V1, 41

KAW NATION

Drawer 50

Kaw City, OK 74641

580) 269- 2552 phone

866) 404- 5297 toll free

580) 269- 2301 fax

www. kawnation. com

KAW NATION TRIBAL COUNCIL

RESOLUTION 21- 74

A RESOLUTION TO AMEND THE KAW NATION GAMING ORDINANCE

WHEREAS, the Kaw Nation is federally recognized Indian tribe, whose inherent sovereignty

has existed since time immemorial; and

WHEREAS, the Supreme law ofthe Kaw Nation is the Constitution ofthe Kaw Nation, adopted

and ratified on August 20, 2011, as amended on April 29, 2016; and

WHEREAS, the Constitution delegates authority to the Kaw Nation Tribal Council to serve as

legislative body of the Kaw Nation and to act in and on all matters and subjects

upon which the Kaw Nation is empowered to act, now or in the future; and

WHEREAS, the Kaw Nation Tribal Council has the duty and responsibility to act in the best

interest of the Kaw Nation; and

WHEREAS, the Kaw Nation Gaming Ordinance was amended in 2016 and approved by the

National Indian Gaming Commission which currently provides for one ( 1) Gaming

Commissioner; 

WHEREAS, the Kaw Nation Tribal Council, desires to amend the Kaw Nation Gaming

Ordinance to change the number of Gaming Commissioners from one ( 1) to three

3), and to make other accompanying amendments as set forth in the attached

redline amendment, in order to improve the overall operation and regulation of the

Kaw Nation gaming establishments; 

THEREFORE, BE IT RESOLVED, that the Kaw Nation Tribal Council hereby approves and

authorizes amendments to the Kaw Nation Gaming Ordinance changing the number of Gaming

Commissioners from one ( 1) to three ( 3), and making other accompanying amendments as set forth

in the attached redline; 
Resolution 21- 74

Page 2

BE IT FURTHER RESOLVED, that this amendment to the Kaw Nation Gaming Ordinance

shall be submitted to the National Indian Gaming Commission for approval and shall not take

effect until approved by the National Indian Gaming Commission and published in the Federal

Register. 

CERTIFICATION

I, Lynn Williams, Chair of the Kaw Nation Tribal Council, do hereby certify that said resolution

was approved and adopted on the 13 day of November, 2021 as an official act by quorum vote of

the Kaw Nation Tribal Council and the vote was: & for; Q against; S2 abstention, and 0

absent. 

For Against Abstain Absent

Cheri Dunn

Robert Allen X

Wesley Pappan

Debbie Lewman X

Kimberly Jenkins K

James Pepper Henry

Lyme illiams, Chair

ATTEST: q y 1 1 - ]" 

Kimberly Jenkins, ib ouncil Secretary
Kaw Nation

GAMING ORDINANCE

zon

A-ANZN

Approved by Tribal Council on November 13, 2021, Res. 21- 74

Will be sent to NIGC for appoval
Table of Contents to Gaming Ordinance

Contents

Section1. Purpose........................................................................................................................ 1

Section2. Applicability................................................................................................................ 1

Section3. Definitions................................................................................................................... 1

Section4. Gaming Authorized...................................................................................................... 4

Section5. Ownership of Gaming.................................................................................................. 4

Section 6. Use of Net Gaming Revenues...................................................................................... 5

Section7. Per Capita Payments.................................................................................................... 5

Section8. Gaming Commission................................................................................................... 5

Section9. Audits........................................................................................................................ 11

Section 10. Environment and Public Health and Safety............................................................ 11

Section 11. Patron Dispute Resolution...................................................................................... 11

Section12. Facility Licenses..................................................................................................... 11

Section 13. Agent for Service of Process.................................................................................. 12

Section 14. Required Application Forms.................................................................................. 12

Section15. Privacy Notice........................................................................................................ 13

Section16. License Fees........................................................................................................... 14

Section17. Fingerprints............................................................................................................ 14

Section 18. Background Investigations..................................................................................... 14

Section 19. Procedures for Conducting Background Investigations.......................................... 15

Section 20. Investigative Reports.............................................................................................. 16

Section 21. Eligibility Determinations...................................................................................... 17

Section 22. Notice of Results of Background Investigations..................................................... 17

Section 23. Granting Gaming Licenses..................................................................................... 18

Section 24. Denying Gaming Licenses..................................................................................... 18

Section 25. Gaming License Suspensions and Revocations...................................................... 19

Section 26. Appeal of a License Denial or Revocation............................................................. 20

Section 27. Records Retention.................................................................................................. 20

Section 28. Licenses for Vendors.............................................................................................. 21

Section 29. Submission of a Vendor License Application........................................................ 21
Section 30. Contents of the Vendor License Application ............................ 

Section 31. Vendor Background Investigations .......................................... 

Section 32. Vendor License Fees................................................................ 

Section 33. Vendor Background Investigation Reports ............................... 

Section 34. Assessment............................................................................... 

Section 35. Compliance with Federal Law .................................................. 

Section36. Repeal...................................................................................... 

Section 37. Amendments............................................................................ 

Section38. Severability .............................................................................. 

Section 39. Consent to Jurisdiction............................................................. 

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Kaw Nation Gaming Ordinance

Section 1. Purpose

The Tribal Council of the Kaw Nation (" Tribe"), empowered by the Kaw Nation Constitution to

enact ordinances, hereby enacts this ordinance in order to govern and regulate the operation of all

forms of gaming and gaming operations on the Tribe' s Indian lands. 

Section 2. Applicability

Unless specifically indicated otherwise, all provisions of this ordinance shall apply to all gaming

on the Tribe' s Indian lands. 

