MAR 2 8 2001

STATE OF OKLAHOMA OlrwtOMA SECflETAHy

OF STATE

ABSENTEE SHAWNEE

OFF-TRACK WAGERING COMPACT

Federal Register 1 Vol. 66, No. 87 1 Friday, May 4, 2001 1 Notices 22593

DEPARTMENT OF THE INTERIOR

Bureau of lndian Affairs

lndian Gaming

AGENCY: Bureau of Indian Affairs. Interior.

ACTION: Notice of approved off-track wagering Tribal-State compact.

SUMMARY: Pursuant to section 11 of the Indian Gaming Regulatory Act of 1988 (IGRA). Pub. L. 100-497, 2 5 U.S.C. 2710, the Secretary of the Interior shall publish in the Federal Register, notice of approved Tribal-State Compacts for the purpose of engaging in Class III gaming activities on Indian lands. The Deputy Assistant Secretary-Indian Affairs (Management). Department of the Interior. through his delegated authority, has approved the Tribal-State Compact between the Absentee Shawnee Tribe and the State of Oklahoma, which was executed on March 28, 2001.

DATES: This action is effective May 4, 2001.

FOR FURTHER INFORMATION CONTACT: George T. Skibine. Director, Office of Indian Gaming Management. Bureau of Indian Affairs. Washington. DC 20240. (202) 214-4066.

Dated: May 1,2001.

Jama H. McDivitt, Deputy Assistant Secreta'y-Indian Affairs (Management). [FR Doc. 01-11418 Filed 5-2-01; 8:45 am] BlLUNQ CODE U1042-U

.

TABLE OF CONTENTS - - -- -

-- R E C I T A C S ~ -- -- -

SECTION 1. TITLE

SECTION 2. DECLARATIONS

SECTION 3. DURATION

a. Effective Date

b. Term

C. Duration

SECTION 4. DEFINITIONS

SECTION 5. AUTHORIZED CLASS Ill GAMING

SECTION 6. LOCATIONS

SECTION 7. SERVICE AGREEMENTS

SECTION 8. CLAIMS

a. Procedure

b. Tort Claim

c. Wagering Claim

d. Posting

SECTION 9. REGULATIONS

a. Logs

c. Audit 8

d. Rule Display 8

SECTION 10. ENFORCEMENT 8

a. Absentee Shawnee Gaming Commission 8

b. Investigation and Sanctions

c. Reporting

d. Meetings

SECTION 11. MONITORING

a. Access to Records

b. Notification

SECTION 12. CRIMINAL JURISDICTION

SECTION 13. EMPLOYEES

a. Appljcations

b. Probation

C. Disqualification

d. Background Investigations

e. Identification Cards

SECTION 14. PUBLIC HEALTH AND SAFETY 13 -

--- - - - -

-- - -

-

a. Compliance 13

b. Emergency Service and Accessibility 13

c. Minors 13

d. Alcohol 13

SECTION 15. DISPUTE RESOLUTION 13

a. Voluntary Resolution 13

b. Non-binding Arbitration 13

c. Declaratory Judgment

SECTION 16. RESERVATION OF RIGHTS

a. Additional Compacts 14

b. Status of Class II Gaming 14

- c. Taxation 14

d. Preservation of Tribe Self-Government 15

SECTION J7. REIMBURSEMENT FOR EXPENSES INCURRED BY OKLAHOMA

a. Payments

b. Procedure

c. Disputes

SECTION 18. SEVERABILITY

SECTION 19. AMENDMENTS

SECTION 20. AUTHORITY TO EXECUTE - . - - - --

16 - -. - - - - -- -- --

- -- - -- - - -

SECTION 21. NOTICES 16

SECTION 22. SUCCESSORS AND ASSIGNS 17

SECTION 23. GOVERNING LAW 17

APPENDICES

Appendix A - Pari-Mutuel Standards

Appendix B - Gaming Facilities Locations

Appendix C - Gaming Ordinances

Between the

ABSENTEE SHAWNEE

and the

STATE OF OKLAHOMA

This is a cooperative agreement made and entered into by and between the Absentee Shawnee Tribe hereinafter called "Tribe," a federally-recognized lndian Tribe, and the State of Oklahoma, "State," pursuant to the provisions of the lndian Gaming Regulatory Act, Pub. L. 100-497, 25 U.S.C. § 2701 et seq.

RECITALS

WHEREAS, the Tribe and the State are separate sovereigns, and each recognizes and respects the laws and authority of the other sovereign, and WHEREAS, the Congress of the United States has enacted into law the lndian Gaming Regulatory Act, Pub. 1. 100-497, 25 U.S.C. 52701 et seq, hereinafter called "Act", which provides in part that a Compact may be negotiated between the Tribe and the State to govern the conduct of certain Class Ill gaming activities on the lndian lands of the Tribe; and,

WHEREAS, the State has no jurisdiction by its Constitution Article I, Section 3, over the Tribe's lndian Country absent federal grant; and,

i

WHEREAS, the Tribe exercises jurisdictional authority over the Tribe's lndian Country, which is located within the State and which are "lndian lands" within the meaning of the Act, and upon and within which the gaming activities regulated hereunder shall take place; and.

WHEREAS, the Tribe and the State have negotiated the terms and conditions of this Compact in good faith so as to provide a regulatory framework for the operation of certain Class Ill gaming which is intended to (a) insure the fair and honest operation of such gaming activities; (b) maintain the integrity of all activities conducted in regard to

Page 1 of 18

such gamtnu actlv~t~es; and ( c ) protect the health, welfare and safety of the c~tizens of State, and, - --

WHEREAS, the parties hereto deem it to be in their respective best interest to enter into this Compact;

NOW THEREFORE, in consideration of the mutual undertakings and agreements hereinafter set forth, the Tribe and the State enter into the following Compact.

SECTION 1. TITLE

The title of this document shall be referred to as the Absentee Shawnee Off-Track Wagering Compact.

SECTION 2. DECLARATIONS

As a basis for this Compact, the Tribe and the State have made the following declarations:

(A) A principal goal of federal lndian policy is to promote the Tribe's economic development, the Tribe's self-determination and strong tribal government.

(B) The State recognizes the positive financial impact that gaming may have on the ~ r i be ' s membership. The Tribe will utilize revenues generated by gaming in accordance with the requirements of the lndian Gaming Regulatory Act of 1988 and the Absentee Shawnee Gaming Ordinance (as amended). This includes the funding of programs that provide important governmental services to the Tribe's citizens and to lndian Country -residents. These programs include education, health and human resources, housing developmi$nt, road construction and maintenance, sewer and water projects, police, fire and judicial services, economic development, and any other purpose authorized under the Act.

(C) The State further recognizes that the positive economic effects of such gaming will extend beyond the Tribe's lands to the Tribe's neighbors and surrounding communities. These economic benefits include the creation of new jobs, increased tourism and related economic development activities and will generally benefit all of Oklahoma and help to foster mutual respect and understanding among lndian and non-Indian.

- -- - (D) The Tr~be and the State jointly wish to protect the~r cltizens from any criminal - - .- - -

involvement In the gaming activ~ties regulated under Uus Cornpad - - --

(E) This Compact is intended to assure that gaming is conducted fairly and honestly by the Tribe, its employees and the players.

(F) The Compact shall govern the licensing, regulation, and operation of Class Ill gaming conducted by the Tribe on Tribe's lands located within the State.

(G) The Act contemplates and grants authority for the entry of this Compact.

SECTION 3. DURATION.

a. Effective Date. After execution by the parties hereto, and approval by the State-Tribal Relations Committee of the Oklahoma Legislature and the Absentee Shawnee Legislature, this Compact shall become effective when notice of approval by the Secretary of the United States Department of the Interior is published in the Federal Register as provided by the Act.

b. Term. This Compact shall have a three-year automatically-renewable term from the effective date. The term will automatically renew for successive three year periods unless a party gives notice of intent to terminate before 180 days prior to expiration of the preceding term. However, the State may not terminate this Compact except for the reasons set forth herein in Section 3 c. (Z), (3), (4) or (5) of this Compact.

c. Duration. Once effective, this Compact will remain in full force and effect until one of the following shall occur:

(1) The term expires pursuant to a notice of an intent to terminate;

(2) The Compact is terminated by mutual consent of the parties;

(3) : The Tribe duly adopts an ordinance or resolution revoking authority to conduct Class Ill Gaming within Tribe's Indian Country as provided by 25 U.S.C.A. 5 271 0(d)(2)(D);

(4) The State abolishes pari-mutuel wagering.

(5) Pursuant to a final, non-appealable judgment by a court of competent jurisdiction-determining that:

(a) this Compact is invalid; or

(b) a party has committed a material breach that has not been-- t u n P I \ I - w O r e c t a 15 (c).

SECTION 4. DEFINITIONS

For the purposes of this Compact:

a. Act means the lndian Gaming Regulatory Act, Pub. L. 100-497, Oct.17, 1988, 102 Stat. 2467 codified at 25 U.S.C.A. § 2701 et seq. 18 U.S.C.A. §§ 1166 to 1 168.

b. Class Ill Gaming means all forms of gaming defined in 25 U.S.C.A. 52703 (8).

c. Commission means the National lndian Gaming Commission established pursuant to 25 U.S.C.A. 3 2704.

d. Compact means this document and any appendices attached hereto.

e. Federal Government means the United States of America.

f. Gaming Employee means any natural person employed in the operation or management of the gaming operation, whether employed by or contracted to the Tribe or by any person or enterprise providing on-site or off-site services to the Tribe within or without the gaming facility.

g. Gaming Facility means any room or rooms where off-track bets authorized by this Compact are placed.

h. Gaming Operation means the gaming authorized by Tribe within Tribe's lndian Country by this Compact.

-.

i. Off-Track Betting means pari-mutuel betting on races into an interstate common pari-mutuel pool consisting of the pari-mutuel wagers placed at track(s), its intrastate betting locations, other jurisdictions, and the pari-mutuel wagers placed at the Tribe Gaming Facilities authorized by this Compact.

I. Absentee Shawnee Indian Country means any lands as defined by 18 U.S.C. § 1151, and/or 25 U.S.C. § 2703, (4)(A) and (4)(B) over which the Tribe exercises jurisdiction.

k. OSBl means the Oklahoma State Bureau of Investigation, the

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- o r g a & m ~ t a s k F ? d t o r t o m o n l t o r - c W @ o - -- 174 0 S S S P - -

Legislature may hereafter designate by law to perform these or related tasks

I. OSF means the Oklahoma Office of State Finance

m. State means the State of Oklahoma, its authorized officials, agents, and representatives.

n. Tribe means the Absentee Shawnee Tribe, its authorized officials, agents and representatives.

o. Pari-Mutuel System of Wagering means a form of wagering on the outcome of simulcast horse races in which those who wager, purchase tickets of various denominations on a horse or horses and all wagers for each race are pooled together and held by the gaming operation for distribution. The pari-mutuel system of wagering uses an electric totalizer or similar equipment which automatically registers the wagers made on each horse and prints and issues a ticket representing each wager.

p. Simulcast Horse Racing means receiving and telecasting by telecommunication telecommunications horseracing contests for view by patrons at various facilities simultaneous with the happening of said racing event.

q. Absentee Shawnee Gaming Commission means the person(s) appointed by the Tribe to be responsible for regulatory oversight of the Tribe's gaming.

* . SECTION 5. AUTHORIZED CLASS Ill GAMING

The Tribe may conduct off-track wagering consistent with this Compact, the Act and the standards of operation and management for pari-mutuel gaming described in

-Appendix A. -I

SECTION 6. LOCATION

This Compact is site specific. All gaming addressed herein shall be conducted only at locations within the Indian Country of the Tribe described in Appendix B. The parties are aware that s-ome of the locations are situated within 60 miles of an existing Oklahoma race track. The Tribe agrees that it may not engage in simulcasting of horse races or accept off-track wagers at such locations unless it has the express written consent to do so from such race track. Nothing herein shall prohibit additional

Page 5 of 18

compacts f ~ o t h e r sites within the Indian Country of-Tribe.

