and by the provisions of this

Title as the same are now or may hereafter be amended or promulgated. It

is the responsibility of the licensee to keep informed of the contents of all

such regulations, provisions, and conditions, and ignorance thereof shall

not excuse the violation.

(15) License Revocable. A Gaming License issued under this Title is a

revocable privilege, and no holder thereof shall be deemed to have any

rights therein or thereunder.

(A) A License issued under this Title may be revoked by SNGA -
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(i) For cause related to violations of the Seminole Nation Code

or regulations, the Compact, NIGC regulations, other

violations of law or Gaming Enterprise procedures, or any

other wrongful conduct or behavior of a licensee;

(ii) Upon a finding that the licensee is not suitable to hold a

License under the criteria set forth in Section 203(a)(7); or

(iii) For any actions or inactions that present an actual and

imminent threat or danger to the public health and safety of

a Gaming facility licensed under this Title or its patrons or

to the integrity of the games played at such facility.

(B) A License may be suspended by the SNGA for such period of time

as the SNGA determines appropriate pending investigations,

hearings, and other processes for consideration of a License.

(C) The burden of proving qualifications to hold any License rests at

all times on the licensee.

(D) The SNGA shall have the duty of continually observing the

conduct of all licensees to the end that Licenses shall not be held

by unqualified, disqualified, or unsuitable persons or entities, or

persons or entities whose operations are conducted in an unsuitable

manner.

(E) The SNGA may review any individual’s or an entity’s License at

any time.

(16) Violations. Violation of any provisions of this code or any rules or

regulations of the SNGA by a licensee, his agent, or employee shall be

deemed contrary to the public health, safety, morals, good order, and

general welfare of the Seminole Nation and the inhabitants of the

Seminole Nation, and shall be grounds for refusing to grant or renew a

License, grounds for suspension or revocation of a License, or grounds for

the filing by SNGA of a civil action for forfeiture of a License in the

Seminole Nation Court.

(17) Fees. There shall be a fee or methodology for determining a fee

established for each type of License. All License fees shall be paid to and

retained by SNGA to offset compensation and expenses of SNGA.

(18) Wearing License Identification Cards. All licensees shall wear, in plain

view, identification cards which include a photograph of the employee, his

or her first name, a four-digit identification number unique to the License

issued to the licensee, a tribal seal or signature verifying the official

issuance of the card, and the date of expiration.
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(19) License Renewal. An application to renew a facility License shall be

submitted 150 days before the expiration of a current facility License, and

an application to renew any other License under this Title shall be

submitted 90 days prior to the expiration of a current License. Any

renewal application shall be subject to the same requirements for licensing

as a new License under this Title except that the SNGA may, by

regulation, require an update of the information required for the License

from the first application to the extent that the information has changed.

(b) Facility License.

(1) License Requirements. The SNGA shall issue a separate facility License

to each place, facility, or location where Gaming takes place under this

Title, provided:

(A) Documentation is provided demonstrating that the facility is

located, or will be located if it is to be constructed, on the Nation’s

Indian Lands;

(B) The Facility is of sound physical structure with adequate, safe, and

operational plumbing, electrical, heating, cooling and ventilation

systems in place;

(C) The Gaming Operation has provided a complete description of the

premises and the name and address at which gaming will be

conducted;

(D) The Facility has been inspected and approved for safety by a

qualified building and fire inspector approved by SNGA;

(E) The facility is equipped with security and surveillance equipment

meeting or exceeding provisions set forth in regulations established

by the SNGA;

(F) The Gaming Operation has prepared and the facility is subject to

an emergency preparedness plan approved by SNGA;

(G) The Gaming Operation has submitted all documentation required

by applicable regulations of the NIGC for a new facility or, for

renewal of a License, such information required for reissuing a

License;

(H) The Gaming Operation has provided such other information as the

SNGA shall require by regulation; and

(I) The Gaming Operation has paid all applicable License and

regulatory fees and assessments.
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(2) Requirements of a Licensee. All facility licensees shall comply with

orders, directives and regulations of the SNGA, which, at a minimum,

shall include the following requirements:

(A) The facility shall at all times be maintained in an orderly, clean and

neat condition, both inside and outside the premises of the facility.

(B) The facility shall be subject to patrol by the Nation’s security and

law enforcement personnel and, when authorized, local and state

law enforcement and the licensee shall cooperate at all times which

such security and law enforcement officials.

(C) The facility shall be open to inspection by SNGA at all times.

(D) The facility shall continuously meet all applicable environmental,

public health, and safety standards as established by the SNGA or

other authorized governmental units of the Nation.

(E) The Gaming Operation shall pay all appropriate regulatory fee

assessments to the NIGC pursuant to 25 U.S.C.

§2710(b)(4)(B)(i)(IV).

(F) The Gaming Operation shall pay all regulatory fees, fines and

assessments as may be applicable.

(G) The facility shall operate without any discrimination in any gaming

operations by reason of race, color, sex, or creed, provided,

however, that nothing herein shall prevent the licensee from

granting hiring preferences to members of the Seminole Nation or

other federally recognized Indian tribes.

(3) Application and Renewal Deadlines. Applications for a Facility License

shall be submitted at least 180 days prior to the initial conduct of business,

and at least ninety (90) days prior to its expiration if renewal is sought;

(4) Display of License. Every Facility licensee shall display in a prominent

place a current and valid License for that location.

(5) License Unassignable. If the Gaming Operation elects to move operation

of a gaming facility to a different location and operate under the same

trade name, such action shall nonetheless be deemed to require the

issuance of a new Gaming Facility License for purposes of this Section

and the SNGA shall issue a new license in accordance with this Section.

(6) Penalties for Violations. Facility licensees may be fined or have their

privilege to conduct gaming activities within the Seminole Nation and

their License to game suspended or revoked for a period not to exceed 90

days, or, in the event of a condition creating imminent jeopardy to public
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health and safety, such longer period of time as may be required to abate

such condition; or may be subject to such other penalties or orders as may

be appropriate by the SNGA and the Courts of the Seminole Nation if

found in violation of any of the requirements of this Act, regulations

issued under this Act, the Compact, or other applicable laws including

IGRA.

(c) Key Employee, Primary Management Official or Other Individual License.

(1) License Requirement and Scope. The SNGA shall issue a License to each

Key Employee and Primary Management Official who qualifies for and

would require a License under this Title. The License shall grant the

applicant the revocable privilege of working in a position requiring a

License under this Title.

(2) Application and Licensing Deadlines. Before a Key Employee or Primary

Management Official begins work, a completed application for a License

shall be provided to SNGA by the applicant, which application shall

contain all of the information required by this Section, and SNGA shall

conduct the background investigation and make the suitability

determination described in this Section to determine whether or not to

grant the License.

(3) Jurisdiction and Jurisdiction Statement. Acceptance of a License by a Key

Employee or Primary Management Official shall constitute acceptance by

that individual of the jurisdiction of SNGA, and the Seminole Nation

Courts for all licensure actions and for any violations of the terms of that

License, this Title, and the Seminole Nation Code and regulations.

(4) Notice of Consent and Signature. The License Application for a Key

Employee or Primary Management Official shall provide notice of the

consent to jurisdiction of SNGA, and the Seminole Nation Courts required

by this Title and shall require a separate signature immediately below the

notice by the applicant accepting such jurisdiction.