Section 3. Definitions

The following terms shall have the same meaning and effect as those same terms are defined in

the Indian Gaming Regulatory Act (" IGRA"), 25 U. S. C. §§ 2701 et seq., and the National Indian

Gaming Commission (" NIGC") regulations, 25 C. F. R. §§ 500 et seq., ifthey are defined in

IGRA and the NIGC' s regulations. 

A. Applicant. Any person, partnership, corporation, joint venture or other entity

applying for, or requesting renewal of, any license described in or required by this

Ordinance. 

B. Application. A request for the issuance or renewal of a license described by this

Ordinance. 

C. Chair. The Chair of the Kaw Nation Gaming Commission. 

D. Class I

gaming. " Class I gaming" means: 

1. Social games played solely for prizes of minimal value; or

2. Traditional forms of Indian gaming when played by individuals in

connection with tribal ceremonies or celebrations. 

E. Class II gaming. Class II Gaming as defined by 25 U. S. C. § 2703( 7) and 25

C. F. R. § 502. 3, and any regulations promulgated thereunder. 

F. Class III gaming. Class III Gaming as defined by 25 U. S. C. § 2703( 8) and 25

C. F.R. §502. 4, and any regulations promulgated thereunder. 

G. Commission. The Kaw Nation Gaming Commission established to perform

regulatory oversight and to monitor compliance with tribal, federal, and

applicable state regulations. 

H. Commissioner. Any member of the Kaw Nation Gaming Commission. 

H
I. Compact. The Tribal State Compact, including all renewals, amendments, 

appendices, exhibits and other attachments thereto for the Kaw Nation and the

State of Oklahoma providing for the conduct of Class III Gaming by the Kaw

Nation under 25 U. S. C. § 2710( d). 

J. Council. The Tribal Council of the Kaw Nation. 

K. Director. A member of the Kaw Gaming, Inc. Board of Directors. 

L. Gaming device. Any equipment or mechanical, electromechanical or electronic

contrivance, component or machine, used remotely or directly in connection with

any gaming which affects the result of a wager by determining or predicting the

outcome of such game or the odds of winning or losing such game. The term

shall be broadly construed to promote the purposes of this Ordinance and shall

also include any devices, machines, components or contrivances which do or are

capable of affecting, in any way, the playing of any gaming. 

M. Facility License. A separate license issued by the Gaming Commission to each

place, facility or location on Indian lands where the Tribe elects to allow gaming. 

N. Gaming Commission Employee. An employee under the supervision and

authority of the Kaw Nation Gaming Commission, such as a background

investigator or internal control auditor. 

O. Gaming Establishment. Any premises where gaming is operated or conducted

on Tribal Indian land, and includes all buildings, improvements, appurtenances, 

equipment and facilities used or maintained in connection with such gaming. 

P. Gaming Operation. Each business entity owned by the Tribe, operates the

games, receives the revenues, issues the prizes, and pays the expenses. A gaming

operation may be operated by the Tribe directly; by a management contractor; or, 

under certain conditions, by another person or entity. 

Q. Indian lands. 

Land within the limits of an Indian reservation; or

2. Land over which an Indian tribe exercises governmental power and that is

either: 

a. Held in trust by the United States for the benefit of any Indian tribe

or individual; or

b. Held by an Indian tribe or individual subject to restriction by the

United States against alienation. 

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R. Key Employee. 

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

a. Bingo caller; 

b. Counting room supervisor; 

C. Chief of security; 

d. Custodian of gaming supplies or cash; 

e. Floor manager; 

f. Pit boss; 

g. Dealer; 

h. Croupier; 

i. Approver of credit; or

j. Custodian of gambling devices, including persons with access to

cash and accounting records within such devices; 

2. If not otherwise included, any other person whose total cash compensation

is in excess of $50,000 per year; 

3. If not otherwise included, the four most highly compensated persons in the

gaming operation; or

4. Any other person designated by the Commission as a key employee. 

S. License. Any authorization granted by the Commission, pursuant to this

Ordinance, to any person, which is required for such person to perform certain

acts or engage in certain activities. The issuance of a license shall not create a

property or liberty interest in such license for the benefit of the licensee. 

T. Licensee. A tribally owned gaming operation or a person licensed by the Tribal

Gaming Commission as a primary management official, key employee or other

gaming employee under the provisions of this ordinance. 

U. Management Contract. Any contract, subcontract or collateral agreement

between an Indian tribe and a contractor or between a contractor and a

subcontractor if such contract or agreement provides for the management of all or

part of a gaming operation. 

V. Net Revenues. Gross gaming revenues of an Indian gaming operation less: 

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

2. Total gaming -related operating expenses, including all those expenses of

the gaming operation commonly known as operating expenses and non - 

operating expenses consistent with professional accounting

pronouncements, excluding management fees. 

W. NIGC. The National Indian Gaming Commission. 

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X. Non -key Employee. All other persons who perform any functions not designated

as a Key Employee or Primary Management Official. 

Y. Ordinance. The Kaw Nation Tribal Gaming Ordinance, as amended from time to

time and any rules promulgated by the Kaw Nation Gaming Commission. 

Z. Person. Any association, partnership, corporation, firm, trust, or other form of

business association or entity, as well as a natural person. 

AA. Primary Management Official. 

1. The person( s) having management responsibility for a management

contract. 

2. Any person who has authority: 

a. To hire and fire employees; or

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

C. The chief financial officer or other person who has financial

management responsibility. 

3. Any other person designated by the Commission as a primary

management official. 

BB. Secured Area. An area, room, group of rooms, space, or other segment of or

within a gaming facility or other building with both physical and personal security

controls sufficient to protect confidential or protected information or tribal assets. 

CC. Tribe. " Tribe" means the Kaw Nation. 

DD. Vendor of gaming goods and services. Any person who manufactures, sells, 

leases, distributes, supplies or makes modifications to, any gaming device of the

Tribe and all persons holding any direct or indirect financial interest in such

gaming device supplier. 