SECTION 7. SERVICE AGREEMENTS.

The Tribe will enter into a Pari-Mutuel and Racewire Service Agreement for the off-track wagering authorized by this Compact.

SECTION 8. CLAIMS.

To protect third parties, the Tribe has adopted a gaming ordinance consistent with 25 U.S.C.A. 5 2710. A copy of this ordinance is attached hereto as Appendix C. Should the ordinance conflict with the terms of this Compact, the Compact will govern. This ordinance provides dispute resolution procedures that shall apply to tort and wagering claims unless change is required by federal law:

a. Procedure. In the event of an alleged personal injury or property damage suffered by a patron of the Gaming Facility, or in the event of a dispute between a patron and the Gaming Facility regarding the payment of bet or distribution of winnings, the patron may make a claim against the Gaming Facility as follows:

(1) Makina Claim. Any patron having a claim against the gaming facility shall present a claim for any appropriate relief including the award of money damages. Claims against the gaming enterprise are to be presented within ninety (90) days of the date the loss occurs. in the event a claim is not presented following ninety (90) days after the loss occurs, but within one (1) year after the loss occurs, any judgment in a lawsuit arising from the act which is the subject of the claim shall be reduced by ten (1 0) percent. A claim against the gaming enterprise shall be forever barred unless notice thereof is presented within one (1) year after the loss occurs. A claim against the gaming facility shall be in writing and filed with the Absentee Shawnee Gaming Commission at the adaress of the gaming facility. Notices explaining this procedure shall be posted in the gaming facility. Such notices shall explain that this procedure is the exclusive method of making a claim or registering a patron dispute about payment of a bet or a distribution of winnings. Such notices shall explain that upon denial of a claim redress must be sought exclusively in Tribe's Courts.

(2) Notice. The .written notice of claims against the gaming facility shall state the date, time, place and circumstances of the claim, the identity of the persons, if known, the amount of compensation or other relief sought, the name, address and telephone number of the claimant, and the name, address and telephone

Page 6 of 18

- number_o_f_any agent authorized to.settle the claim incluclvlg &writtan copy-of the - -- - -- -

( 3 ) Denial. A claim is deemed denled if the gaming fac~lity fails to approve the claim in its entirety w~thin ninety (90) days of receipt, unless the interested parties have reached a settlement before the expiration of that period. A person may not initiate suit unless the claim has been denied in whole or in part. The claimant and the gaming facility may continue attempts to settle a claim; however, settlement negotiations do not extend the date of denial.

(4) Limitations. No action for any cause arising from personal injury, property damage, or patron gaming dispute shall be maintained unless valid notice has been given and the action is commenced in a Tribe's CFR court within 180 days after denial of the claim as set forth herein. Neither the claimant nor the gaming facility may extend the time to commence an action by continuing to attempt settlement of the claim.

b. Tort Claim. During the term of this Compact, the Tribe shall maintain public liability insurance with limits of not less than $250,000 for any one person and $2,000,000 for any one occurrence for personal injury and $1,000,000 for any one occurrence for property damage. This insurance policy shall include an endorsement providing that the insurer shall not invoke tribal sovereign immunity up to the limits of the policy set forth above and, to this extent, the Tribe explicitly waives its immunity from suit. In the event of an alleged personal injury or property damage suffered at a gaming facility arising from alleged negligence by the Absentee Shawnee, the sole and exclusive remedy for an alleged tort claim is against this liability insurance policy and no asset of the Tribe may be levied against or executed upon by a claimant.

c. Wa~er ina Claim. In the event of a disputed claim by a patron regarding distribution of winnings, the patron should submit a claim to the Absentee Shawnee Gaming Commissioner consistent with the dispute resolution procedures in Appendix .c.

d. ' Posting. Notices explaining dispute resolution procedures for tort or wagering claims shall be posted in prominent locations in each gaming facility and the copies will be made available upon request to the Absentee Shawnee Gaming Commissioner.

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- sEcInN9- - -. -- - -- -

- -- -

In addition to the regulations In Appendix C, the following additional requirements apply:

a. Loas. The Tribe shall maintain the following logs as written or computerized records available for inspection by the OSBI and/or the OSF in accordance with this Compact:

(1 ) pay-out logs from all off-track wagering; and

(2) maintenance logs in relation to all gaming equipment pertaining to off track wagering.

b. Barred Lists. The Tribe shall establish a list of persons barred from the gaming facility. The Tribe shall use its best efforts to exclude with criminal histories from entry into its gaming facility and, upon request, send a copy of the barred list to the OSBI.

c. Audit. The Tribe shall have prepared a complete audit of the gaming operation, not less than annually, by an independent certified public accountant. The results of the independent audit shall be available to the OSBI and/or the OSF for their review.

d. Pule Dis~lay. Summaries of the house rules for off track wagering shall be visibly displayed in each Gaming Facility. Complete rules shall be available in pamphlet form in each Gaming Facility.

SECTION 10. ENFORCEMENT.

a. Absentee Shawnee Gamina Commission. The Absentee Shawnee -Gaming C,ommission shall assure or have responsibility for:

a

(1) enforcement of all laws pertaining to the gaming operation, within the facility;

(2) the physical safety of gaming employees and of patrons in the gaming facility;

(3) safeguard the assets transported to and from the gaming facility

(4) provide for the detention of persons who may be involved in illegal acts and notify the Tribe, andlor other law enforcement authorities;

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-- -- (5) record any a n d a l l u n u s u a l o c c u r r e n c e s w l t h l n t h e m e a c h I --

-

number, and at a mlnlmum the follow~ng information shall be recorded in lndelrble ink In a bound sequent~ally page-numbered notebook from which pages cannot be removed without omlssion of page number. Each occurrence shall be.

(a) Assigned number; (b) Date; (c) Time; (d) Nature of incident; (e) Person involved in the incident.

b. lnvestiaation and Sanctions. Pursuant to the Tribe's laws and regulations, the Absentee Shawnee Gaming Commission shall investigate any reported violation of the Compact provisions and shall require the gaming operation to correct the violation upon such terms and conditions as the Absentee Shawnee Gaming Commission determines are necessary.

c. Reportinq. The Absentee Shawnee Gaming Commission shall forward copies of all investigation reports and final dispositions to the Tribe's Governor and to the State.

d. Meetinas. In order to develop and foster a positive and effective relationship in the enforcement of the provisions of this Compact the Absentee Shawnee Gaming Commission and the OSBl and/or the OSF shall meet, not less than on an annual basis, to review past practices and examine methods to improve the regulatory program created by this Compact. The meetings shall take place at a location selected by the Absentee Shawnee Gaming Commission. The OSBl and/or the OSF prior to or during such meetings, shall disclose to the Absentee Shawnee Gaming Commission any concerns, suspected activities or pending matters reasonably believed to possibly constitute violations of this Compact, by any person, organization or entity, if the disclosure will not compromise the interest sought to be protected.

II

SECTION 11. MONITORING.

The OSBl with the assistance of the OSF shall have the authority to monitor the Gaming Operation to ensure compliance with provisions of this Compact with concurrent supervision of the Absentee Shawnee Gaming Commission. In order to properly monitor the gaming operation, agents of the OSBl andlor the OSF shall have reasonable access to all areas of the gaming facility for off track wagering during normal operating hours after giving notice to the gaming facility manager and the Absentee Shawnee Gaming Commission or designee; provided, however, the

- -- mon~torlnq actlvlt~es of these agents shall not Interfere w~th the normal funct~oning of

-

ident~f~cation to any Tribe representatives request~ng the same.

a. Access to Records. Subject to the provisions herein, agents of the SCA shall have the right to review and, upon written request made by SCA to Tribe as a part of a formal investigation, having identified the Documents desired, copy such documents during normal business hours. All copying of documents as a part of such investigation shall be performed in the presence of a representative of Tribe and in an area provided by Tribe to the SCA for such purpose which is in or near the Facility and is both private and secured against inadvertent and unintended observers.

a . l The SCA shall not be permitted to copy any Documents that contain business or marketing strategies or other proprietary and confidential information of the Enterprise (such as but not limited to customer lists, business plans, advertising programs, marketing studies, customer demographics or profiles and the like) or financial data relating to gross or net revenues, business or patron volume or attendance, or Activity performance (other than the audit reports themselves) which, if revealed to the public could reasonably be found to be harmful to the business or political interests of the Tribe or the Enterprise (Proprietary Documents).

a.2 Any Documents that the Tribe claims are Proprietary Documents and therefore not subject to copying shall be identified by the Tribe in writing following a request for copying by the State. In the event the State disagrees with one or more categories of documents so designated, it may invoke the dispute resolution provisions of Section 15 with respect thereto. No copies shall be made or disclosed by the State pending resolution of the dispute.

a.3 Notwithstanding anything herein to the contrary, the State may copy Proprietary Documents to the extent such copying is necessary to effectuate the good faith investigation of a suspected breach of this Agreement or the commission of a crime over which it has jurisdiction, but the State shall take all measures reasonably available to it under law to protect the confidentiality of the Proprietary Documents during and after such investigation, so long as such measures will not compromise the investigation. Upon the completion of such investigation, should no legal or administrative prosecution or enforcement action result therefrom, all such Proprietary Documents shall be immediately returned to the Tribal Enterprise:

a.4 Unless compelled othetwise by law, no Proprietary Documents or other Tribal or Enterprise Documents or copies thereof shall be released

Page 10of 18

-thew-=- - Trrhod%- - - p t h e s b t w

Intent to do so and an opportun~ty to respond and object.

a.5 Nothing herein shall be construed as requiring the State to violate any provision of State law, including but not limited to the Oklahoma Open Records Act. Nothing herein shall be construed as a waiver by the Tribe of its right to protect and enforce the right of the Tribe to maintain the confidential nature of its business records and Proprietary Documents and information pertaining to gaming operations except as specifically provided above.

b. Notification. At the completion of any inspection or investigation by the OSBl andlor OSF, a full investigative report shall be forwarded to the Absentee Shawnee Gaming Commission and the Tribe's Governor within (5) days.

SECTION 12. CRIMINAL JURISDICTION.

This Compact shall not alter State, Tribe, and federal criminal jurisdiction of State, Tribe, or Federal Government. All existing cross-deputization compacts between the Tribe and political subdivisions of State are hereby ratified andlor reaffirmed.

SECTION 13. EMPLOYEES.

a. Ap~lications. Prior to hiring a prospective gaming employee for the gaming facility, the Tribe shall obtain sufficient information and identification from the applicant to permit a thorough background investigation. The information shall include:

(1) Full name, including any aliases by which applicant has ever been known;

(2) Social Security number; -.

(3) Date and place of birth;

(4) Residential addresses for the past ten (10) years;

(5) Employment history for the past ten (10) years;

(6) ~ri;er's license number;

(7) All licenses issued and disciplinary actions taken in regard to any gaming license;

Page 1 1 of 18

(9) A set of fingerprints;

(1 0) A current photograph;

(1 1 ) Military service history; and

(12) Any other information necessary to conduct a thorough background investigation.

(1 3) The name and address of any licensing or regulatory agency with which the person has filed an application for a license, permit, or security clearance whether or not the same was granted;

b. Probation. The Tribe may employ on a probationary basis prospective gaming employees who present the above information and meet standards of the Tribe, until such time as the written report on the applicants' background investigation is complete.

c. Disaualification. The Tribe shall not employ as a gaming employee in the

off track betting facility and shall terminate any probationary gaming employee, if the report on the applicant's background investigation finds that the applicant:

(1 ) Has been convicted of any felony, gaming offense or larceny;

(2) Has knowingly and willfully provided material1y.important false statements or information on his employment application; or

(3) Has been determined by the Absentee Shawnee Gaming Commission to be a person whose prior activities, criminal record or reputation, habits

* and associations pose a threat to the public interest, or to the effective regulation and control of gaming, or create or enhance the dangers of unsuitable, unfair or illegal practices, methods and activities in the ,

conduct of gaming or the carrying on of the business and financial arrangements incidental thereto.

d. Backaround Investiaations. The Tribe shall conduct background investigations on all garking employees. The same may be conducted before, during, and/or at any time during the term of employment conduct additional investigations. Any gaming employee who does not meet the minimum employment criteria shall be promptly dismissed.