(5) Privacy Act Notice and Notice Regarding False Statements. The

Application form for Key Employees and Primary Management Officials

shall include the statements required to be on such forms under 25 C.F.R.

§§ 556.2 and 556.3.

(6) Minimum Application Information Required. The SNGA shall require

from each Primary Management Official and from each Key Employee all

of the following information as part of their License application:

(A) Full name, other names used (oral or written) including any aliases

by which applicant has ever been known, social security

number(s),
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(B) Birth date, place of birth, citizenship, gender, all languages known

(spoken or written);

(C) Currently and for the previous 5 years: business and employment

positions held, ownership interests in those businesses, business

and residence addresses, and driver’s license numbers;

(D) 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 (6)(C) of this Subsection;

(E) Current business and residence telephone numbers;

(F) Military service history;

(G) A description of any existing and previous business relationships

with Indian Nations, including ownership interests in those

businesses;

(H) A description of any existing and previous business relationships

with the gaming industry generally, including ownership interest in

those businesses;

(I) The name and address of any licensing or regulatory agency with

which the person has filed an application for a license or permit

related to Gaming, whether or not such license or permit was

granted;

(J) A description of any disciplinary charges filed by any state or

tribal regulatory authority, whether or not discipline was imposed.

(K) 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;

(L) For each misdemeanor conviction or ongoing misdemeanor

prosecution (excluding minor traffic violations) within 10 years of

the date of the application, the name and address of the court

involved and the date and disposition;

(M) For each criminal arrest, charge, or proceeding (excluding minor

traffic charges), whether or not there is a conviction, identification

of the criminal arrest, charge, or proceeding, the name and address

of the court involved, and the date and disposition;

(N) The name and address of any licensing or regulatory agency with

which the person has filed an application for an occupational
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license or permit, whether or not such license or permit was

granted;

(O) A current photograph;

(P) For the applications of Primary Management Officials, including

the General Manager of the Gaming Enterprise and the Managers

of each Gaming Facility, financial statements;

(Q) Fingerprints consistent with procedures adopted by the SNGA

according to 25 C.F.R. § 522.2(h); and

(R) Any other information the SNGA deems relevant.

(7) Background Investigation. A background investigation for each

prospective Primary Management Official and Key Employee requiring a

License shall be conducted by the SNGA.

(A) Required Actions. The background investigation must include the

following actions:

(i) Verification of the applicant’s identity and the information

submitted by the applicant on the License application;

(ii) Contacts with the applicant’s personal and business

references;

(iii) A civil, criminal, public records, and credit history check;

and

(iv) Forwarding the applicant’s fingerprint card to the NIGC to

be processed by the Federal Bureau of Investigation’s

National Criminal Information Center. The SNGA may

submit an applicant’s fingerprint card to any additional

tribal, local, or state criminal history check system as the

SNGA deems necessary or appropriate. Reports obtained

from such fingerprint processing shall be incorporated into

the applicant’s application file.

(v) The SNGA by regulation may conduct such additional

investigative activities as it may deem appropriate.

(vi) The SNGA may issue a notice to a License applicant for an

interview or hearing at any time during the investigation to

secure any additional information it may require in

determining the applicant’s suitability for a License.
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(vii) Upon completion of the investigation, the staff shall

prepare a written report and recommendation in relation to

the applicant’s suitability and the SNGA shall then

determine whether to grant or deny the License.

(B) Retention of Records. The SNGA shall retain License applications

for Key Employees and Primary Management Officials, reports (if

any) of background investigations for inspection by the Chairman

of the National Indian Gaming Commission or his or her designee,

and eligibility determinations for no less than three (3) years from

the date of termination of employment.

(C) Submissions to NIGC and Granting Licenses. Before issuing a

license to a Primary Management Official or a Key Employee and

no later than 60 days after the applicant begins work, the SNGA

shall forward to the NIGC a notice of results of the applicant’s

background investigation that includes:

(i) the applicant’s name, date of birth, and SSN;

(ii) the date on which the applicant began or will begin work as

a Primary Management Official or Key Employee;

(iii) a summary of the information presented in the investigative

report, including:

(I) license(s) that have previously been denied;

(II) gaming licenses that have been revoked, even if

subsequently reinstated;

(III) every known criminal charge brought against the

applicant within the last 10 years of the date of the

application; and

(IV) every felony of which the applicant has been

convicted or any ongoing prosecution; and

(iv) a copy of the eligibility determination made under 25

C.F.R. 556.5.

(D) Before issuing a license to a Primary Management Official or a

Key Employee, the SNGA shall create and maintain an

investigative report on each background investigation that includes

all of the following.

(i) Steps taken in conducting a background investigation;
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(ii) Results obtained;

(iii) Conclusions reached; and

(iv) The basis for those conclusions.

(E) Suitability Determination. The SNGA shall submit with the report

a copy of the suitability determination made under Section

203(a)(7) of this Title.

(F) License Denial Actions. If a License application is denied, the

SNGA:

(i) Shall notify NIGC; and

(ii) May forward copies of its eligibility determination and

investigative report (if any) to the National Indian Gaming

Commission for inclusion in the Indian Gaming Individuals

Records Systems.

(8) Granting Gaming Licenses to Key Employees and Primary Management

Officials.

(A) If within a thirty (30) day period after the NIGC receives an

application and notice of results report as provided in the previous

Subsection, the NIGC notifies the SNGA that it has no objection to

the issuance of a License pursuant to such applicant; the SNGA

may issue a License to such applicant.

(B) The SNGA shall respond to a request for additional information

from the NIGC Chairman concerning an applicant who is the

subject of an investigatory report. Such a request shall suspend the

30-day period under this subsection until the Chairman receives

the additional information.

(C) If, within the 30-day period described above, the NIGC provides

the SNGA with a statement itemizing objections to the issuance of

a License to a Key Employee or to a Primary Management

Official, the SNGA shall reconsider the application, taking into

account the objections itemized by the NIGC. The SNGA shall

make the final decision whether to issue a License to such

applicant.

(D) SNGA shall notify the NIGC of the issuance of a license to a Key

Employee or Primary Management Official within 30 days of its

issuance.
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(9) Notice by NIGC. If, at any time after the issuance of a gaming License to

a Key Employee or Primary Management Official, the SNGA receives

from the NIGC reliable information indicating that the licensee is not

eligible for employment under Section 203(a)(7), the SNGA shall suspend

such License and shall notify the Licensee in writing of the suspension and

the proposed revocation.

(A) The SNGA shall notify the licensee of a time and a place for a

hearing on the proposed revocation of a License.

(B) After a revocation hearing, the SNGA shall decide to revoke or to

reinstate the License. The SNGA shall notify the National Indian

Gaming Commission of its decision within 45 days of notification

from NIGC.

(10) Forwarding Covered Employees Application to the State Compliance

Agency. Upon obtaining the required application information from a

Covered Employee, the SNGA, upon request, shall provide a copy of it to

the SCA along with any determinations made with respect to the issuance

or denial of a temporary or permanent License.

(d) Gaming Vendor and Gaming Financer Licenses.

(1) License Requirement and Scope. The SNGA shall issue a License to each

Gaming Vendor and Gaming Financer that qualifies for a License under

this Title. The License shall grant the applicant the revocable privilege of

contracting with or entering into a financing arrangement or other business

arrangement with the Gaming Operation.