Section 4. Gaming Authorized

Class II and/ or class III gaming are authorized to be conducted on the Tribe' s Indian lands, if

such gaming is conducted in accordance with this ordinance, the Indian Gaming Regulatory Act, 

the NIGC' s regulations, and any other applicable laws or regulations. 

Section 5. Ownership of Gaming

The Tribe shall have the sole proprietary interest in and responsibility for the conduct of any

gaming operation authorized by this ordinance, unless the Tribe elects to allow individually

owned gaming. 

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Section 6. Use of Net Gaming Revenues

Net revenues from Tribal gaming shall be used only for the following purposes: 

1. To fund Tribal government operations or programs; 

2. To provide for the general welfare of the Tribe and its members; 

3. To promote Tribal economic development; 

4. To donate to charitable organizations; or

5. To help fund operations of local government agencies. 

Section 7. Per Capita Payments

Net revenues from any gaming activities conducted or licensed by the Tribe may be used to

make per capita payments to Tribal members if1. The Tribe has prepared a plan to allocate revenues to one or more of the

five uses authorized by section 6 of this ordinance; and, 

2. The plan is approved by the Secretary of the Interior as adequate, 

particularly with respect to the uses described in sections 6( 1) and 6( 3) of

this ordinance; 

3. The interests of minors and other legally incompetent persons who are

entitled to receive any of the per capita payments are protected and

preserved, and the per capita payments are disbursed to the parents or

legal guardian of such minors or legal incompetents in such amounts as

may be necessary for the health, education, or welfare of the minor or

other legally incompetent person; and, 

4. The per capita payments are subject to Federal taxation and the Tribe

notifies its members of such tax liability when payments are made. 

Section 8. Gaming Commission

A. The Tribe hereby establishes a Tribal Gaming Commission (" Commission") to

regulate the Tribe' s gaming operations. The Commission shall consist ofthree ( 3) 

members, including a Chair, Vice -Chair and one additional member. 

B. The Commission will conduct oversight to ensure compliance with Tribal, federal

and, if applicable, state laws and regulations. It will serve as the licensing

authority for individuals employed in the gaming operation and will administer

background investigations as part of the licensing process. The Commission will

also have a role in monitoring compliance with the gaming operation' s internal

controls and in tracking gaming revenues. In order to carry out its regulatory

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duties, the Commission shall have unrestricted access to all areas of the gaming

operation and to all of its records. The Commission shall have authority to take

enforcement actions, including suspension or revocation of an individual gaming

license, when appropriate. The Commission shall have a Secured Area for its

operations. 

C. Commissioner positions shall be filled through selection and appointment by the

Tribal Council. The Tribal Council may suspend or remove any Commissioner for

cause. The Commissioner would be entitled to appeal the suspension and removal

and notice and an opportunity to be heard before the Tribal Council and a hearing

shall be provided. Tribal Council' s determination on appeal is final. During such

suspension, the Tribal Council may appoint a qualified person to act in the

suspended Commissioner' s place. Further, should any vacancy occur in the

position of a Commissioner, the selection process shall be initiated by the Tribal

Council and the un- expired portion of the Commissioner' s term shall be filled

through selection and appointment by the Tribal Council. 

D. The term of office for each Commissioner shall be three ( 3) years and the

Commissioners can be reappointed for additional terms. 

E. The following persons are not eligible to serve as Commissioners: Tribal Council

members, Executive Officers of the Tribal Council, while serving as such; current

employees of the gaming operation; gaming contractors (including any principal

of a management, or other, contracting company); and persons ineligible to be key

employees or primary management officials. Any person previously convicted of

any felony will not be allowed to serve as a Commissioner. Any person

previously convicted of a misdemeanor offense of embezzlement, theft or any

other offense related to money or honesty, such as fraud, will only be allowed to

serve as a Commissioner ifthe Tribal Council specifically finds that a significant

amount of time has passed and the person is now of trustworthy character. The

Tribal Council shall require a criminal history check for each Commissioner

candidate; shall review the candidate' s criminal history check results; and shall

make an appropriate eligibility determination within 30 days of appoint to the

position ofCommissioner. The Commissioner will have a temporary appointment

until a determination of suitability. 

F. The Tribe recognizes the importance of an independent Tribal Gaming

Commission in maintaining a well -regulated gaming operation. The Commission

shall be independent of, and act independently and autonomously from, the Tribal

Council in all matters within its purview. No prior, or subsequent, review by the

Tribal Council of any actions of the Commission shall be required or permitted

except as otherwise explicitly provided in this ordinance. To avoid potential

conflicts of interest between the operation and regulation of the gaming facility, 

the Tribe requires that, at a minimum: 

1. No member of the Tribal Council or Gaming Board of Directors may

serve on the Tribal Gaming Commission; 

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2. Members of the Commission are prohibited from gambling in the facility; 

3. A Commissioner is prohibited from accepting complimentary items from

the gaming operation and suppliers of gaming goods and services, unless

of reasonable value and all complimentary items received shall be reported

to the Tribal Council on the monthly report to the Tribal Council. 

4. A Commissioner may only be removed from office by the Tribal Council, 

prior to the expiration of their respective terms, for neglect of duty, 

misconduct, malfeasance or other acts that would render a Commissioner

unqualified for the position. 

G. Nominees for Commissioner positions must satisfy the eligibility standards set

forth for primary management officials and key employees found in Section 21 of

this ordinance. All requisite background investigations shall be performed under

the direction of the Kaw Nation Police Department. 