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-- - e ldentrflcatron cards The Absentee Shawnee G ~ m ~ n w a l l - - - - - - -

photo, frrst name and an rdentlfrcatron number unrque to the rndlv~dual, and a date rssued

SECTION 14. PUBLIC HEALTH AND SAFETY

a. Compliance. The construction, maintenance and operation of any gaming facility shall comply with all federal and Tribe standards for the same.

b. Emeraencv Service Accessibilitv. The Absentee Shawnee Gaming Commission shall make provisions for adequate emergency accessibility and service to ensure the health and safety of all gaming patrons. Upon finalization of emergency access plans for all gaming facilities, the Tribe shall forward copies of said plans to State.

c. Minors. No person under 18 years of age shall be admitted into a gaming facility for off track betting nor be permitted to place any wager directly or indirectly.

d. Alcohol. No person under 21 years of age shall be admitted into an area of the gaming facility where alcoholic beverages are served. Any alcoholic beverages sold or otherwise permitted in the gaming facility shall be sold in accordance with applicable tribal and federal law.

SECTION 15. DISPUTE RESOLUTION.

In the event either party to this Compact believes the other party has failed to comply with any requirement herein or applicable regulations, or in the event of any disagreement or dispute as to the proper interpretation of the terms and conditions of this Compact, the following procedures may be invoked but shall not be construed to prevent either party from seeking immediate judicial relief.

-t

a. Voluntary Resolution. The party asserting noncompliance or seeking an interpretation shall serve written notice on the other party. The notice shall identify the specific Compact provision alleged to have been violated or in dispute and shall specify in detail the factual basis for the alleged noncompliance or the Compact provision for which interpretation is sought. Within 30 days of receipt of notice, State and the Tribe shall meet in an effort to resolve the dispute.

b. Non-bindina Arbitration. If a dispute arises among the parties that is not resolved within sixty (60) days of receipt of notice, either party may refer it to non- binding arbitration. If referred to arbitration, each party shall name the arbitrator. The

Page 13 of 18

- t w o named arbitrators will name a th~rd arbitrator If the two named arbitrators cannot - _ - -- ~n --

Association. The expenses of arbitration shall be borne equally by the parties. A party asserting noncompliance or seeking an interpretation under this section shall be deemed to have certified to the best of h ~ s knowledge, information and belief formed after reasonable inqulry that the averment IS warranted and made in good faith and is not made for any improper purpose, such as to harass or to cause unnecessary delay or needlessly Increase the cost of resolving the dispute.

c. Declaratorv Judament. If either party considers itself aggrieved by a breach of this Compact, it may bring an action for breach of Compact in the United States District Court for the Western District of Oklahoma pursuant to 25 U.S.C.A. 5 2710 (d)(7)(A). If the dispute involves a material breach of this Compact and is not cured, the court could declare the Compact terminated. Either party may claim in an action that repeated violation of this compact constitutes a prospective intent not to abide by its terms and that, therefore, the pattern of repeated violations constitutes a material breach of this Compact. Although this remedy is consistent with 25 U.S.C.A. § 271 0, - (d)(3)(C)(v), nothing herein shall be construed to authorize any other equitable remedy, nor to authorize a money judgment except for unpaid costs of monitoring by the State. To the extent necessary and permitted by applicable la?, each of the parties waive immunity from suit for the limited purpose of this section.

SECTION 16. RESERVATION OF RIGHTS.

a. Additional Com~acts. By entering this Compact, the Tribe shall not be deemed to have waived the right to initiate and pursue the procedures provided by the Act should State refuse to enter into a Compact after the Tribe has made a written request with respect to other forms of Class Ill gaming, and neither State nor the Tribe shall be deemed to have waived any rights, arguments or defenses applicable to such a procedure including the right of Tribe to continue to prosecute its pending suit against the State of Oklahoma regarding related scope of class Ill gaming issues.

b. " Status of Class II Gaminq. Nothing herein shall be deemed to affect the operation by the Tribe of any Class II gaming as defined in the Act, whether conducted within or without the gaming facilities or to confer upon State any jurisdiction over such Class II gaming conducted in Tribe's Indian country, nor Class ill gaming inconsistent with this Compact.

c. Taxation. Neither State nor any of its political subdivisions shall impose any tax, fee, charge or other assessment upon the admission to any gaming facility of the Tribe or upon the conducting of or engaging in any gaming activity conducted at a facility authorized by this compact. To the extent the Tribe gaming operation is responsible for filling out IRS Form W-2G on persons who receive proceeds of a wagering transaction

Page 14 of 18

d. Preservation of Tribe Self Government. Nothing in this Compact shall be deemed to authorize State to regulate in any manner the government of the Tribe, including the Absentee Shawnee Gaming Commission, or to interfere in any manner with the Tribe's selection of its governmental officers or employees.

SECTION 17. REIMBURSEMENT FOR EXPENSES INCURRED BY OKLAHOMA.

The Tribe realizes that the State has incurred expenses in negotiating this Compact and will incur expenses related to the obligations undertaken under this compact. Accordingly, the parties agree as follows:

a. Pavments. The Tribe agrees t4 reimburse the State for the actual amount of time and expenses of personnel as reasonably assessed by State in accordance with Section 11, paragraph (3) (c) (Ill) of the IGRA related to this compact. State agrees to provide Tribe with an itemized accounting of all charges assessed within (60) days of occurrence.

b. Procedure. The State shall bill the Tribe reasonable and necessary costs related to obligations undertaken under this compact. Unless unreasonable or unnecessary, the costs for such services shall be those established by State either by agency rule or by statute or, where the cost of services (including more extensive background checks, other investigations, monitoring or similar matters) is not established by rule or by statute, the costs shall include agents' time, including out-of-pocket expenses, benefits and travel expenses at the statutory rate. State shall send invoices to the Tribe for these services. Payments shall be made within sixty (60) days to the Office of the State Treasurer. Reimbursement for services provided by State shall be transmitted by the Office of the State Treasurer to the OSBI, OSF, or any other appropriate agency to defray the cost of services as required under this compact.

c.' Disputes. Should the Tribe dispute the reasonableness or necessity of any charges, such dispute shall be resolved as herein above set forth in Section 15.

SECTION 18. SEVERABILITY.

Each provision, section and subsection of this Compact shall stand separate and independent of every other provision, section or subsection. In the event that a court of competent jurisdiction shall find any provision, section or subsection of this Compact to be invalid, the remaining provisions, sections and subsections of the Compact shall remain in full force and effect, unless the invalid provision materially

Page 15 of 18

-- - - a I t e s l k r e ~ ~ ~ b ~ h event of such aller-n thepadies -

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SECTION 19. AMENDMENTS.

The parties may request negotiations to amend or modify this Compact. The amendment or modification request may include requests for approval of gaming activities that are legitimately within the scope of the Act. In the event of a request for negotiation to amend or modify, this Compact shall remain in effect until amended or modified, but such a request shall not extend the Compact term. Subsequent requests to negotiate other forms of gaming made by the Tribe shall be treated as requests to negotiate pursuant to the Act. The parties shall have one hundred eighty (1 80) days to negotiate, and all further procedures and remedies available under the Act shall thereafter apply. The Tribe and the State may mutually agree to extend the 180-day period without prejudice to the rights of either party under this section. Any amendment to this Compact shall be in writing and must be approved by the Secretary of the United States Department of the Interior. However, changes in the Tribe Gaming Ordinance (Appendix C) shall not be considered amendments and may be effected as otherwise provided by this Compact or by law.

SECTION 20. AUTHORITY TO EXECUTE.

The undersigned represent that they are duly authorized to execute this agreement on behalf of the party designated.

SECTION 21. NOTICES.

All notices required or authorized to be served herein shall be Sent by certified mail (return receipt requested), commercial overnight courier services, or by personal -delivery to the following addresses:

a

OKLAHOMA

Governor of Oklahoma State Capitol, Room 21 2 Oklahoma City, OK 731 05

Chairman, State-Tribal Relations Committee State Capitol Oklahoma City, OK 731 05

Page 16 of 18

- ---& of f - -

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State Capiioi, Room i I Z Oklahoma City, OK 73105

Oklahoma State Bureau of Investigation ATTN: Commissioner 6600 N. Harvey, Suite 300 Oklahoma City, OK 731 16

ABSENTEE SHAWNEE TRIBE

Absentee Shawnee Governor of the Absentee Shawnee ATTN: Governor James Lee Edwards 2025 Gordon Cooper Drive Shawnee, OK 74801

Absentee Shawnee Gaming Commission 2025 Gordon Cooper Drive Shawnee, OK 74801

SECTION 22. SUCCESSORS AND ASSIGNS.

This compact shall be binding upon successors and assigns of the parties hereto.

SECTION 23. GOVERNING LAW.

This compact shall be governed by and construed in accordance with the laws of - the United States, the State, and the laws of the Tribe, whichever are applicable. This

compact >hall be controlling. In the event of any ambiguity, this compact shall be deemed drafted by both parties and shall not be construed against or in favor of any party by virtue of draftsmanship, or as a matter of law.

Page 17 of 18

EC. .. -

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ABSENTEE SHAWNEE TRIBE

[SEAL]

A w w Governor James Lee Edwards f J

Date: 3-9-14 \

rh STATE OF OKLAHOMA

[SEAL]

Attest:

Date: 3-98 0 \I

OKLAHOMA LEGISLATIVE APPROVAL

Approved by a quorum of the Joint Committee on Tribal-State Relations the r d a y of cw , 2004.

FEDERALAPPROVAL

- Consistent with 25 U.S.C.A. 5 2710(d)(8) this compact is approved on this day of ,2004 by the Secretary of the United States Department Of Interior.

THE UNITED STA'PES OF AMERICA DEPA#IMEWT OF THE INTERIOR

& d+ w\% Liz4

BY: /beputy Assistant Secretary - Indian Affairs

Page 18 of 18

APPENDIX A

PARI-MUTUEL STANDARDS

A. DEFINITIONS

B. GENERAL CONTROLS

C. COMPUTER SYSTEM

D. OPEN/CLOSING PROCEDURES

E. BETTING TlCKET lSS UANCE AND CONTROLS

F. SCREEN ACTIVATED MACHINES (SAMS)

G. PAYMENT OF WINNING WAGERS

H. POSTING OF RULES

I. UNPAID WINNERS

1. LOST TICKETS

K. MAIL PAYMENTS

1. REPORT DESCRIPTIONS

PARI-MUTUEL STANDARDS

A. DEFINITIONS:

BREAKAGE - tbe odd cents over a mdtiple of ten cents arising from the computation of odds and payouts on amounts wagered on a race wMch is pan of interstate common pari-mutuel pool.

COMMlfSlON- an amount retained and not returned to patrons from the total amount of off-track pari-mutuel wagers.

- wwm=rm- amount paid to track for the right to be part of the interstate common pari-mutuel pool (retrack fee").

INTERSTATE COMMON PARI-MUTUEL POOL - a pari-mutuel pool consisting of the pari-mutuel wagers placed at track, its interstate betting locatfons, other jurisdictions, and the off-track pari-mutuel wagers placed at Guest, and accepted into the off-track pari-mutuel system.

LIVE AUDIO VISUAL SIGNAL - the audio and visual transmission of a race, or series of races, as it occurs at track.

MANUAL MERGE - the process used in the event of a systems or communications failure by which the systems operator transmits to track-through telephone, telecopy, cellular or any other means of communication, the wagering information for a particular race or group of races, and the process by which track indudes the off track pari-mutuel wagers into the interstate common pari-mutuel pool in such event.