(2) Application and Licensing Deadlines. Before a Gaming Vendor or

Financer may contract, enter into a financing arrangement, or enter into

any other business arrangement with the Gaming Operation, a completed

application for a License shall be provided to SNGA by the applicant,

which application shall contain all of the information required under this

Section and SNGA shall conduct the background investigation and make

the suitability determination described in this Section to determine

whether or not to grant the License.

(3) Application Information Required. The SNGA shall by regulation

establish application information requirements for Gaming Vendors and

Gaming Financers sufficient to make the determinations for issuing or

denying a license in Section 203(a)(7).

(4) Limiting Information Required. The SNGA may limit, as the SNGA

deems appropriate, the types of information required from an applicant for

a Gaming Financer License where:
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(A) The information required of applicants, except as limited by

paragraph (A) above, shall be sufficient to probe the Gaming

Vendor’s or Gaming Financer’s: legal structure and ownership

interests; locations, history, reputation and operation as a business

entity, including locations and nature of the business;

organizational structure; officers; the civil and criminal history of

the applicant, including any litigation, court or administrative

tribunal determinations, and sanctions; financial stability,

capitalization, and capability; level of responsibility for completing

its contractual commitments and guaranteeing results; its customer

base; and its reputation;

(B) The Gaming Vendor or Gaming Financer is an individual, the

applicant shall also submit an application with all the information

required for licensure as a Primary Management Official under

Subsection (c) of this Section; and

(C) The Gaming Vendor and Gaming Financer is not a natural person,

but is structured as a corporation, partnership, sole proprietorship

with multiple employees, or other legal entity for the purpose of

conducting business, the applicant, with the possible limitation in

paragraph (a), above, shall also submit for purposes of determining

whether to grant or deny a License, all of the information required

for licensure as a Key Employee under Subsection (c) of this

Section for any Covered Game Employee or Principal who is not

required to have an individual License and for such other officers

of the entity as the SNGA may deem necessary to understand the

organization and persons with which the Seminole Nation would

be dealing under the License.

(5) Background Investigation - Gaming Vendor or Gaming Financer. A

background investigation for each prospective Gaming Vendor and

Gaming Financer requiring a License shall be conducted by the SNGA.

(A) The background investigation must include all of the following

actions:

(i) Verification of the applicant’s identity and the information

submitted by the applicant on the License application,

including the information provided by Covered Employees

and Principals;

(ii) Contacts with the applicant’s personal and business

references;

(iii) A civil, criminal, and credit history check; and
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(iv) A background investigation of all individuals who are a

Principal, Key Employee, or Primary Management Officer

of the Gaming Vendor or Gaming Financer in accordance

with Subsections 203(a) - (c) of this Section.

(B) The SNGA may conduct such additional investigative activities as

it may require by rule or regulation.

(C) The SNGA may issue a notice to a License applicant for an

interview or hearing at any time during the investigation to secure

any additional information it may require in determining the

applicant’s suitability for a License.

(D) Upon completion of the investigation, the staff shall prepare a

written report and recommendation in relation to the applicant’s

suitability under Section 203(a)(7) of this Title and the SNGA shall

then determine whether to grant or deny the License.

(E) Record Retention. The SNGA shall establish a record retention

schedule for Gaming Vendor and Financer applications and

background investigation records.

(6) Notifications to the State Compliance Agency. The SNGA, when

requested, shall advise the SCA of:

(A) All financing and loan transactions with respect to covered games

or supplies in which the amount exceeds $50,000 in any twelvemonth period and make them available for SCA review upon

request; and

(B) Approval of any Management Contract approved by the Chair of

the National Indian Gaming Commission.

(e) Adverse Licensing Action Procedure.

(1) The SNGA shall notify an applicant or licensee, in writing, of the SNGA’s

preliminary decision to deny an application for a License or to suspend,

revoke, limit, modify, restrict, condition or cancel the licensee’s gaming

license, which notice shall inform the licensee of the basis for the SNGA’s

preliminary decision and of any due process rights available to the

applicant or licensee.

(2) An SNGA decision to limit, modify, restrict, condition, or cancel a

License shall not be deemed an adverse action requiring a hearing and

shall not be appealable except upon a showing, supported by substantial

evidence, that such decision was the result of bias, prejudice, or other

wrongful purpose; provided that the SNGA may in its discretion accord a

licensee an opportunity to show cause why the License should not be
Title 15 - Page 57

limited, modified, restricted, conditioned, or cancelled. The SNGA may,

in its sole discretion, grant an oral hearing or require a written submission.

(3) Unless otherwise provided in this Title, an applicant or licensee, as

appropriate, shall, upon written petition, be entitled to a hearing before the

Chief Gaming Regulator or another hearing officer designated by the

Chief Gaming Regulator prior to denial of an application or the revocation

or suspension of a License.

(4) Denial of a license may be contested by an applicant and the revocation or

suspension of a license may be contested by a licensee as an adverse

action under the procedures set out below:

(A) To invoke the right of hearing, the applicant or licensee must

submit a written petition for hearing to the SNGA within ten (10)

days from the date of service or delivery of the SNGA’s notice of

proposed denial or revocation. Such notice may be served by

registered or certified mail or it may be personally served on the

Applicant or licensee.

(B) The Chief Gaming Regulator may, in his or her discretion, direct

the Gaming Operation to place a licensee on administrative leave,

with or without pay at the discretion of management, during the

pendency of the matter.

(5) Right to Counsel. An Applicant or licensee subject to a notice of adverse

action shall be entitled to be represented by an attorney and must be

present and participate in the proceeding.

(6) Waiver of Right to Hearing. If the applicant or licensee fails to invoke the

right to a hearing within ten days from the date the SNGA’s notice or

proposed denial or revocation is delivered to or served upon the applicant

or licensee, such inaction shall operate as a waiver of the right of appeal,

in which case, the Chief Gaming Regulator’s preliminary decision shall be

entered as a final order not subject to further appeal.

(7) Hearing Date. If the applicant or licensee invokes the right to a hearing,

the Chief Gaming Regulator shall set a date for such hearing to take place

within sixty (60) days unless extended by mutual consent of the Chief

Gaming Regulator and the respondent.

(8) Hearing Procedure. Hearings under this Section shall be conducted in

accordance with the requirements of Section 305(b) of this Title.

(9) Right to Appeal. If, after such hearing, the Chief Gaming Regulator

renders a final adverse determination with regard to a gaming license, the

licensee may appeal the decision to the SNGA Gaming Commission.
Title 15 - Page 58

(10) Prohibition on Limitations. Nothing in this Section shall limit the Chief

Gaming Regulator’s authority to summarily issue an order directing action

by a licensee, an order to cease and/or desist, or an order suspending a

Gaming License upon a finding that such order is necessary to:

(A) Cure an imminent threat to the integrity of gaming at the Gaming

Enterprise;

(B) Protect the Nation’s property or assets; or

(C) Ensure the public health and safety of patrons and employees.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 92-04, February 24,

1994; amended by TO 2001-12, December 1, 2001; amended by TO 09-08, June

6, 2009; superseded by TO 2011-11, October 29, 2011; NIGC approved February

9, 2012 modified on March 4, 2017 pursuant to authority granted by SNC Title

21, § 203; acknowledged by TR 17-27; NIGC approved May 17, 2017.]

Section 204. Registration of Non-Gaming Vendors.