H. The Tribal Gaming Commission shall: 

1. Review and approve all investigative work conducted including those in

connection with the background investigations of primary management

officials, key employees and non -key employees; 

2. Make licensing eligibility determinations, which shall be signed by the

Chair of the Commission; 

3. Issue gaming licenses to primary management officials, key employees

and non -key employees of the operation, if warranted by the eligibility

determination; 

4. Approve standards for licensing Tribal gaming facilities; 

5. Issue facility licenses to gaming facilities; 

6. Ensure compliance with all Tribal, state and federal laws, rules and

regulations regarding Indian gaming, if applicable; 

7. Hold hearings on patron complaints, in accordance with procedures

established in this ordinance and the Tribal gaming regulations; 

8. Approve regulations necessary to comply with applicable internal control

standards; 

9. Approve regulations on the levying of fees and/ or taxes associated with

gaming license applications; 

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10. Approve regulations on the levying of fines and/ or the suspension or

revocation of gaming licenses for violations of this ordinance or any

Tribal, federal or state gaming regulations, if applicable; 

11. Approve regulations for enforcing voluntary exclusions; 

12. Approve a list of regulatory authorities that conduct background

investigations of, and license, vendors who are recognized as trustworthy; 

13. Perform such other duties the Commission deems appropriate for the

proper regulation of the Tribal gaming operation; 

14. Approve such regulations and guidelines to implement the provisions of

this ordinance, so long as they are in furtherance of, and not in conflict

with, any provisions of this Ordinance; 

15. Have a representative of the Gaming Commission at the quarterly General

Council meeting, when requested by the Tribal Council; and

16. Maintain a Secured Area to ensure the security of fingerprint submissions

and personal information in licensing files. 

I. The Office of the Tribal Gaming Commission, with the ultimate responsibility

being placed on the Gaming Commission, shall: 

Conduct background investigations, or cause such investigations to be

conducted, for primary management officials; key employees and non -key

employees; 

2. Create and maintain investigative reports based on the background

investigations of primary management officials; key employees and non - 

key employees; 

3. Obtain and process fingerprints, or designate a law enforcement agency to

obtain and process fingerprints, in accordance with applicable policies and

in a manner that ensures confidential information is secured and protected; 

4. Submit a notice of results to the NIGC of the background investigations

done for each primary management official; key and non -key employee

applicant; 

5. Establish standards for licensing Tribal gaming facilities; 

6. Inspect, examine and monitor all of the Tribe' s gaming activities, and

have immediate access to review, inspect, examine, photocopy and audit

all records of the gaming establishment, not including records maintained

by Human Resources; 
7. Ensure compliance with all Tribal, state and federal laws, rules and

regulations regarding Indian gaming, if applicable; 

8. Investigate any suspicion of wrongdoing associated with any gaming

activities; 

9. Comply with any and all reporting requirements under IGRA, the NIGC' s

regulations and any tribal -state compact to which the Tribe is a party, and

any other applicable law; 

10. Draft and issue regulations necessary to comply with applicable internal

control standards; 

11. Draft and issue regulations on the levying of fees and/ or taxes associated

with gaming license applications; 

12. Draft and issue regulations on the levying of fines and/ or the suspension or

revocation of gaming licenses for violations of this ordinance or any

Tribal, federal or state gaming regulations, if applicable; 

13. Establish a list of persons not allowed to game in the Tribe' s gaming

facilities in order to maintain the integrity of the gaming operation; 

14. Establish a list of persons who have voluntarily agreed to be excluded

from the Tribal gaming facility, and create regulations for enforcing the

exclusions; 

15. Provide referrals and information to the appropriate law enforcement

officials when such information indicates a violation of Tribal, federal or

state statutes, ordinances, regulations, codes or resolutions; 

16. Create a list of regulatory authorities that conduct background

investigations of, and license, vendors who are recognized as trustworthy; 

17. Draft regulations exempting vendors from the licensing and/ or background

investigation requirements ifthey have received a license from a

recognized regulatory authority; 

18. Perform such other duties the Commission deems appropriate for the

proper regulation of the Tribal gaming operation; and

19. Draft such regulations and guidelines to implement the provisions of this

ordinance, so long as they are in furtherance of, and not in conflict with, 

any provisions of this Ordinance. 

20. Provide and supervise a surveillance department and provide surveillance

services at all gaming enterprises. 

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Before adopting, amending and repealing regulations, the Commission shall give

notice of any such proposed action to the Tribal Council, the gaming operation( s) 

and all other persons whom the Commission has reason to believe have a

legitimate interest in the proposed action. The notice shall invite comments and

describe the general nature of the proposed action and the manner in which

comments on the proposed action shall be received by the Commission. All rules, 

regulations, policies and procedures, and tribal internal control standards shall be

filed in the Office ofthe Tribal Secretary. 

K. The Commission shall ensure that all records and information obtained as a result

of a background investigation for licensing shall remain confidential and shall not

be disclosed to any persons who are not directly involved in the licensing

processes. Information obtained during the course of an employee background

investigation shall be disclosed to members of management, human resource

personnel and/ or others employed by the Tribal gaming operation on a need -to - 

know basis, for actions taken in their official capacities, provided that such

disclosure is not inconsistent with applicable Criminal Justice Information

Security and Criminal History Record Information policies. 

L. The confidentiality requirements in Section 8( K), above, do not apply to requests

for such records or information from any Tribal, federal, or state law enforcement

or regulatory agency, or for the use of such records or information by the

Commission and staff in the performance of their official duties. 

M. The Commissioners shall be compensated at a level determined by the Tribal

Council. In order to ensure the Commission is not improperly influenced, a

Commissioner' s compensation shall not be based on a percentage of gaming

revenue. 

N. The Commission shall keep a written record of all its meetings and the Gaming

Commission meeting minutes shall be filed with the Tribal Secretary. 

O. The Commission shall establish a budget for its operations that shall be approved

by the Tribal Council. 