OFF-TRACK PARI-MUTUEL SYSTFlUI - a computerized system or component of a system that is used to transmit wagering data and wagering information to and from a race track which offers interstate common pari-mutuel pools.

OFF-TRACK PARI-MUTUEL WAGER - a wager placed by a panon and accepted by guest on a race or races offered as pan of an interstate common pari-mutuel pool offered by track, and accepted into the off-track pari-mutuel system.

POST TIME - for purposes of off-track pari-mutuel wagering is when the first entrant enters the gate.

SYSTEMS OPERATOR OR OPERATOR OF A SYSTEM - a person engaged in providing the off-track pad-mutuel system or services directly related to the reconciliation of the interstate common par-mutuel pool and transfers of funds between track and guest.

TRACK - an out-of-state faallty licensed to operate horse or other racing where pari-mutuel wagering on races is conducted.

WAGERING DATA - the infonnation regarding results, actual payouts, and the amount of pari-mutuel and off-track pari-mutuel wagers accepted for each race or group of races in the interstate common pari-mutuel pool.

- --- -

-- -- --

WAGERING INFORMATION - the amount of off-track pari-mutuel wagen accepted for each race or group of races by guest.

B. GENERAL CONTROLS:

1. The Nation's gaming facility will maintain appropriate secun'ty at all times.

2. A key employee will be on premises at all times wagering is conducted. The name of each key employee shall be maintained on file, and provided to the Chickasaw Gaming Commissioner.

3. The Gaming Facility will not accept wagers on credit.

4. Gaming Facility employees are prohibited from wagering on events while on duty.

COMPUTER SYSTEM:

The main processors consist of three DEC 4000 Series 90 central processing units operating in triplex or other suitable computer substitutes. These central processing units are located at a suitable location by the simulcast signal provider with telecommunication links to peripheral terminals located at the Nation Gaming Facility or at some other suitable and securely equivalent location.

The systems provide hard disk storage in the form of dual-disk disk drives of 2.1 gigabytes each, and 2.1 gigabytes of magnetic tape for backup data or some other storage of similar or greater capacity.

Program source code shall no t be available to Gaming Facility employees, or to Nation's data processing employees.

Access to the &n processors located at the source location is W t e d to authorized simulcast ~ o v i d e r personnel or substitute endty personnel from the signal source l0cat i0~.

The pari-mutuel system wiII be connected to the Gaming Fadnty via a dedicated telephone line or other acceptable communication system. Access through a &-up modem or other suitable alternative will be available in case the leased dedicated telephone line becomes inoperative.

Writer/cashJer terminals and screen activated machines (SAMs) will be furnished to the Gaming Facility by source location. Access to wn'tedcashier terminals vvli be restricted to writers/cashiers. This restriction will be provided by requiring operator number and passwords to log on to the system. Writer/cashier operator numbers will be issued by source location. Passwords for writen/cashien will remain confidential, known only by the writer/cashier. Passwords ?or writers/cashien will be changed at least quarterly.

Supervisor and accounting personnel operator numbers and passwords win be issued by source location. These passwords wiII be changed at least quarterfy.

Pbx& -shownee A Gaming Facility or other employee, approved by the Gaming Commissioner may perfonn routine maintenance and service of the hardware components of the Gaming Facility's wagering and communication equipment. Source location-dispatched technician will perfonn all non-routine &ntenance and service of the hardware components of the Gaming Facility's equipment.

Nothing here shall prevent the Nation from providing an alternative computer system provided that the protection it maintains for the Nation and it's patrons is similar to those provided by the descnied system and source locadon.

D. OPENING/CLOSING PROCEDURES:

1. Opening Procedure

Ticket writer/cashier receives hidher starting bank from the cage.

Ticket writer/cashier verifies funds and enters the amount on a log. The writedcashier signs the log.

Upon completion of bank opening procedures, the writerlcashier will sign on to the &tern by inputting h& operator code and password. The system wiil print a sign-on ticket that-wiIl con& the following informadoa: "sign-on" designation, Gaming Center name, date, time, station number and operator number.

2. Uoring Procedures

When the writer/ashier doses W/her Pari-mutuel stadon, a. sign-off dcket and a summary ddcet win be printed by the terminal. The siga-ofi dcket win contain the following information: sign-off designation, Gaming Faaity name, date, time, station number and operator number. The summary ticket win contain the

-- following information: Gaming Facility name, date, time, station number, operator number, take (sales), voids (cancels), paid (cash), the IRS withholding amount, and beginning bank (draw). Information on cash turn-ins (cash baiance) will only be available to the book supervisor via password access. The cash drawer is then counted by the and the shift supervisor. Both sign the count sheet. The computer terminal is accessed to determine the writer's total cash balance. This is compared to the count sheet and variations are investigated.

Once verified, a manual cash-in slip is created and signed by both the wrftedcashier and the shift supervisor, the wnter/cashier will proceed to the slot cage and will turn in their funds.

E. BElTlNGAlCKET ISSUANCE AND CONTROLS:

Betting tickets shall be in single pan form. The original is given to the customer. A second "copy" is retained internally within the computer system and is not accessible by Pari-Mutuel Gaming Facility personnel

The computer system prints a number on each ticket which identifies each writer station.

Only one random numerical computer-assigned series per station shall be used at one time.

Unused tickets will be stored in the Pad-Mutuei Gaming Facility storage room. These forms are serially numbered by the computer and do not require the "sensitive" forms inventory control procedures.

The computer system will not allow a ticket to be voided after a race event is locked out.

AII bets will be made in cash or chips and shall be evidenced by the issuance of a ticket upod acceptance of a wager.

Tickets will not be written or voided after the outcome of an event is known.

F. SCREEN ACTlVATED MACHINE

1. The screen activated machine (SAM) is a self-service betting machine which allows customers to place wagers using a winning ticket or voucher generated by the system.

2. The customer must insert a voucher or winning ticket for the SAM to accept a wuger. Wagen will be made -in&eb- - -

the hone or horses selected. After the selection process is complet& the SAM wiIl print a bet ticket. The SAM will print a bet ticket. The SAM wiU for the remaining balance, if any, owed voucher will contain the seriai number, and SAM number. This infonnation will the voucher. Once the wager is placed, the voucher to place additional wagers for cash.

. 3. When a patron wishes to redeem a voucher, the writer/cashier will insert it into the bar code reader. The computer will then generate a paid ticket and the writer/cashier will pay the patron. A11 other procedures described concerning payouts on winning wagers win be compiled with as applicable.

4. Outstanding vouchers will be listed on the Outsbook Voucher Report. Vouchers outstanding more than a specified number of days wii be purged by the Systems Operator.

5. All winning tickets and vouchers inserted into the SAM win be deposited automatically into a locked box in the machine. On a daily basis, an accounting representative will check out the key to the lock boxes to remove the tickets and vouchers. The key wiII be a t a department independent of the Pati-Mutuel Gaming Center and wiII require signing a log to access. After the accounting representative obtains the tickets and vouchers, he or she wiII immediately delhrer them to accounting.

6. Voids will not be dowed at a SAM. Additionally, winning tickets that require IRS withholding will not be paid a t the SAM.

G. PAYMENT OF WINNING WAGERS:

Upon presentation of a winning ticket by a customer, the writer/cashier will insert the dcket in to the bar code reader for verification and payment authoriration. The system will brand the ticket with the payout amount, writer/cashierls station number, and date. Information on an wining tickets paid win be retained by the system. .

Should the bar code reader fail to read a ticket, the writer/cashfer wiU manually enter the dcket number into the terminal. A payout ticket will then be printed which will indude the following information: dcket number, "pay" indication, Gaming Fadnty name, pay amount, date, stadon number, and operator number.

The computer software is designed to prevent payment of a ticket that has been -- -

- p r e v i o u s l y -dm~-dvoidedby--= par -

issued by the system. ,

Payoffs over $10,000.00 may be delayed for up to 24 hours after the next banking day.

For winnings requiring the completion of a form W-PG, the computer system-will preclude a writer/cashier from making payment until the patron's social security number is entered. Once the social security number is entered, the computer will compute the amount of withholding and the amount of customer payment. The system will not pay a winning ticket, which requires IRS withholding, unless the customer provides his/her social security number at the time of payment. The system will calculate the withholding amount and the net amount due to the customer, which will both be printed on the ticket. This will alert the writer/cashier and the supervisor to complete the required IRS forms. Persons who do not have social security numbers may receive winnings from the manager after complying with federal tax requirements,

H. POSTING OF RULES:

1. Posting of rules

All house rules shall be conspicuously displayed in the Gaming Faallty.

2. Refunds

AU bets received on any entry which does not start or on a race which is a c e l e d or postponed shall be refunded on the basis of the refund policy in effect at the track.

3. Refusal to accept bets

The Gaming Faciaty reserves the right to refixse to accept bets on a pardcular entry or entries 6r in any or all pari-mutuel pools for what it deems good and sufficient reason.

4. Cancelladon of track pool In the event that a pari-mutuel pool is canceled by the track, the correspondfng

off-track betdng pari-mutuel pool shall be refunded.

5. Responsibifity of thee~aming Facility

-- The Gaming Facility bears no responsibility with respect to the actual running of - -

-- --

mutuel pool distribution shall be based upon the order of fu~bh posted at the track as "official". The determination of the judges, stewards or other appropriate officials at the track shall be conclusive in determining the payoffs of the Gaming Facility.

6. Error in calculation of payments 4

In the went an error in calcuiadon of payment occurs in a pool which is the result of the combination of die track pool and the off-track betting pool, the rules in effect a t the track governing the disposition of such error shall prevail.

I. UNPAID WINNERS:

Unpaid winners remain on the computer system for a minimum of 120 days after the conclusion of a racing meet. Following the 120 day period, the unpaid winners are brought back into revenue by the source location.

1. LOST TICKETS:

Upon notification by a patron that a winning betting ticket has been lost, stolen or is otherwise not available for presentation, the following procedures will be followed:

1. The patron must report the loss of the ticket not later than the third day following the day the race was completed, unless the patron can show circumstances where this was not possible, or unless approved by Gaming Facility management.

2. A lost ticket report will be prepared by the Gaming Faallty from infonnation supplied by the patron. The report will contain the following infonnation:

- a. Name, address and telephone number of patron .a

b. ~ a t e / d m e the ticket was purchased

e. Amount/type of wager

d. Hone/greyhound betting numbers

e. Ticket number (if known by patron)

f. Signature of patron

h. Signature of Gaming Facility Manager/Supervisor

3. The lost dcket report win be delivered to the controller who win instmct an accounting clerk to research the unpaid ticket file.

a

a. If an unpaid ticket that matches the information on the lost ticket report cannot be located, the lost ticket report will be returned to the Gaming Facility Manager with instructions that no payment can-be made.

b. If an unpaid ticket is found that matches the lost dcket report, the unpaid dcket will be "locked" in the computer system to prevent payment to other than the claimant for the holding period of one hundred twenty (120) days after the conclusion of the racing meet on which the wager was placed.

4. After the ticket is held for this one hundred twenty (120) day period, the patron may be paid. The controller reviews ail of the lost ticket daim support paperwork prior to signing the check to be maned to the customer.

5. if the ticket is presented for payment within this one hundred twenty (1 20) day period by other than the patron represented on the lost ticket report; or if a dispute arises from the foregoing procedures, it wilI be the Gaming FaciIityls responsibility to resolve such disputes.

K. MAIL PAYMENTS:

Only original wagered tickets are acceptable for mail payments.

AU mail payment requests are opened and logged by personnel independent of the Gaming Facility. A copy of the log is retained by the accounting department for auditing mail tickets paid. The mailed ticket b forwarded directly to the Gaming FaciIity Manager's office, where it b then entered Into a wrfter/cashierls tenninal for unpaid'ticket update to indicate that the ticket Is no longer outstanding.

A request for disbursement and the approved ticket are forwarded to the conaoIIer for payment.

Only the controfler or a designate is authorized to approve mail payments.