(a) Each Non-Gaming Vendor required to be registered pursuant to Section 201(b) of

this Title shall provide the following information in a form or format as may be required by the

SNGA:

(1) Name of the Non-Gaming Vendor;

(2) Address of the Non-Gaming Vendor’s principal place of business;

(3) Form of legal organization (such as a corporation, partnership, LLC, or

sole proprietorship), and state where chartered;

(4) Any state or tribal identification number providing access to the stateregistered or tribally-registered organizational papers;

(5) The name and business address of the agent or person responsible for

providing the goods or services;

(6) If the Non-Gaming Vendor is not a publicly traded corporation, the name

of the Principal of the on-Gaming Vendor,

(7) The nature of the goods and services provided; and

(8) Such additional information as the SNGA may require by regulation.

(b) The Chief Gaming Regulator shall by regulation and procedures establish the time

and submission requirements for this Section.
Title 15 - Page 59

(c) SNGA, at its discretion, may conduct a background investigation on a NonGaming Vendor required to be registered under this Chapter.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 92-04, February 24,

1994; amended by TO 2001-12, December 1, 2001; amended by TO 09-08, June

6, 2009; superseded by TO 2011-11, October 29, 2011; NIGC approved February

9, 2012.]

Section 205. Applications and Requirements for Class I Gaming Permits.

An applicant for a Class I gaming permit pursuant to Section 201(c) shall provide his or her

name, a brief description of the event, an estimate of the total amount of prizes, and such

additional information in such form as may be established by regulation under this Title.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 92-04, February 24,

1994; amended by TO 2001-12, December 1, 2001; amended by TO 09-08, June

6, 2009; superseded by TO 2011-11, October 29, 2011; NIGC approved February

9, 2012.]

Section 206. Applications and Requirements for Work Permits.

Each employee of Gaming Operation required to have a work permit pursuant to Section 201(d)

of this Title shall provide his or her name, residential address, phone number, Social Security

Number, and such additional information in such form as it may require. SNGA may, at its

discretion, conduct a background investigation on a person required to hold a permit under this

Chapter.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 92-04, February 24,

1994; amended by TO 2001-12, December 1, 2001; amended by TO 09-08, June

6, 2009; superseded by TO 2011-11, October 29, 2011; NIGC approved February

9, 2012.]

Section 207. Inspection of Premises.

The premises of a Gaming Facility, including buildings and property connected physically or

otherwise within the Gaming Facility, as well as parking areas and vehicles used in connection

therewith, shall at all times be subject to inspection by or on behalf of SNGA. At any time during

which a licensed Gaming or related administrative activity is being conducted on the premises,

no advance notice shall be required from the SNGA to:

(a) Make an account of all monies on the premises and all monies received during the

operation of the licensed activity located on the premises;

(b) Inspect all receipts for prizes which have been awarded by the Gaming Enterprise

at the licensed facility;
Title 15 - Page 60

(c) Inspect any other records, accounts or other related information of the licensee or

of any employee who directly participates in the management, operation, or promotion of a

licensed activity; or of any employee of the licensee; and

(d) Inspect equipment of any nature used in connection with gaming activities,

including interior areas of such equipment, parts, and components.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]
Title 15 - Page 61

CHAPTER THREE

CIVIL AND CRIMINAL ACTIONS, PENALTIES, AND ENFORCEMENT

Section 301. Civil Violations.

(a) Generally. In addition to other civil and criminal acts that may be regulated or

prohibited by this Title, other Seminole Nation law, or applicable federal or state law, the

following prohibited activities shall constitute civil violations under this Title and may subject

any person or entity subject to the enforcement authority of the SNGA as provided in this Title:

(1) Violations of any License terms, restrictions, and limitations by a licensee;

(2) Cheating in any form, including, but not limited to:

(A) Altering or misrepresenting the outcome of gaming or another

event on which wagers have been made after the outcome of such

gaming or event has been determined but before such outcome is

revealed to the players;

(B) Placing or increasing a bet or wager after acquiring knowledge of

the outcome of the gaming or event which is the subject of the bet

or wager;

(C) Altering, concealing, or marking cards;

(D) Aiding any person in acquiring knowledge about of the forms of

cheating referred to in Section 301(a)(2) of this Title for the

purposes of increasing or decreasing any bet or wager, or for the

purpose of determining the course of play;

(E) Altering or tampering with any gaming equipment;

(F) Using slugs, tokens, or forged or fraudulent coins or instruments

for any gaming machine or to place a wager in a card game;

(G) Aiding another person to cheat in any manner;

(H) Violating any rules of play;

(I) Using any device, apparatus, or contraption to determine or alter

the outcome of play or change the odds of any game, including any

calculator, computer, or other electronic or mechanical device to

assist in projecting the outcome or odds of such gaming, to keep

track of or analyze cards, or to change probabilities of any game or

the playing strategies regularly utilized in such gaming;
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(J) Reducing the amount wagered or canceling a wager after acquiring

knowledge of the outcome of the game or other event which is the

subject of the bet or wager; or

(K) Manipulating any component or part of a game or gaming

equipment in a manner contrary to the designed and normal

operational purpose for such component or part, so as to affect the

outcome of the game.

(3) Fraud or theft from the gaming facility by any patron, employee, agent,

guest, vendor or person, including, but not limited to:

(A) Claiming, collecting, or attempting to claim, collect or take, money

or anything of value from a Gaming Facility or the Seminole

Nation Gaming Enterprise to which one is not entitled; or

claiming, collecting or taking an amount greater than the amount

actually won in such game;

(B) Defrauding the Nation, any licensee, or any participant in any

gaming or promotional activity;

(C) Making any untrue statement of a fact, or failing to state a fact

necessary, in order to commit a fraud; or

(D) Otherwise engaging in any act, practice, or course of conduct as

would operate as a fraud upon any person;

(4) Delay, maneuvering, or taking action of any kind to unlawfully avoid

paying proceeds of gaming properly owed to the Seminole Nation;

(5) Participating in or operating any gaming activity not authorized under this

Title;

(6) Enticing or inducing another person to go to any place where gaming is

conducted or operated in violation of the provisions of this Title, with the

intent that the other person play or participate in such gaming;

(7) Providing false or misleading information or making any false or

misleading statement with respect to an application for employment or for

any license, certification or determination provided for in this Title;

(8) Providing false or misleading information or making any false or

misleading statement to the Nation, SNGA, or the Gaming Operation in

connection with any contract for services or property related to gaming;

(9) Providing false or misleading information or making any false or

misleading statement in response to any official inquiry by the SNGA or

its agents;
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(10) Offering or attempting to offer any money or thing of value to an official

or employee of the Gaming Operation, SNGA, or a license to induce such

official or licensee to act, or refrain from acting, in a manner contrary to

the official duties of the licensee under this Title, regulations promulgated

by the Seminole Nation including those promulgated under this Title,

Seminole Nation or Federal law, or the Compact;

(11) Acceptance by an official or employee of the Gaming Operation, SNGA,

or a licensee of any money or value given to such organization or licensee

for the purpose of inducing the organization or licensee to act, or refrain

from acting, in a manner contrary to the official duties of the organization

or licensee under this Title, Seminole Nation or federal law, or the

Compact;

(12) Falsifying, destroying, erasing or altering any books, computer data,

records, or other information relating to the Gaming Operation in ways

other than is provided for in approved internal control procedures;

(13) Taking any action which interferes with, impedes, or prevents the Gaming

Operation, SNGA, or the General Council from fulfilling its duties and

responsibilities under this Title, Title 8, SNGA regulations, IGRA, or the

Compact; and

(14) Entering into any contract, or making payment on any contract for the

delivery of goods or services to a Gaming Operation, when such contract

fails to provide for or result in the delivery of goods or services of fair

value for the payment made or contemplated.