P. The Commission shall make monthly written reports to the Tribal Council due by

the noon the Friday preceding the regular monthly Tribal Council Meeting. Such

reports shall contain the following information: 

1. Number and type of licenses issued during the previous month; 

2. Information regarding denials, suspensions and revocations; 

3. A report ofthe Commission expenditures for the prior quarter

4. A summary of any Commission travel and training; 

5. All complimentary items received by a Commissioner; 

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6. All other information which the Commission deems relevant in order to

keep the Council informed and current on all gaming regulatory matters. 

Q. A majority of the Commission shall constitute a quorum. The concurrence of a

majority of the Commissioners shall be required for any final determination by

the Commission. The Commission may act in its official capacity, even if there

are vacancies on the Commission. 

Section 9. Audits

A. The Tribe shall cause to be conducted independent audits of gaming operations

annually and shall submit the results of those audits to the NIGC. Annual audits

shall conform to generally accepted auditing standards ( GAAP). 

B. All gaming -related contracts that result in the purchase of supplies, services or

concessions for more than $25, 000 in any year (except contracts for professional

legal and accounting services) shall be specifically included within the scope of

the audit conducted under Section 9( A) of this ordinance. 

C. Copies of the annual audit of each licensed gaming operation, and each audit for

supplies, services or concessions of each gaming operation, shall be furnished to

the NIGC within 120 days after the end of each fiscal year of the gaming

operation. 

Section 10. Environment and Public Health and Safety

Each gaming facility shall be constructed, maintained, and operated in a manner that adequately

protects the environment and the health and safety of the public. 

Section 11. Patron Dispute Resolution

The Gaming Commission shall conduct patron dispute resolutions in accordance with the Kaw

Nation and State of Oklahoma Tribal State Compact and other applicable laws. 

Section 12. Facility Licenses

A. The Tribe shall issue a separate license to each place, facility or location on

Indian lands where gaming is conducted under this ordinance. 

B. The Tribal Gaming Commission is responsible for issuing new or renewed facility

licenses to each place, facility or location. 

C. The Tribal Gaming Commission shall identify the environmental, health and

public safety standards with which the place, facility or location must comply, and

specify the form, conditions and content of a facility license application. The

Commission shall require the facility to submit: 

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1. A legal description of the lands upon which the facility is located, and a

certification that the site constitutes " Indian lands," as defined in IGRA, 

the NIGC' s regulations, NIGC Office of General Counsel and DOI

Solicitor Offices' Indian lands legal opinions, judicial decisions and any

other applicable law. 

D. The Tribal Gaming Commission shall only issue a facility license if the facility

provides the required information and documentation, and sufficiently satisfies

any additional conditions deemed necessary by the Commission. 

E. The Tribe or the Gaming Commission shall submit to the NIGC Chair a notice

that issuance of a facility license is under consideration by the Tribal Gaming

Commission. This notice must be submitted at least 120 days before the opening

of any new place, facility or location on Indian lands where gaming will occur. 

F. The Tribal Gaming Commission shall submit a copy of each newly issued or

renewed facility license to the NIGC Chair within 30 days of issuance, along with

any other required documentation. 

G. The Tribe shall notify the NIGC Chair within 30 days if a facility license is

terminated or expires, or if a gaming place, facility, or location closes or reopens. 

Section 13. Agent for Service of Process

The Commission designates the Kaw Nation Attorney General as the agent for service of any

official determination, order or notice of violation. The Attorney General shall promptly report

any such service to the Commission and shall promptly provide the Commission with a copy of

any complaints or other documents served. 

Section 14. Required Application Forms. 

A. The Kaw Nation Gaming Commission shall require any applicant for any type of

gaming license to provide: 

1. Application for gaming license by individual, if applicable, or application, 

for gaming license by contract or entry, including management; 

2. Personal history record, with attached personal financial questionnaire; 

3. One complete fingerprint card or digital fingerprint submission; and, 

4. Request to release information — individual or entity. 

B. The Commission may request any additional forms or information from an

application, as it deems necessary or appropriate. 

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C. The Commission shall create an individual file for each applicant, which includes

the applicant' s personal history record, and all background information compiled

by the Commission. 

D. Applicants and licensees shall have a continuing duty to provide any materials, 

assistance or other information required by the Commission. If any information

provided on the application changes or becomes inaccurate in any way, the

applicant or licensee shall promptly notify the Commission of such changes or

inaccuracies. 

Section 15. Privacy Notice

A. The following notice shall be placed on the Tribe' s license application form for a

non -key, key employee or a primary management official before it is filled out by

an applicant: 

In compliance with the Privacy Act of 1974, the following information is

provided: Solicitation of the information on this form is authorized by 25 U.S. C. 

2701 et seq. The purpose of the requested information is to determine the

eligibility of individuals to be granted a gaming license. The information will be

used by the Tribal gaming regulatory authorities and by the National Indian

Gaming Commission members and staff who have need for the information in the

performance of their official duties. The information may be disclosed by the

Tribe or the NIGC to appropriate Federal, Tribal, State, local, or foreign law

enforcement and regulatory agencies when relevant to civil, criminal or regulatory

investigations or prosecutions or when pursuant to a requirement by a tribe or the

NIGC in connection with the issuance, denial, or revocation of a gaming license, 

or investigations of activities while associated with a tribe or a gaming operation. 

Failure to consent to the disclosures indicated in this notice will result in a tribe

being unable to license you for a primary management official or key employee

position. 

The disclosure of your Social Security Number ( SSN) is voluntary. However, 

failure to supply a SSN may result in errors in processing your application. 

B. The following additional notice shall be placed on the application form for a key

employee or a primary management official before it is filled out by an applicant: 

A false statement on any part of your license application may be grounds for

denying a license or the suspension or revocation of a license. Also, you may be

punished by fine or imprisonment ( U.S. Code, title 18, section 1001). 