L. REPORT DESCRIPT'IONS:

The race auditor has the ability to generate the following repomfrom the RM_C ~ c h day:

Recap Report - This report will contain information by track and total Information regarding write, refunds, payouts, outs, payments on outs, and federal tax withholding for each trade will also be included. Additionally, information regarding SAM voucher activity will be induded. This report will provide daily amounts. - Daily Reconciliation Report - This report will summarize infonnadon in total by track. Report information will include write, today's winning ticket total, total commission and breakage due the licensee, and net funds transfer to or from the licensee's bank account.

Window Activity Report - This report will summarue for each window the following information: Sales, cash outs, cancels, draws, returns, vouchers sold, vouchers cashed, over/short.

Teller Balance Report - This report will summarize daily activity by track and writer/cashier, and SAM terminals. Specifically, the report will contain the following: tickets sold, tickets cashed, tickets canceled, draws, returns, computed cash turn-in, actual turn-in, and over/short.

Teller Detaib Report - Thii report will summarize tefler activity. Specifically, for each teller the report will contain tickets sold, tickets cashed, tickets canceled, tickets refunded, W-ZG withholdings, funds returned, draws and over/short. Session Sales Summary - This report will summarize sales activity for each type of wager placed, for each race nm, and for each track opened. Adddonally, total sales will be provided. Specific information included will be sales, cancels, sales, from previous sessions, refunds, and net sales.

Cashed Tickets Report - Thii report will list all paid winning tickets by track and race. This report will include the ticket number, date, tickets written, horse or greyhound selection and type of bet made amount of bet or bets, total take, and pay amount. The report will also include IRS withholdhgt, If applicable.

a

Canceled Tickets Report - This report will kt all ddcets that were canceled for the day. S p d c information win indude dcket serial number, sale window, cancelladon window, and amount.

Refunded Tickets Repon - This report will ht 1 tickets refunded for ~e day- cifkary, chis report will include ticket serial n a .

amount.

SAM Activity Report - This report will contain a summary of Screen Activated Machines (SAM) activity. Specifically, this report will indude the SAM number, ticket sales, ticket cash outs, voucher sales, and voucher cash outs.

Cashed Voucher Report - This report will contain a detailed listing of all vouchers cashed for the day. Specifically, this report wi contain the ticket serial number, the window(s) at which the voucher was sold and cashed, and the amount of the voucher cashed.

IRS Tax Report-Cashed - This report will contain a detailed listing of all tickets cashed that were subject to federal withholding. This report will include the customer's social security number, ticket serial number, ticket conditions, race date, amount of payout, withholding amount, net payout, cashing and selling window(s), and teller identification.

Future Tickets Report - This report will contain a detailed listing of all tickets bet on events occumng subsequent to the current day. This report will include ticket serial number, window where the dcket was bet, cost, amount, type of bet, race number, and horses chosen.

Outsbook Tickets Report - Thii report will contain a kting by window, race, track and in summary of winning tickets which remain unpaid. SpecificaIiy, this report will include ticket number, window, pay amount, and IRS withholding (if applicable).

Pubfic Results Information Report - This repon will contain race results and prices paid.

Transaction Search Report - This report will contain a listing of all tickets and vouchers written and paid per station. Also the report contains canceled tickets.

2

Exception Report - This report will contain a listing of ail systems functions and ovenides not involved in the actual writing or cashing of dckeu. This report will also indude sign-onloff dckets, voids, and manualIy entered paid tickets.

GAMING FACILITIES LOCATIONS

The Absentee Shawnee Tribe of Oklahoma presently operates a single gaming operation.

1 . Thunderbird Casino PO Box C 15700 East State Highway 9 Little Axe, Oklahoma 73026 Telephone - 360-9270 Fax - 360-274 1 General Manager - Mickey Burke

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-- RESDZOTfDN BO. AB-94-94 - --

-- -

ABSENTEE-BHAWNEE TRIBE OF INDIAN8 OF OKLABOHA

REGULAR EXECUTIVE COHMITTEE MEETING

AUGUST 12, 1994

A RESOLUTION DULY ADOPTED BY TIfE BXECOTfVE COMXITTEE OF TEE ABSENTEE-SHAWNEE TRIBE OF ILSDIAN8 OF OI[LBHOMA~AUTEORIZIHG CLASS I1 AND CIA88 111 GAHING WITHIN THEIR JURIBDXCTIOrJ-

WHEREAB, the Absentee-Shawnee Tribe of Indians of Oklahoma is a federally recognized Indian Tribe exercising all inherent sovereign rights from time immemorial, and

WEER=, the Absentee-Shawnee Tribe of Indians of Oklahoma has a Constitution approved by the Department of the Interior, last amended in August, 1988, and

WEEREAg, the Executive Committee of the Absentee-Shawnee Tribe of Indians of Oklahoma is empowered by the Constitution to speak and otherwise conduct business in the name of, and on behalf of, the Absentee-Shawnee Tribe of Indians of Oklahoma, and

WHEREAS, the Tribe authorizes Class I1 and Class I11 gaming as defined in the Indian Gaming Regulatory A c t , P.L. 100- 447, 25 u.S.C. Section 2703(7) and 25 U.S.C. Section 2703 ( 8 ) ' and

WHEREAS, the Tribe shall have sole propriety interest in and responsibility for the conduct of any gaming operation authorized by this resolution, and

IWEREA8, net revenues from Class I1 and Class I11 gaming shall be used only for the following purposes: to fund tribal government operations and programs; provide for the general welfare of the Tribe and its members; promote tribal economic development; donate to charitable organizations; or help fund operations of local government agencies, and

WHEREAS, the Tribe shall cause to be conducted a ~ u a l l y an independent audit of gaming operations; procedures for background investigations previously approved and the existing gaming enterprise known as Thunderbird Entertainment Center shall be automatically licensed with the. adoption o f this resolution, and Such license shall be renewed each year with the waiver of any fees unless otherwise provided by Executive Committee decision or amendment to this resolution.

E-AS-94-94 Page 2 of 2 -A/-

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NOW THEREFORE BE IT RESOLVED that the Absentee-Shawnee Tribe of Indians of Oklahoma hereby authorizes Class I1 and Class 111 gaming within their jurisdiction.

C E R T I F I C A T I O N

We, Kenneth Blanchard, Lt. Governor and Cynthia Hernandez, Secretary of the Absentee-Shawnee Tribe of Indians of Oklahoma, do hereby certify that this Resolution No. E-AS-94-94 to be a true and exact copy as approved by the Executive Committee of the Absentee- Shawnee Tribe of Indians of Oklahoma at a duly called meeting held on August 12, 1994, there being a quorum present, by a vote of 3 in favor, 0 opposed, and 0 abstentions, as follows: Lt. Governor - N/A; Secretary - YES; Treasurer - YES; Representative - YES; and the Governorfs vote, if required, ABSENT.

ETH BLANCHARD, Lt. overnor -

T R I E OF O K L A W PIACTING THE AQSENTEE SHAWNEE W I N G CODE OF 1990 ,&J

PEP€ALING THE ABSEMEE SHAWNEE BIN= ORDINANCE OF 1986,

WHEREAS. the Absentee Shawnee Tribe of Oklah.3ma is a federally recognized Indian tribe and has a C o ~ t i t u t i o n which uas app- by the kpartment'.of the Interior on August 13. 1988, and

. ,

WHEREAS. the Executive Cumittee of the Absentee S h a m e Tribe of India- of ok- l a m is mpaered to speak and ath=iwi&-'&nduct business i n the - of and on behalf of the Absentee Shahnee Tribe qf Oklshorrua. and

WHEREAS. the Executive m m i t t e e hereby adopts the Absentee Shahvnee Gaming Code of 1990.

WHEREAS. a l l parts of the Absentee s&. 8 inw o r d i n k Of 1986 are hereby repealed by implication irrsofar as surh ordiruancg. conflicts ' with the Absentee S m Gaming Cock of 1990.

N#.c THEREFORE BE IT RESOLVED, that the m t i v e -ittee of the Absentee - S b m e e Tribe of Indians of Oklahana eMCts the Absentee Shawnee GtJning Code of 1990 and -1s by implication the Absentee S h a m Bingo O r d i m of' 1986 irsofar as such ordin- cwrtlicts with the -ntee SM Gaming ode of- L~so-.' : . -

. . . . ; . . . - . _ '. . .#. . - .. . - 4 ' ~ ~ . - ' ~ j - 5:: . " ' -s-- -:22.: ; - . . . -..- :,-.:- :-.*&,%a"#-

W e . -. &lls, 'Gwemmr and Jfn J i i - s t h E Absentee & Tribe of Indians of- Oklahma. do hereby -ifY that t h i s h l u t i o n No. AS-90-110 to be. a true and scact copy as app- by -ye Carmittee of the Absentee S h m e Tribe at a duly ed meet%ng held on June-22. 1990. there being a.qmr-un present Liy a w t e of*%. in fa&. . a opposed and Q absr as tollckrs: ~t~ Goiermr: : mwt ~ E S - ~ i : &presentative': ,Es -r8s w t e , i f required: ~r/&

. .

- JIM J

ABSENTEE SHAWNEE TRIBE OF OKLAHOMA . . .

s e c t i o n 1. Scope. This Code s h a l l apply t o a l l games conducted within t h e t e r r i t o r i a l j u r i s d i c t i o n of the Absentee Shawnee Tr ibe of Indians of Oklahoma,

Sec t ion 2. Purpose, This Code is in tended t o promote t h e peace, s a f e t y and we l fa re of a l l persons coming w i t h i n t h e j u r i s d i c t i o n of t h e Absentee Shawnee Tribe of Indians of Oklahoma by insur ing t h a t any game conducted w i t h i n the ' t r i b a l j u r i s d i c t i o n is conducted i n a f a i r and respons ib le manner and t h a t t h e pub l i c o rde r , peace, and s a f e t y be maintained and t h i s Code a h a l l be l i b e r a l l y cons t rued t o promote such purpose,

S e c t i o n 3, Def in i t ions . As used i n t h i s Code the term:

(a) "~aming* s h a l l i n c l u d e . a l l games i n manner, t y p e and d e f i n i t i o n as descr ibed i n Pub l i c Law .100-497, - -. .

I

(b) "Courtw means the District Court of t h e Absentee hawn nee Tr ibe of ~klahoma.

(c) .Executive Committeem means t h e Absentee Shawnee T r i b a l Executive Committee. . . . 7 . . - . .. . . -.. *. . '

(d) m P u b l i c - ~ a m i n g . Commissionerm or wCommissionerm means that person designated by t h e Governor of the Absentee Shawnee Tr ibe of Oklahoma and confirmed by t h e Executive Committee t o f u l f i l l s a i d o f f i ce .

S e c t i o n 4, Gaminu Prohibited-ExceMions, NO p e q g p or 15gaf entity s h a l l conduct any game' pubj'ecf t o *e j u r i s d i c t i o n of the Absentee ~phwnee *.Tribe bf

a Indians of Oklahoma, without a ' l i c e n s e i s sued pursuant t o t h i s Code. No games s h a l l 'be Sayed which are not conducted pursuant t o Feqeral Pab~i't Law 100-497 and this Code, : i" .. - ' : r - . . . -.

S e c t i o n 5, Manner o f F i l i n a Instruments w i t h Commissioner. Any document, a f f i d a v i t , r e tu rn , repor t , f e e or o t h e r ins t rument o r payment rkquirqd t o be f i l e d . u with , d e l i v e r e d t o , or ss rved upon t h e Commissioner by t h i s Code s h a l l be deemed t o be p roper ly f i l e d , d e l i v e r e d , o r served, a s t h e case may be i f it is f i l e d , de l ivered , or served ,upgn t h e T r i b a l Administrator a t the Triba l Complex, "or such o t h e r employee of the ~ r i b e a s t h e Commissioner s h a l l a u t h o r i z e i n wr i t ing .