(b) Gaming Management. In addition to any other violation set forth in Section (a) of

this Section, it shall be a violation of this Title for any gaming manager, employee, or other

responsible person or Nation official to:

(1) Fail to keep appropriate books and records sufficient to substantiate the

income and expenses and to verify the propriety of all expenditures and

disbursements by any component of the Gaming Operation or activity

owned or operated by the Gaming Enterprise;

(2) Falsify any books or records related to any transaction connected with the

holding, operating, or conducting of any Gaming activity or gaming

promotion;

(3) Make any unauthorized payments or disbursements;

(4) Convert for one’s personal use any funds, property, or other assets of the

Gaming Operation;

(5) Place unlicensed or unauthorized Gaming equipment on the Gaming floor

or permit the play of unauthorized games;
Title 15 - Page 64

(6) Fail to report observed violations of this Title to the SNGA;

(7) Fail to comply with any order or directive of the SNGA; or

(8) Fail or refuse to report any matter so required to be reported to the SNGA

by this Title.

(c) Duty to Report. It shall be a duty of the Gaming Operation to refer any suspected

violations of this Title to SNGA.

(d) Non-exclusive action. In addition to civil law sanctions under this Title, the

Seminole Nation may exercise any of its police powers or pursue other available sanctions

including criminal sanctions for civil violations under this Title.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012

modified on March 4, 2017 pursuant to authority granted by SNC Title 21, § 203;

acknowledged by TR 17-27; NIGC approved May 17, 2017.]

Section 302. Criminal Violations.

(a) Criminal Violations. The Actions enumerated in Section 301 shall also constitute

criminal offenses if committed knowingly or intentionally.

(1) Any person subject to the criminal jurisdiction of the Nation who commits

such offense may be criminally prosecuted by the Nation in Seminole

Nation Court and upon conviction for such offense(s) may be sentenced to

imprisonment for a period not to exceed 365 days or a fine not to exceed

$5000.00 or both such fine and imprisonment for each offense committed,

plus costs.

(2) Any person not subject to the criminal jurisdiction of the nation who

commits an act prohibited by this Section shall be subject to a criminal

referral to the appropriate law enforcement agency for possible

prosecution under applicable state or federal laws.

(b) Duty to Report. It shall be the duty of the Gaming Operation and all licensees to

report any suspected criminal activity to the appropriate law enforcement agency and SNGA, and

for SNGA to report any suspected criminal activity to the appropriate law enforcement agency.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]

Section 303. Civil Sanctions.
Title 15 - Page 65

(a) Any person, Gaming Vendor, Gaming Financer, or other entity that engages in

activities on property subject to the provisions of this Title or operates under a License issued

under this Title in violation of this Title, regulations promulgated under this Title, the terms of a

License issued under this Title, IGRA, or the terms of the Compact shall be subject to the

enforcement authority of the SNGA, which may assess civil sanctions pursuant to this Title

(b) Any person who unlawfully trespasses upon any premises licensed under this

Title may be permanently excluded from the premises and/or be subject to a civil suit by the

Seminole Nation and/or the Gaming Operation

(c) The SNGA, at its discretion, may institute an enforcement proceeding against any

person or entity Licensed under this Title. In addition to any actions the SNGA may take

pursuant to Chapter 2 of this Title related to the denial, revocation, suspension or other action

related to a License issued under this Title, the SNGA by order may:

(1) Impose a formal or informal reprimand, issue a command or order to cease

and desist, or assess a monetary penalty not to exceed the following

amounts;

(A) $25,000 per violation per day if the violator holds a License issued

under this Title and is a Gaming Vendor, Gaming Financer, or a

Primary Management Official;

(B) $25,000 per violation per day if the violator is engaged in or has

taken actions requiring that it be licensed under this Title as a

Gaming Vendor, Gaming Financer, or a Primary Management

Official, and has not obtained such a License;

(C) $5,000 per violation per day if the violator is a Key Employee;

(D) $5,000 per violation per day if the violator is taking actions

requiring that he, she, or it be licensed as a Key Employee under

this Title, but the violator has not obtained such a license; or

(E) $5,000 per violation per day if the violator is otherwise subject to

the civil jurisdiction of the Seminole Nation.

(2) Issue an order:

(A) Compelling a person to act in a lawful manner or to cease and

desist from acting in an unlawful or inappropriate manner.

(B) Prohibiting a violator from conducting business with the Gaming

Operation or entering onto the premises of a gaming facility

operated by the Gaming Enterprise.

(C) Prohibiting any officials and/or employees of the Gaming

Operation from conducting business with a violator or allowing
Title 15 - Page 66

entrance by a violator to the facilities operated by the Gaming

Operation.

(D) Prohibiting any officials and/or employees of the Gaming

Operation from paying any unlicensed or unregistered vendor for

goods or services provided to the Gaming Operation.

(E) Requiring the seizure of property from the violator used in a

violation of this Title. Such seized property shall become the

property of the Seminole Nation.

(F) Prohibiting violators from trespassing on premises licensed under

this Code.

(G) To forcibly close a Gaming Facility found to be operating in

substantial violation of the law.

(H) Requiring winnings found to have been received in violation of

this Code to be forfeited and order them to become property of the

Seminole Nation.

(3) Enter into a consent decree with an alleged violator for purposes of

resolving a violation and agreeing to a sanction.

[HISTORY: Enacted by TO 86-02; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]

Section 304. Investigations and Examinations of Violations.

(a) Investigations Authorized. In the event that the SNGA obtains information or

otherwise suspects that a person or entity, including a licensee, has violated any provision of this

Title, IGRA, the terms of the Compact, regulations issued under this Title, or the terms,

conditions, and limitations of a License issued pursuant to this Title, the SNGA may investigate

the matter.

(b) Scope of Authority. In conducting an investigation under this Section, the SNGA

shall have broad authority and may make inquiries, review information, take depositions,

conduct hearings, and issue subpoenas compelling attendance, testimony, or the production of

documents as may be needed in the performance of the SNGA’s investigative duties and

functions.

(c) Removal of Records and Equipment During Inspection. If the SNGA finds that

there is a reasonable probability that the provisions of this Title, including any amendments

thereto or any of the rules passed by the SNGA have been or are being violated by a licensee or

its employees, it may move any and all potentially relevant records and equipment, parts thereof,

devices, or other things(s) to another location or locations for further inspection or investigation.

Each such record, piece of equipment, part thereof, or other thing(s) so removed shall be returned
Title 15 - Page 67

to the premises or to the address of the licensee within thirty (30) business days (not counting

holidays when nation offices are legally closed) unless the SNGA determines that the records,

equipment, devices, or other thing(s) so removed are necessary for an ongoing investigation

and/or evidence of possible violations of this Title or regulations issued thereunder by the

licensee, by employers of the licensee or by operators of the licensed facility or activity. The

SNGA shall notify the licensee of the reasons said property or thing(s) are to be so held.

[HISTORY: Enacted by TO 86-02; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]

Section 305. Civil Process.

(a) Preliminary Notification of Violations.