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Section 16. License Fees

The Commission may charge a license application fee, to be set by the Tribal Gaming

Commission, to cover its expenses in investigating and licensing non -key employees, key

employees and primary management officials of the gaming operation. 

Section 17. Fingerprints

The Gaming Commission shall perform a background investigation for each primary

management official, key employee and non -key employee of the gaming operation. The

Commission shall request fingerprints from each primary management official and key

employee. Fingerprints shall be taken by the Gaming Commission. Fingerprints will be

forwarded to the Federal Bureau of Investigation (" FBI"), through the NIGC where applicable, 

for processing and the National Criminal Information Center to determine the applicant' s

criminal history, if any and reported to NIGC. 

Section 18. Background Investigations

A. The Gaming Commission shall perform a background investigation for each

primary management official, non -key employee and key employee in its gaming

operation. 

B. The Gaming Commission is responsible for conducting the background

investigations of primary management officials; key and non -key employees. 

C. The Gaming Commission shall obtain from each primary management official, 

key employees and non -key employees all of the following information: 

1. Full name, other names used ( oral or written), social security number, 

birth date, place of birth, citizenship, gender and all languages spoken

and/ or written); 

2. Currently, and for the previous five ( 5) years, business and employment

positions held, ownership interests in those businesses, business and

residential addresses, and driver' s license numbers; 

3. The names and current addresses of at least three ( 3) personal references, 

including one ( 1) personal reference who was acquainted with the

applicant during each period of residence listed under paragraph ( C)( 2) of

this section; 

4. Current business and residential telephone numbers, and all cell phone

numbers; 

5. A description of any existing and previous business relationships with

other tribes, including any ownership interests in the businesses; 

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6. A description of any existing and previous business relationships with the

gaming industry generally, including ownership interests in the

businesses; 

7. 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; 

8. 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 of

disposition, if any; 

9. 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 of

disposition, if any; 

10. For each criminal charge ( excluding minor traffic charges), whether or not

there is a conviction, if such criminal charge is within 10 years of the date

of the application, and is not otherwise listed pursuant to paragraphs

C)( 8) or (C)( 9) of this Section, the criminal charge, the name and address

ofthe court involved, and the date of disposition, if any; 

11. The name and address of any licensing or regulatory agency with which

the person has filed an application for an occupational license or permit, 

whether or not such license or permit was granted; 

12. A photograph; 

13. Any other information the Commission deems relevant; and

14. Fingerprints obtained in accordance with procedures adopted by the

Commission pursuant to 25 C. F. R. § 522. 2( h). 

D. When a primary management official, non -key or key employee is employed by

the Tribe, a complete application file, containing all of the information listed in

Section 18( c), shall be maintained. 

Section 19. Procedures for Conducting Background Investigations

A. The Gaming Commission, or its agent, shall employ or engage an investigator to

conduct a background investigation of each applicant for a primary management

official; key and non -key employee position. The investigation must be sufficient

to allow the Gaming Commission to make an eligibility determination under

Section 22 of this ordinance. The investigator shall: 

Verify the applicant' s identity through items such as a social security card, 

driver' s license, birth certificate or passport; 

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OF

2. Contact each personal and business reference provided in the license

application, when possible; 

3. Conduct a personal credit check; 

4. Conduct a civil history check for past or outstanding judgments, current

liens, past or pending lawsuits, and any other information deemed to be

relevant; 

5. Conduct a criminal history records check by submitting the applicant' s

fingerprints to the NIGC, FBI or to another law enforcement agency for

forwarding to the FBI to perform a criminal history records check utilizing

the FBI' s data base; 

6. Based on the results of the criminal history records check, as well as

information acquired from an applicant' s self -reporting or from any other

source, obtain information from the appropriate court regarding any past

felony and/ or misdemeanor convictions or ongoing prosecutions within

the past 10 years; 

7. Inquire into any previous or existing business relationships with the

gaming industry, including with any tribes with gaming operations, by

contacting the entities or tribes; 

8. Verify the applicant' s history and current status with any licensing agency

by contacting the agency; and

9. Take other appropriate steps to verify the accuracy ofthe information, 

focusing on any problem areas noted. 

Section 20. Investigative Reports

A. The Gaming Commission shall create and maintain an investigative report for

each background investigation of a primary management official, non -key or key

employee. 

B. Investigative reports shall include all ofthe following information: 

1. Steps taken in conducting the investigation; 

2. Results obtained; 

3. Conclusions reached; and

4. The basis for those conclusions. 

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Section 21. Eligibility Determinations

A. Before a license is issued to a primary management official, key employee or non - 

key employee or Gaming Commission employee, the Commission shall make a

finding concerning the eligibility of that person for receiving a gaming license by

reviewing the applicant' s prior activities, criminal record, if any, and reputation, 

habits and associations. 

B. If the Commission, in applying the standards adopted in this ordinance, 

determines that licensing the person 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 and/ or activities in the conduct of gaming, he

or she shall not license that person in a key employee or primary management

official position. 

C. Copies of the eligibility determination shall be included with the notice of results

that must be submitted to the NIGC before the licensing of a primary management

official or key employee. 

Section 22. Notice of Results of Background Investigations

A. Before issuing a license to a primary management official or key employee, the

Gaming Commission shall prepare a notice of results of the applicant' s

background investigation to submit to the NIGC. 

1. The notice ofresults must be submitted to the NIGC no later than 60 days

after the applicant begins working for the Casino. 