LEGISLATIVE

RESOLUTION NO. AS-99-8 1

ABSENTEE-SHAWNEE TRIBE OF 0KLAaOM.A

SPECIAL EXECUTIVE COMMITI'EE MEETING

DECEMBER 27,1999

A RESOLUTION DULY ADOPTED BY THE EXECUTCVE COMMITI'EE OF THE ABSENTEESHAWNEE TRlBE OF OKLAHOMA ADOPTING AN AMENDMENT TO THE ABSENTEE SHAWNEE TRIBE OF OKLAHOMA, GAMING CODE TO INCREASE

- THE NUMBER OF GAMING COMMISSIONERS FROM ONE (1) TO THREE (3), AND AMENDING TITLE L - DEVELOPMENT, ADMDYISTRATION, AND ENFORCEMENT, SECIIONS 101 TEROUGH 111 AND ADDING SECTION 112.

WHEREAS, the Absentee-Shawnee Tribe of Oklahoma is a federally recognized Indian tribe exercising all inherent sovereign rights fkom time immemorial; and

WHEREAS, the Absentee-Shawnee Tribe of Oklahoma has a Constitution approved by the Department of the Interior, last amended in August 1988; and

WHEREAS, the Executive Committee ofthe Absentee-Shawnee Tribe of Oklahoma is empowered by the Constitution to speak and otherwise conduct business in the name oS and on behalf oE, the Absentee-Shawnee Tribe of Oklahoma; and

a

WJXEREAS, it is the responsibility of the Executive Committee to uphold its constitutional responsibility to the Tribe and its membership as the highest priority; and

WBEREAS, to better and more fairly allot gaming regulatory responsibilities for the oversight of Tnial Gaming under the Absentee Shawnee Tribe of Oklahoma, Gaming Code (the "AST --ng Code"); and

WBEREAS, it is believed in the best interest of the Tribe that the Commission composed of one ( 1 ) member be increased to a Commission of three (3) individuals; and

WHEREAS, to accomplish the increase in the number of Commissioners i t is necessary to amend the AST Gaming Code, TITLE I - DEVELOPMENT. ADMIMSTRATION AND ENFORCEMENT, Sections 101 through 1 1 I and adding Sccrion 1 12, as attached hereto as Exhibit "A"

Resolution No. L-AS-99-8 1 December 27, 1999 Page 2 of 2

NOW THEREFORE BE IT RESOLVED that theExecutive Committee ofthe Absentee Shawnee Tribe of Oklahoma hereby adopts an amendment to the Absentee Shawnee Tribe of Okiahoma, Gaming Code to increase the number of Gaming Commissioners from one (1) to three (3),-and amending TITLE I. - DEVELOPMENT, ADMINISTRATION, AND ENFORCEMENT, Sections 10 1 through 1 1 1 and adding Section 1 12.

CERTIFICATION

We, James "Lee" Edwards, Governor and Russell B. Ellis, Secremy of the Absentee-Shawnee Tribe of Oklahoma, do hereby cemfj. that this Resolution No. L-AS-99-8 1 to be a true and exact copy as approved by the Executive Committee of the Absentee-Shawnee Tribe of Oklahoma at a duly called meeting held December 27, 1999, there beiig a quorum presenf by vote of: 3 in favor, I opposed, and 0 abstentions, as follows: Lt Governor Wilson: Yes, Secretary Ellis: Yes, Treasurer Pearce: No, Representative Little b e : Yes, Governor's vote, if required, NlA.

k & ~ &? F// " EDWARDS, Governor LLIS, Secretary

TITLE I - DEVELOPMENT. ADMINISTRATION AND ENFORCEMENT

Sect~on 10 I . Office of Public Gamin~Comrnission Established. In order to provide for the orderly development, administration, and regulation of gaming, as well as other authorized enterprises within thejurisdiction of the Absentee Shawnee Indian Tribe ofOklahoma, there is established the office of Public Gaming Commission. The Governor shall nominate persons to serve as the Commissioners, subject to confirmation by the Executive Committee. Said Commissioners shall be seated for a period of three (3) years. Once appointed the three (3) member Commission shall select a Chairperson to conduct meetings. A quorum for the conduct of business shall be at least the three (3) member Commission. Each Commissioner is vested with one (1) vote for any decision. The Commissioners may be removed &om office prior to the end of any term only for cause by Ordinance. The Commissioners may be suspended by the Executive Committee for ninety (90) days. During such suspension the Executive. Committee may appoint a qualified person to act as a replacement for the suspended Commissioner. Further, should any vacancy occur in the positions of the Public Gaming Commission, the nomination process shall be initiated by the Governor and the unexpired portion of the Commissioner's tern shall be filled in the same manner as the initial appointment of a Commissioner.

Section 102. A The Public Gaming Commission shall be charged with the sole responsibility of administering and enforcing the provisions of this Code.

B It shall be the responsibility of the Public Gaming Commission to promulgate regulations necessary to administer the provisions of this Code. These duties shall include but not limited to the following:

(1) Printing and making available application forms for initial and renewal licenses, as well as any other necessary licenses.

(2) Supervising the collection of all fees and taxes prescribed in this Code and other ordinances in regard to gaming and. gaming related activities.

(3) Processing all license applications.

(4) Issuing licenses.

( 5 ) Determining applicable license fees

(6) Auditing all returns

(7 ) Review all gaming operation contracts, records, documents, and anything else necessary and peninenr ro the financial accountabilities of licensees or enforcement of any provision of

gaiing operation contracts, agreements, this, and related Ordinances.

(8) The Public Gaming Commission shall have the power and authority to deny any application, to Limit, condition, suspend, or restrict any license, make a finding of suitability or approval of the license, or a finding of suitability or approval of or the imposition of a fine upon any person licensed for any cause deemed reasonable by the Pubtic Gaming Commission, or to make assessment for money owed the Absentee Shawnee Tribe of Oklahoma by contract or taxation and to levy collection of the same with or without notice.

(9) The performance of any other duties required in the Code or any amendments thereto or other duties which may hereafter be specified by the Public Gaming Commission.

(1 0) Defend their actions in any court of competent jurisdiction or initiate any actions with consent of the Executive Committee.

Section 103. The Public Gaming Commission may exercise any proper power and authority necessary to perform the duties assigned by this Code, and is not limited by any enumeration of powers in this chapter.

Section 104. The Public Gaming Commission may rehse to reveal, at any court proceedings, the identity of any informant, if such revelation would subject the informant to bodily harm.

Section 105. Regular and special meetings of the Public Gaming Commission may be held, at the discretion of the Public Gaming Commission, at such time and .places as may be convenient and open to tribal members, with notice posted in a public place at least

- twenty-four (24) hours prior to the meeting.

Section 106. The Public Gaming Commission may organize and form divisions as may be necessary and fiom time to time alter such plan of organization a may be expedient. The Public Gaming Commission shall recommend the budget for operations to the Executive Committee, and take any other steps necessary to hlfill duties and responsibilities under the Code.

Section 107 In adopting, amending, or repealing any regulations under this Code, the Public Gaming Commission shall ejve prior notice ofthe proposed action to all licensees and other persons whom the Public Gaming Commission has reason to believe have a legitimate and bona fide interest in such proposed action

Section 108. The Public Gaming Commission shall afford an applicant for a I~cense or permit an

opportunity for a hearing prior to find action denying such applications and shall afford a licensee or any other person(s) subject to the Code the opportunity for a hearing prior to taking final action resulting in terminating, revoking, suspending, or limiting a license or any other adverse action the Public Gaming Commission deems appropriate; provided, that the Public Gaming Commission may summarily temporarily suspend or extend suspension of license for sixty (60) days in those cases where such action is deemed appropriate by the Public Gaming Commission. In cases where a License is suspended prior to a hearing, an opportunity for a hearing shall be provided.

Section 109. Whenever upon specific factual finding the Public Gaming Commission determines that any person has failed to comply with the provisions of this Code or any regulation promulgated hereunder, the Public Gaming Commission shall made a certification of findings with a copy thereof to the subject or subjects of that determination: After five (5) days notice and within ninety (90) days thereof, the Public Gaming Comrnission shall hold a hearing at which time the subject shall have opportunity to be heard and present evidence.

Section 110. At such hearing it shall be the obligation of the subject to show cause why the determination is incorrect, why the application in question shall not be denied, why the License, licenses, or permit in question shall not be revoked or suspended, why the period of suspension should not be extended, or to show cause why special conditions or limitations upon a license or permit should not be imposed, or to show cause why any other action regarding any other person or persons subject to any action should not be taken.

Section 1 1 1. Following such hearing the Public Gaming Commission shall within seven (7) days, reach a determination concerning the accuracy of the preliminary certification of facts and whether the license in question should be granted, continued or suspended, revoked, conditioned or Limited, and whether or not any other action recommended to or by the Commission (including but not limited to forfeitures or fines) should be

- taken.

Section 112. Wherever else in the Absentee Shawnee Gaming Code the term "Commissioner" is used it shall mean the Public Gaming Commission.

Sec t ion 6 , ~ s s u a n c e of ins t ruments by commissioner. m r w Any

-- r illstrrmm ea ur pe rmi t t ed -yo

i s s u e pursuant t o t h i s Code, may be issued by t h e Tr iba l Administrator or such o t h e r employee of t h e Tribe a s the Commissioner s h a l l au thor ize i n wr i t ing . Issuance by any such authorized person s h a l l have t h e same e f f e c t a s i f such instrument were personal ly i s sued by t h e Commissioner.

Sec t ion 7, ~ u t h o r i z a t i o n s t o be Posted. The w r i t t e n a u t h o r i z a t i o n s mentioned i n Sec t ions 5 and 6 of . t h i s Code shall be conspicuously posted i n t h e T r i b a l Complex-

S e c t i o n 8 , ~ u d i t s and Reviews- Any ind iv idua l , o rgan iza t ion or co rpora t ion which a p p l i e s f o r or r ece ives a l i c e n s e t o conduct gaming pursuant t o t h i s Code s h a l l be deemed t o have consented t o t h e j u r i s d i c t i o n of the Courts of t h e Absentee Shawnee t r i b e of Oklahoma, t h e T r i b e ' s laws, and s h a l l be s u b j e c t t o s e i z u r e of any funds owed and a u d i t and review of records by au thor ized accounting o r law enforcement agencies -of t h e T r i b e without . n o t i c e or warrant -

S e c t i o n 9. C i t a t ion . .This Code may be c i t e d a s t h e "Absentee Shawnee Gaming Code of 1990,.

. I - . .. . *--. --. .<=. .-- . .d.. - - :c ----w... JC.

TITLE I- - PEVELOPMENT* ADMTNXS - . TRATION AN - - . . D ENFORCEMENT . - - . S e c t i o n 101, gff ice of Pub l i c Gaminq Commissioner Established.

, I n o rde r t o provide f o r t h e o rde r ly development, adminis t ra t ion , and r e g u l a t i o n of gaming, a s w e l l as o t h e r au thor ized e n t e r p r i s e s wi th in t h e j u r i s d i c t i o n of the Absentee Shawnee Indian Tribe of Oklahomar t h e r e i s e s t a b l i s h e d t h e o f f i c e of

- Publ ic Gaming Coxmuissioner , The Gov-ermr shal-1 nominate- a person t o s e r v e as t h e Commissioner, subject t o confirmation by t h e Executive Committee, Sa id Commissioner s h a l l be seated f o r a pe r iod 'of three (3) years , The Commissioner may be removed from o f f i c e p r i o r t o the end of any term only f o r cause by Ordinance, The Commissioner may be suspended by the Executive Committee f o r 90 days, During such suspension t h e Ex'ecutive Committee may appoint a q u a l i f i e d person t o ac t as Commissioner. Further , should any vacancy occur i n t h e p o s i t i o n of Commissioner, t h e nomination process s h a l l be i n i t i a t e d by t h e Governor and t h e unexpired port ion of t h e

+ Commissioner's term s h a l l be f i l l e d i n the same manner as t h e i n i t i a l appointment of Commissioner.