(1) Whenever the SNGA determines that a civil violation under this Chapter

has occurred and a person or entity, including all licensees, subject to the

civil jurisdiction of the Seminole Nation, has violated this Title,

regulations promulgated under this Title, or any laws that this Title

authorizes SNGA to monitor and enforce, the SNGA shall issue a

preliminary notice of violation to that person or entity. Such notice shall:

(A) Identify the alleged violator or violators;

(B) Identify the alleged violation or violations;

(C) Describe the steps necessary to effect a cure, if cure is available;

(D) Propose a civil sanction for the alleged violation or describe the

range of sanctions that may be imposed by the SNGA; and

(E) Identify the due process steps available to alleged violator to

accept or contest the allegation of violation, to present a proposed

cure, where cure is possible, or to accept or contest the imposition

of the proposed sanction.

(2) The due process steps available under this Section shall include an offer to

the alleged violator to request a hearing to show cause why the sanction

should not be imposed.

(3) The written petition requesting a hearing may request that the hearing be

oral or conducted by the submission of evidence, affidavits, argument,

and, if applicable, a description of any mitigating circumstances.

(4) If the alleged violator does not submit a petition requesting a hearing

within the time allowed, the Chief Gaming Regulator’s preliminary

determination and proposed sanction shall be deemed final and shall not

be further appealable.
Title 15 - Page 68

(b) Hearings. If a hearing is granted pursuant to the terms of Section 203(e) or this

Subsection:

(1) It shall be conducted pursuant to regulations promulgated by the SNGA.

(A) Such regulations procedures shall include –

(i) Provisions for service of process, motions, orders, decisions

and other papers or the signing of same; the counting of

days; and the rights of an applicant, licensee, or alleged

violator under this Title;

(ii) Provisions concerning discovery and the presentation of

evidence;

(iii) The handling of confidential materials;

(iv) Procedure for the conduct of hearings; and

(v) Such other matters as the Chief Gaming Regulator

considers appropriate to the proper functioning of such

hearings.

(B) Such procedures may also include provisions for deciding whether

a hearing is to be an oral hearing or one conducted based on the

written record submitted by the respondent.

(2) Ex parte communications with the SNGA by or on behalf of an applicant,

licensee or alleged violator subject to a hearing under this Section shall be

prohibited and no person or party shall act to unduly influence the

outcome of any matter pending in such a hearing.

(A) Any employee of SNGA who receives an ex parte communication

shall immediately report such communication to the SNGA’s legal

counsel.

(B) Violation of this bar on ex parte communications shall be a

separate violation of this Title and a person subject to the civil

authority of the Seminole Nation engaging in such ex parte

communication shall be subject to civil sanctions under this

Section.

(C) Nothing in this Section shall prohibit the applicant or licensee from

communicating with the SNGA’s legal counsel, its investigators,

or other authorized personnel or agents.

(D) Parties to all hearings governed by this Section may appear

personally or through an attorney, except that a party must
Title 15 - Page 69

personally attend any hearing on the merits unless his or her

attendance has been waived, in writing, by the Chief Gaming

Regulator.

(3) All SNGA hearings on a matter subject to such hearings shall be on the

record, which testimony shall be recorded by a duly certified court

reporter or by means of audio recording and which may be used by the

SNGA as evidence in any proceeding or matter before the SNGA.

(4) Failure of a respondent to appear and testify at the designated time and

place shall constitute a waiver of the applicant’s, licensee’s, or other

respondent’s right to a hearing and the Chief Gaming Regulator shall enter

a final, unappealable, order in the matter, provided that the Chief Gaming

Regulator, within his or her sole discretion may excuse a respondent's

failure to appear for good cause upon respondent’s request if such request

is made within 24 hours from the date and time set for hearing.

(c) Final Determination. The Chief Gaming Regulator shall make a final

determination on all matters appealed under this Section, which determination shall be in writing

and mailed or delivered to the respondent.

(d) Appeals. A final determination of the Chief Gaming Regulator under this Section

shall be subject to appeal to the SNGA Gaming Commission if timely filed and in accordance

with the provisions of Sections 109, 110, and 111 of this Title and the procedures authorized to

be adopted thereunder.

[HISTORY: Enacted by TO 86-02; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]

Section 306. Agent for Service of Process for Gaming Vendors and Financing Vendors.

(a) Each Gaming Vendor and Financing Vendor who or which is not a Seminole

Nation resident or resident corporation shall designate a natural person, who is a resident living

in the Seminole Nation and who is 18 years of age or older, as a resident agent for the purpose of

receipt and acceptance of service of process and other communications on behalf of the licensee.

The name and business address where service of process and delivery of mail can be made and

the home address of such designated resident agent shall be filed with the SNGA.

(b) The Chief Gaming Regulator may issue subpoenas for persons, records and things

as may be needed carry out the SNGA’s duties and functions under this Title.

[HISTORY: Enacted by TO 86-02; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]

Section 307. Production of Records; Hearings.
Title 15 - Page 70

(a) No applicant, licensee, or employee of a licensee shall neglect or refuse to

produce records or evidence under his or her control, or to give information upon proper and

lawful demand by the SNGA, or shall otherwise interfere with any proper and lawful efforts by

the SNGA to produce such information.

(b) The SNGA may summon any licensee or a licensee’s agents, employees, or

suppliers to appear to testify with regard to the conduct of any licensee or the agents, employees,

or suppliers of any licensee.

(1) All such testimony shall be given under oath and may embrace any

matters that the SNGA may deem relevant to the discharge of its official

duties.

(2) Any person so summoned to appear shall have the right to be represented

by counsel.

(3) Any testimony so taken may be used by the SNGA as evidence in any

proceeding or matter before the SNGA.

(4) Failure to appear and testify fully at the time and place designated, unless

excused, shall constitute grounds for –

(A) Revocation or suspension of any License held by the person

summoned and/or his or her employer, Principal or employee,

and/or,

(B) In the case of a Gaming Vendor, the loss of the privilege to provide

goods and services to the Gaming Operation.

(C) Violation of this Section shall be a separate offense and subject to

civil sanctions under this Title.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]

Section 308. Price-Fixing and other Trade Restraints Prohibited.

No Gaming Vendor shall make an agreement — either express or otherwise -- with any other

Gaming Vendor to fix the price at which or limit the geographic area for which any device,

paraphernalia, machine, equipment, prize or any other item used in connection with any of the

activities authorized under this Code shall be sold or leased, or which services in connection

therewith shall be rendered. The price of such items in a competitive market place shall be

established by each Gaming Vendor for the products and services offered by each and shall not

be established, directly or indirectly, in concert with another. Violations of this Section shall be a

civil violation of this Title and shall be subject to civil sanctions under this Title. Nothing in this

Section shall bar a Gaming Vendor from assigning sales territories among its bona fide

representatives.
Title 15 - Page 71

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]

Section 309. Protection of Informant Identity.

The SNGA shall refuse to reveal at any court proceeding, or otherwise, the identity of any

informant if such revelation would subject the informant to bodily harm. A refusal by any

official or employee of the SNGA to provide information related to informants shall not form the

basis for any sanction, disciplinary action or reprisal.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]
Title 15 - Page 72

CHAPTER FOUR

Section 401. Responsibilities of SNGE.

(a) In General. The requirements of this Section shall be in addition to those stated

elsewhere in this Title including those stated in Section 203(b)(2).

(b) SNGE shall oversee the management of the Gaming Enterprise in a manner that

assures compliance with this Title, regulations and orders issued under this Title, and all

applicable provisions of IGRA, NIGC regulation, and the Compact.