B. The notice of results shall include the following information: 

The applicant' s name, date of birth, and social security number; 

2. The date on which the applicant began, or will begin, working as a

primary management official or key employee; 

3. A summary of the information presented in the investigative report, 

including: 

a. licenses that have previously been denied; 

b. gaming licenses that have been revoked, even if subsequently

reinstated; 

C. every known criminal charge brought against the applicant within

the last 10 years of the date of the application; and

d. every felony offense of which the applicant has been convicted or

any ongoing prosecution; and

4. A copy ofthe eligibility determination made in accordance with Section

21. 

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Section 23. Granting Gaming Licenses

A. All primary management officials, key and non -key employees of the gaming

operation and all Gaming Commission employees must have a gaming license

issued by the Gan igCommiissiori

B. The Gaming Commission is responsible for granting and issuing gaming licenses

to primary management officials, non -key and key employees and all Gaming

Commission employees. 

C. The Gaming Commission may license a primary management official or key

employee applicant after submitting a notice of results of the applicant' s

background investigation to the NIGC, as required by Section 22. 

D. The Gaming Commission shall notify the NIGC of the issuance of a license to a

primary management official or key employee within 30 days of issuance. 

E. The gaming operations shall not employ an individual in a primary management

official or key employee position who does not have a license after 90 days of

beginning work at the gaming operation. 

F. The Gaming Commission must reconsider a license application for a primary

management official or key employee ifit receives a statement of itemized

objections to issuing such a license from the NIGC, and those objections are

received within 30 days of the NIGC receiving a notice of results of the

applicant' s background investigation. 

1. The Gaming Commission shall take the NIGC' s objections into account

when reconsidering a license application. 

G. The Gaming Commission will make the final decision whether to issue a license

to an applicant for a primary management official, key or non -key employee

position or a Gaming Commission employee. 

H. Ifthe Gaming Commission has issued a license to a primary management official

or key employee before receiving the NIGC' s statement of objections, notice and

a hearing shall be provided to the licensee, as required by Section 25. 

Section 24. Denying Gaming Licenses

A. The Gaming Commission shall not license a primary management official, key or

non -key employee or Gaming Commission employee ifthe Gaming Commission

determines, in applying the standards in Section 21 for making a license eligibility

determination, that licensing theperson: 

1. Poses a threat to the public interest; 

2. Poses a threat to the effective regulation of gaming; or

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3. Creates or enhances the dangers of unsuitable, unfair or illegal practices, 

methods and/ or activities in the conduct of gaming. 

B. When the Gaming Commission does not issue a license to an applicant for a

primary management official, key or non -key employee position or Gaming

Commission employee, or revokes a previously issued license after

reconsideration, it shall provide the applicant or licensee with notice and hearing

in accordance with Section 25. When the denial or revocation of a license relates

to a primary management official or key employee, the Gaming Commission

shall: 

1. Notify the NIGC; and

2. Forward copies of its eligibility determination and notice of results of the

applicant' s background investigation to the NIGC for inclusion in the

Indian Gaming Individuals Record System. 

Section 25. Gaming License Suspensions and Revocations

A. If, after a license is issued to a primary management official, key or a non -key

employee, or Gaming Commission employee, the Commission receives notice

from the NIGC that the primary management official or key employee is not

eligible for employment or ifthe Gaming Commission denies, suspends or

revokes a license, the Gaming Commission shall do the following: 

1. Immediately suspend the license, if applicable; 

2. Provide the licensee with written notice of the suspension and proposed

revocation, or Commission action; and

3. Provide the licensee with notice of a time and place for a hearing on the

proposed revocation/ action of the license. 

4. The right to a revocation hearing vests only when a license is granted

under an ordinance approved by the NIGC Chair. 

5. Following a revocation hearing, the Commission shall decide whether to

revoke or reinstate the license at issue. 

6. The Commission shall notify the NIGC of its decision to revoke or

reinstate a license within 45 days of receiving notification from the NIGC

that a primary management official or key employee is not eligible for

employment. 

B. Ifthe Gaming Commission denies, suspends or revokes a license issued to a

primary management official, key or a non -key employee, or Gaming

Commission employee for any reason than in accordance with subsection A of

this Section, the Gaming Commission shall do the following: 

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1. Immediately take action on the license, if applicable; 

2. Provide the licensee with written notice of the suspension or Commission

action and the Notice shall notify the licensee that a hearing must be

requested within ten days from the day the Notice is received and failure

to request a hearing in a timely manner shall finalize the Commission

action, and

3. Upon a hearing request by the licensee, the Gaming Commission shall

provide the licensee with notice of a time and place for a hearing on the

action of the license; and the hearing must be held within thirty days from

the date a hearing request is received by the Gaming Commission. 

4. Following the hearing, the Commission shall decide whether to revoke or

reinstate the license at issue. 

5. The Commission shall notify the NIGC of any action taken by the

Commission and notify the NIGC that a primary management official or

key employee is not eligible for employment. 

Section 26. Appeal of a License Denial or Revocation

A. In the event that the Gaming Commission denies or revokes a gaming license, the

applicant or revoked licensee may file an appeal within ten ( 10) days with the Kaw

Nation District Court. If an appeal is not filed timely, the decision of the Kaw

Nation Gaming Commission shall be final. 

B. The Kaw Nation District Court Judge shall review the determination ofthe Gaming

Commission and may overturn the decision if the Kaw Nation District Court finds

the determination to be arbitrary and capricious. 