S e c t i o n 102 . A. The Commissioner s h a l l be charged wi th t h e s o l e r e s ~ o n s i b i l i t y of admin i s t e r ing and enforc ing the prov i s ions of t h i s Code,

-- - --

-- -- - -- -

B. It s h a l l be the r e s p o n s i b i l i t y of t h e Commissioner t o promulgate r e g u l a t i o n s necessary t o adminis te r t h e p r o v i s i o n s of t h i s Code. These d u t i e s s h a l l inc lude but not be l i m i t e d t o t h e fol lowing:

(1) P r i n t i n g and making a v a i l a b l e a p p l i c a t i o n forms f o r i n i t i a l and renewal l i c e n s e s , as wel l a s any o t h e r necessary l i c e n s e s .

c o l l e c t i o n of a l i fees p r e s c r i b e d . in t h i s Code a n d

i n regard t o gaming and gaming r e l a t e d a c t i v i t i e s ,

(3) process ing a l l l i c e n s e a p p l i c a t i o n s .

( 4 ) I s s u i n g l i censes . b -

(5) Determining ..applicable, . l i c e n s e .fees.. .. - (6 ) . Audit ing a l l . re turns, ... .

-. . . -.

*.. (7) ~ e v i e ~ .- all- gaming opera t ion c o n t r a c t s ,

. records , . documents; . and anything else necessary and . p e r t i n e n t t o t h e f i n a n c i a l a c c o u n t a b i l i t i e s of l i c e n s e e s o r enforcement of any p rov i s ion of gaming o p e r a t i o n con t rac t s ; agreements, t h i s , and r e l a t e d Ordinances.

( 8 ) The Commissioner shall have the power and. a u t h o r i t y t o deny any a p p l i c a t i o n , to' limit, cond i t ion , suspend, or restrict any l i c e n s e , make a . f i n d i n g of s u i t a b i l i t y or approv.al of t h e l i c e n s e , o r a f i n d i n g of s u i t a b i l i t y or approval of or the imposi t ion of a f i n e upon any person l i c e n s e d for any cause deemed reasonable by the Commissioner, o r t o make assessment.. f o r money owed t h e Absentee Shawnee Tr ibe of Oklahoma by c o n t r a c t a r t a x a t i o g and t o l e v y c o l l e c t i o n of the same with or wi thou t not ice ,

(9) The performance of any o ther d u t i e s required i n the Code or any amendments t h e r e t o or o t h e r d u t i e s w h i c h may h e r e a f t e r be s p e c i f i e d by t h e Commissioner.

S e c t i o n 104 .

S e c t i o n 105,

S e c t i o n 106.

S e c t i o n 107,

Sec t ion 108,

S e c t i o n 109.

(10) Defend h i s a c t i o n s i n any court of competent j u r i s d i c t i o n or i n i t i a t e any a c t i o n s w i t h consent of the Executive Cornmi t t e e .

- - -- - - - -- - -- -

The Commissioner may e x e r c i s e any proper power and a u t h o r i t y necessary t* perform t h e duties assigned by t h i s Code, and is n o t l i m i t e d by any enumeration of powers i n t h i s chapter,

The Commissioner may r e f u s e t o reveal , a t any cour t proceedings, t h e i d e n t i t y of any informant, if 8uch r e v e l a t i o n would s u b j e c t the in f ormant t o bodi ly harm,

Regular and s p e c i a l meetings of the Commissioner may be held, a t t h e d i s c r e t i o n of t h e Commissioner, a t such t i m e and p laces a s may b e convenient and open t o t r i b a l members, w i t h n o t i c e posted i n a p u b l i c p l a c e a t l e a s t 24 hours p r i o r t o the meeting.

The Commissioner may o rgan ize and form d i v i s i o n s as may'be necessary and from time t o time a l t e r such p lan of o r g a n i z a t i o n as may be expedient, The Commissioner ahal l ' recommend t h e budget f o r o p e r a t i o n s . t o t h e - Execut ive Committee, and . t a k e any o t h e r . s t e p s . necessary t o - . f u l f i l l d u t i e s . .and r e s p o n s i b i l i t i e s under the Code, . . . .

. .

In adopting, k e n d i n g , . o r repealing any r e g u l a t i o n s under t h i s Code, the Commissioner s h a l l g i v e . p r i o r n o t i c e of the proposed ac t ion t o

: a l l l i c e n s e e s and o t h e r persons whom , the Commissioner h a s reason t o be l ieve have a l e g i t i m a t e and bona f i d e i n t e r e s t i n such proposed ac t ion .

Tbe Commissioner shall a f f o r d an applicant for a l i c e n s e or permi t a n oppor tuni ty f o r a hea r ing p r i o r t o final a c t i o n denying such a p p l i c a t i o n s and s h a l l a f f o r d a l i c e n s e e or any other pe r son(s ) s u b j e c t t o t h i 8 Code t h e opportuni ty f o r a hea r ing p r i o r t o t a k i n g f i n a l a c t i o n resu l t ing i n t e rmina t ing , revoking, suspending, or l imi t ing a l i c e n s e or any o t h e r a h e r s e act ion t h e Commissioner deems appropr ia t e ; provided, t h a t t h e Commissioner may summarily temporari ly suspend o r extend suspension of l i c e n s e f o r sixty (60) days i n t h o s e cases where such ac t ion is deemed a p p r o p r i a t e by t h e Commissioner. In cases where a l i c e n s e i s suspended p r i o r t o a hearing, an oppor tun i ty f o r a hea r ing s h a l l be provided.

Whenever upon s p e c i f i c f a c t u a l f inding t h e Commissioner determines t h a t any person has failed t o comply with the prov i s ions of t h i s Code or any

r e g u l a t i o n promulgated hereunder , the Commissioner s h a l l make a c e r t i f i c a t i o n of f i n d i n g s with a

p p ---

--s&jects t h a t - z l v e ( 5 1 days n o t i c e and

w i t h i n n i n e t y (90) days t h e r e o f , t h e Commissioner s h a l l hold a hea r ing a t which time t h e s u b j e c t s h a l l have an oppor tuni ty t o be heard and p r e s e n t evidence.

s e c t i o n 110. A t such hea r ing i t s h a l l be t h e o b l i g a t i o n of t h e s u b j e c t t o show cause why t h e de terminat ion i s i n c o r r e c t , why t h e a p p l i c a t i o n i n q u e s t i o n s h a l l

. no t be denied, why t h e - l i c e n s e , l i c e n s e s , o r permi t i n q u e s t i o n s h a l l no t be revoked o r

. . suspended, why t h e per iod of suspension shoukd n o t be extended, o r t o show cause why s p e c i a l c o n d i t i o n s or l i m i t a t i o n s upon a l i c e n s e or permit should n o t be imposed, or t o show cause why any o t h e r a c t i o n regarding any o t h e r person o r persons s u b j e c t t o any a c t i o n should n o t be taken.

S e c t i o n 111. Following such hea r ing the Commissioner s h a l l w i t h i n seven ( 7 ) days, reach a de te rmina t ion - concerning the . .. accuracy of t h e p re l iminary c e r t i f i c a t i o n of facts and whether the l i c e n s e i n - q u e s t i o n should be granted , cont inued o r

-

suspended, revoked, condi t ioned o r l i m i t e d , and whether or no t any o the r a c t i o n recommended t o o r by t h e Commissioner ( inc lud ing b u t not l i m i t e d t o

. .i,,,,+-- ,,,:, f o r f , d t u r e s o r d i n e s ) should be taken, .an.&-"& - C

TITLE 11, - &ICENSING/PERMITS . . . . . . . .

s e c t i o n 201. License required. Any person conducting Gaming o p e r a t i o n s on p roper ty w i t h i n t h e j u r i s d i c t i o n of t h e Absentee Shawnee Tr ibe of Oklahoma s h a l l be required to have and d i s p l a y prominently an a p p r o p r i a t e , v a l i d and c u r r e n t Public - Gaming

A l i c e n s e i s s u e d pursuant t o t h e p rov i s ions of t h i s Code. Any o t h e r forms of p u b l i c gaming o p e r a t i o n s be ing conducted w i t h i n t h e j u r i s d i c t i o n of t h e Absentee Shawnee Tr ibe of Oklahoma without t h e lawful w r i t t e n approval oE t h e Absentee Shawnee T r i b e of Oklahoma P u b l i c Gaming Commissioner a r e p roh ib i t ed .

S e c t i o n 202, C l a s s e s and Fees. D i f f e r e n t c l a s s e s of l i c e n s e s s h a l l be i s s u e d , and each s h a l l have a s e p a r a t e fee, and each s h a l l g r a n t s e p a r a t e p r i v i l e g e s . Each l i c e n s e s h a l l be f o r a s p e c i f i c p lace , and l i c e n s e e s d e s i r i n g t o opera te mu1 t i p l e l o c a t i o n s s h a l l be r equ i red t o o b t a i n m u l t i p l e l i c e n s e s . Licensee s h a l l o p e r a t e and conduct only those a c t i v i t i e s au thor ized under each l i c e n s e as l i s t e d below and a s may be f u r t h e r s p e c i f i e d i n r e g u l a t i o n s promulgated hereunder :

S e c t i o n 203.

S e c t i o n 204.

S e c t i o n 205.

A. C lass 'Am. A Class A License may be issued t o any person o r group which holds a v a d gaming lictma--fr--of m T a h L

a1 - w o n , a t an a n n u a l ra te of $600.00 or a monthly rate of $50.00 for t h e revocable p r i v i l e g e of conduct ing gaming f o r the remainder of the l i c e n s e d period.

B, C l a s s "B", A Class B License may be i s s u e d t o an e n t i t y holding a c o n t r a c t with t h e Absentee Shawnee Tr ibe of Oklahoma, a t an annual r a t e of $1,200.00 f o r t h e revocable p r i v i l e g e of conducting gaming i n a .specific loca t i 'on w i t h i n t h e . j u r i s d i c t i o n of t h e Absentee Shawnee T r i b e of Oklahoma f o r the remainder of t h e calendar year ,

C, Class mCw, A Class C License may be i s s u e d a t an annual r a t e of $1,200,00 f o r t h e revocable p r i v i l e g e of opera t ing s a t e l l i t e

. gaming i n a s p e c i f i c l o c a t i o n w i t h i n t h e j u r i s d i c t i o n of the Absentee Shawnee Tr ibe of Oklahoma. . -

I

pxern~ti ons. The fol lowing a c t i v i t i e s a r e n o t p u b l i c gaming o p e r a t i o n s under the terms of this Code, and . t h e r e f o r e do not r e q u i r e a l i c e n s e under t h i s t i t l e :

a A;:-Gamina not for aain, . Gaming i n which no cash or v a l u a b l e p r i z e s ' a r e won, ' o t h e r than w p o i n t s " f o r cumulative compet i t ive r a t i n g s , o r *p lacesu f o r immediate compe'titive rankings, is n o t sub jec t t o the prov i s ions of this Code. However, gaming f o r g a i n which i s conducted by a non-profit o r g a n i z a t i o n i s s u b j e c t t o the requirements of t h i s Code i f cash or valuable prizes are ' awarded,

: "Valuable prize' means an o b j e c t or s e r v i c e wortb $100,00 (One hundred d o l l a r s ) or more i n fair market value,

All persons o r o rgan iza t ions who may seek t o engage i n p u b l i c gaming a c t i v i t i e s with t h e j u r i s d i c t i o n of the Absentee Shawnee Tr ibe of Oklahoma must apply f o r the same a t l e a s t t h i r t y (30) days p r i o r t o the scheduled a c t i v i t i e s , All o t h e r l i c e n s e s must be appl ied f o r no less than s i x t y (60) days prior t o t h e scheduled a c t i v i t i e s .