(c) Gaming Enterprise Responsibility. The General Manager of the Gaming

Enterprise shall supervise and be directly responsible for all activities in a facility licensed under

this Title and for:

(1) The compliance of all such activities with the terms of the facility License

and the applicable terms of this Title and regulations issued under this

Title;

(2) The compliance by all employees of the Gaming Operation licensed under

this Title with the terms of their Licenses;

(3) Assuring that the Gaming Enterprise works with Gaming Vendors and

Gaming Financers in a manner that assures that they are not engaged in

any activities exceeding the scope of their Licenses under this Title as they

relate to functions of the Gaming Operation or in contravention of any

applicable laws;

(4) Preparing, securing SNGA approval for, and implementing a security plan

for operation of each Gaming facility. Amendments shall be approved by

the SNGA prior to implementation; and

(5) Securing a license from SNGA for each electronic or other game to be

placed into operation at a Gaming facility, including providing such

Gaming Vendor information to the SNGA as it may require related to the

procedures and policies for payout, accumulation, and account restrictions

for funds, including for progressive payout games, and the safeguards built

into the hardware and software associated with the electronic game.

(d) Minimum Internal Control and Technical Standards. The Gaming Operation shall

be responsible for establishing internal control policies and procedures and ensuring that all

gaming systems are compliant with all applicable technical standards no less stringent than those

established by SNGA by regulation, all applicable regulations of the NIGC, and all applicable

provisions of the Compact.

(e) Safety and Welfare. The construction, maintenance, and operation of a Gaming

Facility licensed under this Title shall be conducted in a manner that adequately protects the

environment, public health, safety, morals, good order, and general welfare of the public and
Title 15 - Page 73

citizens of the Seminole Nation. All alterations or modifications of a Gaming facility must be

approved by the SNGA. Responsibility for the employment and maintenance of suitable methods

of operation rests with the licensee and willful and persistent use or toleration of unsuitable

methods of operation shall constitute grounds for License revocation and/or other sanctions.

(f) Extension of Credit Not Allowed. The extension of credit by the Gaming

Operation shall be prohibited and no person shall be permitted to play games authorized under

this Title on credit nor shall they be provided a loan of any kind, except that such credit

prohibition shall not prohibit the charging of gaming costs on credit cards nationally known and

approved by the SNGA.

(g) Firearms. No firearms, air guns which are capable of discharging dangerous

projectiles or gases, such as “BB” or CO2 guns, rifles, shotguns, pistols, or revolvers, shall be

allowed on the premises, except as permitted by regulation of the SNGA.

(h) Gaming Laws and Regulations on Premises. All components of the Gaming

Operation shall obtain, maintain, and keep current a copy of this Title and all regulations of

SNGA and any amendments to either. The Gaming Enterprise shall maintain at least one copy on

the premises used for the conduct of Gaming under this Title.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012

modified on March 4, 2017 pursuant to authority granted by SNC Title 21, § 203;

acknowledged by TR 17-27; NIGC approved May 17, 2017.]

Section 402. Gaming Requirements.

(a) Restriction on Games Allowed. The Gaming Operation may only use or employ

games authorized by IGRA and/or the Compact and approved by the SNGA. Electronic games

may only be used when supplied by Gaming Vendors licensed by SNGA meeting the applicable

technical standards. The SNGA may assess a fee for such approval and for re-approval when

required by a modification to the hardware or software of the game.

(b) Restriction on Location of Games. Games shall be operated only on the

appropriate licensed premises in facilities licensed under this Title.

(c) Player Rates. The Gaming Operation may charge players for games at rates

approved by the SNGA. The rate shall be fixed for each type and/or group of games and posted

conspicuously on the premises.

(d) Prize Awards. Every prize awarded by the Gaming Enterprise may be awarded

only to the person(s) actually winning the prize, provided that prizes shall not be awarded to

minors or any person subject to an order of exclusion from the gaming premises.

(e) Exclusion of Licensees from Participation in Promotions. No licensee employed

by the Gaming Operation or providing Gaming Goods shall be eligible to participate in any

promotion of the Gaming Operation or to receive any promotional prize.
Title 15 - Page 74

(f) Age Limits for Gaming. No person, who is under the age of 18, shall be allowed

to participate in any manner in the operation of any game or promotion in which prizes are

awarded. No person(s) under the age of eighteen (18) shall be allowed on the gaming floor while

games are being played. No person(s) under the age of twelve (12) shall be allowed in any area

of the premises unsupervised, including vehicles located in parking lots. It shall be the

responsibility of the Gaming Enterprise to enforce the provisions of this section and Security

shall notify the appropriate social services agency if unsupervised minors are found in any area

of the premises.

(g) Limitations of Play by Licensees. No employee of the Gaming Operation may

play any Games while on duty, except in the case of the use of shills to encourage Gaming. Shills

may be used only when operating consistent with regulations adopted by SNGA. Licensees may

not participate in gaming activities conducted by the Gaming Facility in which they are

employed.

(h) Alcoholic Beverages. No beverage containing alcohol, including but not limited

to beer, wine, or liquor, shall be offered or awarded as a prize or in lieu of a prize for winning at

any time. Licenses shall be required in accordance with applicable laws for the sale of Liquor on

premises where gaming is played and the Gaming Operation shall be responsible for ensuring

compliance.

(i) Ball Requirements. In the event that the Gaming Operation offers live-draw

bingo games, lotto, or other games similar to bingo:

(1) Each numbered ball or other device used in a game for the selection of

numbers to be called in play shall be the same weight and size as each of

the other balls or devices used for that purpose of that game and in

accordance with such other regulations as may be adopted by the SNGA;

and

(2) Immediately before the calling of each number in a game, the caller shall

turn the portion of the ball or other device used to determine which

number is called, which shows the number and letter to the participants in

the game, so that participants may know that the proper number is being

called out.

(j) Pay Tables and Retention Ratios. The SNGA shall approve pay tables and the

retention ratio for all gaming systems employed by the Gaming Operation;

(k) Malfunctions. A malfunction of a gaming system and/or gaming hardware shall

void all pays and plays.

(l) House Rules. The Gaming Operation may establish house rules subject to the

approval of the SNGA.

(m) Availability of Game Rules. A copy of the rules for each game conducted shall be

filed with and approved by the SNGA. The rules shall be posted and/ otherwise be made

available to all Gaming Facility patrons upon request.
Title 15 - Page 75

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012.]
Title 15 - Page 76

CHAPTER FIVE

REVENUES AND AUDITS

Section 501. Audits and Accounts - Responsibility.

(a) The Gaming Operation shall maintain an approved accounting system and

properly account for all revenues, expenditures, and financially related business transactions in

accordance with SNGA-approved accounting procedures and generally accepted accounting

principles.

(1) The Gaming Operation shall establish, maintain, and employ procedures

that safeguard the Gaming Enterprise’s assets and revenues, including

recording of cash and evidence of debt and mandatory count procedures.

Such procedures shall establish a controlled fiscal environment,

accounting system, and control procedures that safeguard the assets of the

Gaming Enterprise; ensure that operating transactions are properly

recorded; promote operational efficiency; and encourage adherence to

prescribed policies.

(2) The Gaming Operation shall employ a uniform code of accounts and

accounting classifications to ensure the consistency, comparability, and

effective disclosure of financial information to the Nation and to SNGA.