C. The Decision of the Kaw Nation District Court Judge is final. 

Section 27. Records Retention

A. The Gaming Commission shall retain, in a secure area, for no less than three years

from the date a licensee is terminated or otherwise ceases from providing services

to the Tribal gaming enterprise, gaming facility or Gaming Commission, the

following documentation: 

1. Applications for licensing; 

2. Investigative Reports; and

3. Eligibility Determinations. 

B. The Gaming Commission shall maintain all other records in accordance with the

Tribal Records Retention Policy, including the following: 

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1. Applications, financial statements, fingerprints, contracts, licenses, 

suspension, and cancellation notices and correspondences of all applicants, 

including management entities, key employees, primary management

officials, gaming establishments, and suppliers of gaming goods and

services; 

2. Meeting minutes from all Commission meetings; 

3. Compliance reports; 

4. Reports relating to customer disputes, complaints or other issues that

affect the integrity of the gaming operation; 

5. Commission budget and expenditures; 

6. Tribal Council Communications and correspondences; 

7. NIGC and State Compliance communications and correspondences; 

8. Gaming Device list; and

9. Any other records or documents the Commission deems necessary or

appropriate. 

Section 28. Licenses for Vendors

Vendors of gaming services or supplies, with a value of $25, 000 or more annually, must have a

vendor license from the Tribal Gaming Commission in order to transact business with the Tribal

gaming operation. Contracts for non -gaming vendors, professional legal and professional

accounting services are excluded from this Section. 

Section 29. Submission of a Vendor License Application

In order to obtain a gaming vendor license, the business must complete a vendor application and

submit to background checks of itself and its principals. Principals of a business include those

officers, directors, managers, owners, partners, and non -institutional stockholders that either own

10% or more of the business' stock or are the 10 largest stockholders, as well as the on -site

supervisors or managers designated in an agreement with the gaming facility, if applicable. 

Section 30. Contents of the Vendor License Application

A. Applications for gaming vendor licenses must include the following: 

1. Name of business, business address, business telephone number( s), federal

tax identification number ( or social security number, if a sole

proprietorship), main office address ( if different from business address), 

any other names used by the applicant in business, and type of service( s) 

applicant will provide; 

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2. Whether the applicant is a partnership, corporation, limited liability

company, sole proprietorship or other entity; 

3. If the applicant is a corporation, the state of incorporation; 

4. Trade name, other names ever used and names of any wholly owned

subsidiaries or other businesses owned by the vendor or its principals; 

5. General description of the business and its activities; 

6. Whether the applicant will be investing in, or loaning money to, the

gaming operation, and, if so, how much; 

7. A description of any existing and previous business relationships with the

gaming industry generally, including ownership interests in those

businesses; 

8. A list ofIndian tribes with which the vendor has an existing or previous

business relationship, including ownership, financial or management

interests in any non -gaming activity; 

9. Names, addresses and telephone numbers of three ( 3) business references

with whom the company has regularly done business for the last five ( 5) 

years; 

10. The name and address of any licensing or regulatory agency with which

the business has filed an application for a license or permit related to

gaming, whether or not such license or permit was granted; 

11. Ifthe business has ever had a license revoked for any reason, the

circumstances involved; 

12. A list of lawsuits to which the business has been a defendant, including the

name and address of the court involved, and the date and disposition, if

any; 

13. A list of the principals of the business, their social security numbers, 

addresses, telephone numbers, titles, and percentage of ownership in the

company; and

14. Any further information the Commission deems relevant. 

B. The following notice shall be placed on the application form for a vendor and its

principals: 

Inclusion of false or misleading information in the vendor application may be

grounds for denial or revocation of the Commission' s vendor license. 

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Section 31. Vendor Background Investigations

The Gaming Commission shall employ or otherwise engage an investigator to complete an

investigation of a gaming vendor. This investigation shall include, at a minimum, the following

steps: 

A. Verification of the vendor' s business' incorporation status and qualifications to do

business in the state where the gaming operation is located; 

B. Obtaining a business credit report, if available; 

C. Conducting a check of the vendor' s business' credit history; 

D. Calling and questioning each of the references listed in the vendor application; 

and

E. Conducting an investigation of the principals of the vendor' s business, including

facilitating a criminal history check, obtaining criminal history check results, 

obtaining a credit report, and interviewing the personal references listed. 

Section 32. Vendor License Fees

The Commission may charge a license fee, to be set by the Gaming Commission, to cover its

expenses in investigating and licensing vendors of the gaming operation. 

Section 33. Vendor Background Investigation Reports

The investigator shall complete an investigative report covering each of the steps taken in the

background investigation of the gaming vendor and its principals, and present it to the Gaming

Commission. 

Section 34. Assessment. 

Notwithstanding any provision in this Ordinance or the rules, the Commission is hereby

empowered to comply with all assessments authorized by NIGC. Such assessments shall be

payable solely from funds of gaming operation revenues as an operating expense. 

Section 35. Compliance with Federal Law

The Commission shall comply with all applicable federal laws, including, where applicable, the

Bank Secrecy Act, 31 U. S. C. § 5311 et seq. and the National Crime Prevention and Privacy

Compact Act of 1998, 34 U.S. C. § 40311- 40316. 

Section 36. Repeal

To the extent that they are inconsistent with this ordinance, all prior Kaw Nation gaming

ordinances are hereby repealed. 

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Section 37. Amendments. 

All rules promulgates by the Commission are subject to proper revision, repeal or amendment by

the Commission. All amendments to this Ordinance shall be effective upon the date of passage

by the Tribal Council. 

Section 38. Severability. 

If any provision of this Ordinance, rules or regulations promulgated by the Commission, is found

to be invalid by the Kaw Nation Tribal Court, the full remainder of such provisions shall not be

affected. 

Section 39. Consent to Jurisdiction. 

Any person who applies for a license under this Ordinance, applies for employment in any

gaming establishment, enters into any contract or agreement related to gaming or participates in

any gaming on Indian lands where the Kaw Nation has jurisdiction, shall be deemed to consent

to the civil jurisdiction of the Kaw Nation, the Commission and the Kaw Nation Tribal Court. 

Nothing in this section shall limit the jurisdiction of the Kaw Nation, the Commission or the

Kaw Nation Tribal Court under any circumstances not explicitly contemplated in this Section. 

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