Such code shall require that records be retained that reflect statistical drop

(amount wagered by Patrons), statistical win to statistical drop, and the

percentage of statistical win to statistical drop, and provide similar

information for each type of game in each Gaming facility.

(3) SNGE shall maintain its cash handling procedures and accounts always

consistent with the requirements of the regulations of the NIGC and

pursuant to the Compact.

(b) SNGA shall review and approve the accounting and cash handling procedures of

the Gaming Operation and shall establish by regulation minimum reporting and financial

recordkeeping requirements to ensure that all monies or things of value received and/or paid out

may be properly monitored and accounted for.

(c) SNGA shall continuously monitor and enforce compliance with cash handling,

accounting, and internal control policies and procedures, which shall be consistent with SNGA

internal control standards and NIGC’s regulations establishing minimum internal control

standards. SNGA shall establish internal audit standards in accordance with generally accepted

accounting principles and review internal controls of SNGE for their integrity in implementation.

(d) The Gaming Operation shall contract for an annual independent audit of the

financial statements of all Gaming activities by an external auditing firm and shall submit the

resulting audit reports to the General Council, SNGA, and the NIGC, provided that the cost for

such mandatory reviews and audits shall be assessed against the Gaming Operation as a

regulatory expense. The independent accounting firms employed to conduct such financial audits
Title 15 - Page 77

shall be knowledgeable in casino audits and operations and shall be subject to approval by the

SNGA. The independent audit report shall meet all requirements for external audits established

by NIGC regulations. All contracts for suppliers, services, or concessions for a contract amount

in excess of $25,000 annually and all gaming and gaming-related construction contracts shall be

subject to audit by SNGA and/or the person or firm conducting independent audits.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 09-08, June 6, 2009;

superseded by TO 2011-11, October 29, 2011; NIGC approved February 9, 2012

modified on March 4, 2017 pursuant to authority granted by SNC Title 21, § 203;

acknowledged by TR 17-27; NIGC approved May 17, 2017.]

Section 502. Gaming Revenue.

(a) The entity or entities responsible for gaming revenue accounting shall on a daily

basis track all gaming revenue data and shall record such data immediately upon its receipt of the

daily deposit documentation from each gaming facility. The accounting entity(ies) shall also

perform the following calculations each month:

(1) “Compact Fees” shall be calculated and paid to the State of Oklahoma

based on “adjusted gross covered games revenue” as that term is defined

in the Compact in effect between the State of Oklahoma and the Seminole

Nation of Oklahoma by subtracting from the total amount of all receipts

(total amounts wagered) in covered games, all amounts paid out (for

prizes). (Total receipts - Total Payments = Adjusted Gross Covered

Games Revenue.) The amount to be paid to the State shall be the

appropriate percentage of “adjusted gross covered games revenue” as

specified in the Compact.

(2) Until satisfied, the “NIGC Fine Payment” shall be calculated and paid to

the NIGC based on “Net Gaming Revenue” which shall be defined as

gross gaming revenue (Class II and Class III) less amounts paid out as, or

paid for prizes and total operating expenses (excluding management fees,

if any). (Gross Revenue - Prizes Paid Out - Total Operating Expense = Net

Gaming Revenue.) For purposes of this calculation, the term “Operating

Expenses” shall include the following: all gaming employee salaries,

wages and benefits; advertising; utilities; supplies; gaming commissions;

regulatory fees; and other operating costs plus the costs of SNGA

(including costs of operating the surveillance and compliance programs),

and that portion of SNGE’s operating costs attributable to its

administration and support of the Gaming Enterprise. Depreciation and

fees assessed by the Seminole Nation Business and Corporate Regulatory

Commission (BCR) shall be excluded from the definition of “Operating

Expenses.” The fine payment to NIGC shall be the appropriate percentage

of “Net Gaming Revenue” as specified by the NIGC in its agreement(s)

with the Nation and in accordance with the terms of this Section. Pursuant

to the NIGC Fine Agreement approved by the General Council, the fine
Title 15 - Page 78

payments to NIGC shall be reviewed further for reduction or abatement at

the end of the eighteen (18) months from the signing of the agreement by

both parties.

(3) “Adjusted Net Profit” shall mean “Net Gaming Revenue” as that term is

defined in Section 502(a)(2) minus Compact Fees, the NIGC Fine

Payment, until it is satisfied (whether paid to NIGC or to the Nation),

depreciation, and fees assessed by BCR. (Net Gaming Revenue -

(Compact Fee + NIGC Fine + depreciation +Tees assessed by BCR) =

Adjusted Net Profit.) Once the NIGC Fine is satisfied, the definition of

operating costs as defined in Section 501(a)(2) shall continue to apply for

purposes of the monthly calculations of Adjusted Net Profit, and for

purposes of calculating the amount of the regulatory fee payable to NIGC

on a quarterly basis or on such schedule as the NIGC may specify by rule.

(b) Prior to the monthly distribution of Adjusted Net Profit, the accounting entity(ies)

shall transfer the amount calculated for the Compact Fee, the NIGC Fine (until satisfied), and the

regulatory fees payable to the SNGA, and the State from the gaming depository account into

segregated account(s) and from such account(s), the accounting entity(ies) shall remit such

amounts payable to the SNGA, State of Oklahoma, and the NIGC in accordance with the

schedules specified in the Compact and by the Agreement with the NIGC, respectively, and, in

accordance with subsection (c) of this Section in relation to the SNGA.

(c) The budget for SNGA shall be subject to General Council approval in the budget

process and shall be paid from the Seminole Nation Gaming Vendor/Gaming Operator Tribal

Fee Code pursuant to Section 5.05 of Title 30 of the Seminole Nation Code of Laws, but which

fee shall not be intended to cover SNGA’s costs of surveillance, which shall be paid by the

Gaming Operation pursuant to Section 106(d) of this Title. The SNGA shall be responsible for

administering its budget, provided that it shall provide the Chief and the General Council an

annual accounting of expenditures.

(d) On the 15th of each month, the accounting entity(ies) shall remit to the Treasurer

of the Seminole Nation eighty percent (80%) of the Adjusted Net Profit from gaming, which

shall constitute the Nation’s share. The Nation’s share shall be applied in accordance with an

approved General Council resolution to fund tribal government or programs; to provide for the

general welfare of the Nation and its members; to promote tribal economic development; to

donate to charitable organizations; and to fund operations of government agencies of the

Seminole Nation.

(e) The remaining twenty percent (20%) of the Adjusted Net Profit shall be retained

and used by the Seminole Nation Gaming Enterprise for any purpose authorized by Title 8 of the

Seminole Nation Code of Laws.

[HISTORY: Enacted by TO 86-2; amended by TO 91-08, August 29, 1991;

codified by TO 91-12, November 16, 1991; amended by TO 01-09, September 29,

2001; amended by TO 2003-20, November 8, 2003; stricken and amended by TO

04-30, December 4, 2004; amended by TO 08-03, March 1, 2008; amended by
Title 15 - Page 79

TO 08-06, April 8, 2008; amended by TO 09-08, June 6, 2009; superseded by TO

11-11, October 29, 2011; NIGC approved February 9, 2012 modified on March 4,

2017 pursuant to authority granted by SNC Title 21, § 203; acknowledged by TR

17-27; NIGC approved May 17, 2017; amended by TO 17-06, July 29, 2017;

NIGC approved _________________.]