Every l i c e n s e e i n t e n d i n g t o cont inue engaging i n p u b l i c gaming a c t i v i t i e s within the Absentee Shawnee Tr ibe of Oklahoma dur ing t h e next fo l lowing ca lendar y e a r shall apply f o r renewal of t h e l i c e n s e a t l e a s t t h i r t y (30) days p r i o r t o t h e end of the previous l i c e n s e period,

desccibe t h e c o n t r a c t re format ion imposed. Nothing h e r e i n s h a l l p revent t h e Commissioner from withdrawing h i s o r i g i n a l de te rmina t ion that reformat ion i s necessary . A copy of the d e c i s i o n . .

ule commlssroner s all- be sent imeed_ictelv t * D the Execut ive Committee and a l l o t h e r p a r t i e s t o t h e ref orrned e o n t r a c t ,

S e c t i o n 217, Within t e n (10) days of t h e d e c i s i o n of t h e Commissioner i s s u e d pursuant t o S e c t i o n 216 t h e Execut ive Committee o r any o t h e r part ies t o t h e reformed c o n t r a c t may i n i t i a t e an appeal t o t r iba l distr ict cour t . The cour t s h a l l review t h e d e c i s i o n of t h e Commissioner t o determine whether h i s f i n a l re format ion d e c i s i o n i s an abuse of Commissioner d i s c r e t i o n . If the c o u r t de termines t h a t no abuse of d i s c r e t i o n e x i s t s , t h e Commissioner1 s d e c i s i o n s h a l l s t a n d as w r i t t e n . If t h e c o u r t de termines t h a t the Commissioner's d e c i s i o n is a n abuse of d i s c r e t i o n , t h e c o u r t s h a l l v a c a t e the d e c i s i o n and s h a l l d i r e c t t h e CoPlmissioner t o p r e p a r e reformat ion i f any is necessary pursuan t t o . c o u r t o rde r , - -..: - 0

S e c t i o n 218, f f e c t i v e d a t e t Reformation of a c o n t r a c t i u r s u a n t t o S e c t i o n 214 s h a l l be e f f e c t i v e upon

. . e x p i r a t i o n ' of ' the . time. a v a i l a b l e f o r a t e c o n s i d k z a t i o n . --:. the ' Connnissioner provided r e c o n s i d e r a t i o n : 8 . - n o t reques ted , - .. . : If .

reconsideratiorr.r* -i*.*~tequestedp- ,the*- r e f ormati on -.

s h a l l be . e f f e c t i v e .upon . the exp i r a t i o n of t i m e f o r appea l t o t r i b a l . c o u r t i f no appeal i s pursued. If tribal c o u r t appeal is pursued t h e e f f e c t i v e date s h a l l be t e n . ( l o ) days from t h e d a t e of d e c i s i o n by the . t r iba l district c o u r t and provided

- . t h a t such reformation s h a l l be. c o n s i s t e n t with t h e t r i b a l c o u r t dec i s ion ,

. .

TITLE 111- - 0 . . P O P m T I m AM) GEN- . . . . APPLICABILIm . . .

~ e c t i on 301. Records. Re tu rns and. Audits., ' It s h a l l be t h e r e s p o n s i b i l i ~ of the Publ ic Gaming Commissioner t o . promulgate r e g u l a t i o n s e s t a b l i s h i n g proper accoun t ing procedures and .methods of o p e r a t i o n s f o r a l l l i c e n s e e s , so' that a l l monies or t h i n g s of v a l u e t e c e i v e d and/or pa id o u t ' may be p roper ly monitored and accounted f o r , All l i c e n s e e s under this Code shall be requ i red t o keep an approved account ing system, which ., s h a l l comply with, b u t n o t be l i m i t e d t o a l l a p p l i c a b l e p rov i s ions of

. this Code o r r e g u l a t i o n of the Commissioner. Said account ing system s h a l l reflect a l l bus iness and f i n a n c i a l t r a n s a c t i o n s involved o r connected i n any manner w i t h the opera t ion and conducting of a c t i v i t i e s a u t h o r i z e d by t h i s Code.

Section 302, ~1 l i c e n s e e s s h a l l charge p l a y e r s only f o r t h e cards t o be used i n each game, The r a t e t o be charged p l a y e r s f o r cards. o r packs s h a l l be fixed by ~ a c h i c u o - usiy on _t;he n r - ~ , E -

ror the Opportuni ty 'to s h a l l be given a n approved r e c e i p t f o r the card or pack, which s h a l l be numbered and dated, which can be r e a d i l y i d e n t i f i e d ..as belonging t o that l i censee . Each card or pack i s s u e d s h a l l r e p r e s e n t a s p e c i f i c amount of money which has been pa id t o t h e l i c e n s e e , The amount of money represented by each card o r pack i s s u e d s h a l l be c l e a r l y made known t o a l l p l a y e r s p r i o r t o anyone paying t o p a r t i c i p a t e

. i n the a c t i v i t y ,

S e c t i o n 3 0 3 . . Any de lay , maneuver or a c t i o n of . any kind, which i n the o p i n i o n . o f t h e Connnissionet, i s e f f e c t u a t e d

: by . any l i c e n s e e . t o unlawful ly avoid paying, ' t h e proceeds p roper ly owing t o the, Absentee Shawnee Tr ibe o f Oklahoma shall c o n s t i t u t e grounds f o r t a k i n g any d i s c i p l i n a r y a c t i o n deemed necessary by t h e . C o m m f s s i ~ n e r ~ inc lud ing but no t l i m i t e d t o f i n i n g t :.revoking, .. suspending, l i m i t i n g , or ref using : t o ' renew the U c e n s e o f any l i c e n s e e . P u t t h e r , .the ~ o d s a i o n e t s h a l l have a u t h o r i t y t o make assessments . -of monies. .&ad t o t h e Absentee Shawnee T r i b e of: Oklahoma by c o n t r a c t or t a x a t i o n

. . .-.+. and. -may.;...levy-.col.lectionzi; of .&he:, same. with or wi tbou t n o t i c e , ' !. . .

S e c t i o n 304. No a p p l i c a n t , l i c e n s e e , o r employee. thereof s h a l l n e g l e c t o r ' ref use t o produce records or ev idence under h i s con t ro l , o r t o g i v e informat ion upon proper and lawful demand by. . t h e Commissioner, or shall otherwise i n t e r f e r e w i t h any proper and l a w f u l e f f o r t s by' the Commissioner t o produce such informat ion . The Commissioner may summon any l i c e n s e e or a If censeem s agen t s , employees, or s u p p l i e r s t o appeat t o t e s t i f y with regard t o the conduct of any l i c e n s e e or the agents , employees, o r s u p p l i e r s of m y . l icensee. A l l such test imony s h a l l be given under oath and may embrace any m a t t e r s , which the Commissioner may deem r e l e v a n t t o the d i s c h a r g e of his bfficial d u t i e s , Any person so summoned t o appear shall have t h e r i g h t t o be r e p r e s e n t e d by counsel. Any testimony s o taken may be used by the Commissioner as evidence i n any proceeding o r matter before t h e c o d i s s i o n e r of the t r iba l d i s t r i c t c o u r t o r , which may la ter come before the Commissioner of t h e t r ibal d i s t r i c t court . F a i l u r e t o s o appear and t e s t i f y f u l l y a t the t i m e and place designated, unless excused, shall c o n s t i t u t e grounds f o r revocat ion o r suspension of any l i c e n s e h e l d by t h e person summoned, his p r i n c i p a l , o r employee, or t h e l o s s of the

pr iv i lege t o fu r the r supply any person licensed under t h i s Code.

3 0 9, v ide f k - 4 e i ; r -fa--- - -

Y -- -

I tbb r e v m a , s e c u r i t y ~ p l a n s , or amendments there to a r e approved by the Commissioner prior t o implementation.

Section 306. Unless pr ior wri t ten approval i s obtained from the Commissioner, no person employed i n t h e conduct of public gaming operating under one l icense sha l l be employed under any other l icense authorized t o operate under this Code,

Section 307. Aue jirpt for aamina. No person who is under the age of eighteen (18) s h a l l operate nor shall be allowed t o pa r t i c ipa te i n any manner i n the operation of any game* No person(s) under the age of s ix teen (16) s b a l l be allowed on premises where games a r e being conducted. It shall be the respons ib i l i ty of the l icensee t o . enforce the provisions of t h i s section.

Section 308, dutv o w r a t o r s s h a l l not ~ l a v , No operator s b a l l allow a person who nanages or receives any compensation, d i r e c t l y or Indi rec t ly , fox t h e operation of any games conducted by the operator t o play i n a game w h i l e on duty. No operator s h a l l a l l o w any person who a s s i s t s ' i n the operation of any game conducted by the operator t o play i n any game conducted by the operator within twenty-four (24) hours of the time sa id person d i d SO assist.

Section 309.

Section 310.

i

Section 311,

DO f r e e qmgs for winners, N o f r e e cards or any opportunity t o play i n a game s h a l l be awarded or given t o a person a6 prize for or conditioned upon winning a bingo game o t games. Provided, tha t the Commissioner s h a l l have t h e author i ty t o grant exceptions upon request by the operators.

Every prize awarded during the operation autbot iz td shall be awarded only t o the person(s) actually winning the p r i z e and displaying the proper admission t icket .

Card. or packa s h a l l be sold and paid for only i n advance for use i n a spec i f ied game or specified - numbered games. All sales of cards or packs s h a l l take place upon the premises, A l l cards or packs must be used on the day sold,

a1 a- r e m u n c r w Cer t a i n l icensees may be exeapt from Section 309 and engage i n promotionu and a c t i v i t i e s that include pr izes or the award of cards or packs as a n incent ive t o allow c e r t a i n individuals , who pravide a specified serv ice or meet other s ta ted

requirements, t o p a r t i c i p a t e i n games t h e same as regular p a r t i c i p a n t s , Licensees p a r t i c i p a t i n g i n promotional a c t i v i t i e s must provide the Commissioner f u l l d e t a i l s of a l l such a c t i v e 1 P C

. . .

promotional a c t i v i t y . Wri t ten approval for such a c t i v i t i e s - must remain on f i l e w i t h the Commissioner and with t h e l i c e n s e e f o r a per iod of not l e s s than one (1) year ,

t c t i o n 313. E a c h numbered b a l l or o t h e r device' used i n a game f o r t h e s e l e c t i o n of numbers t o be c a l l e d i n p l a y s h a l l be t h e same weight and s i z e as each of the o the r b a l l s ' o r dev ices used f o r t h a t purpose of t h a t game.

z c t i o n 314, I n a l l cases t h e opera tor must have and e x e r c i s e complete c o n t r o l over t h a t p o r t i o n of the premises . being used f o r gamin a t a l l t imes s a i d games are being played, The l i c e n s e e s h a l l be held l i ab l e f o r any v i o l a t i o n of t h e Code,

e c t i o n 315, Games s h a l l be opera ted and conducted only on the appropr ia t e l i c e n s e d premises au thor ized under t h i s Code,

e c t i o n 316, No manufacturer, d i s t r i b u t o r , o r opera tor s h a l l by agreement e i t h e r express or .otherwise with any o the r manufacturer , d i s t r i b u t o r , o r operator f i x t h e p r i c e a t - which- any .device, paraphernal ia , machine, 'equipment, p r i z e or any o t h e r items u s e d i n connect ion wi th any of t h e a c t i v i t i e s au thor ized under t h i s Code s h a l l be so ld or which s e r v i c e s i n connect ion the rewi th s h a l l be rendered, The p r i c e of t h e s e i tems i n a compet i t ive market p l a c e s h a l l be e s t a b l i s h e d by each manufacturer, d i s t r i b u t o r , o r operator for t h e p roduc t s and s e r v i c e s o f f e r e d by each and s h a l l n o t be e s t a b l i s h e d , d i r e c t l y or i n d i r e c t l y , i n . concer t wi th another ,

; e c t i o n 317. Licensees must own, superv i se , and be d i r e c t l y r e spons ib le f o r a l l ac t iv i t ies on t h e i r premises

. au thor ized by l i c e n s e under t h i s Code, e x c e p t . a s s p e c i f i c a l l y o u t l i n e d i n management agreement approved by Ordinance,

Sect ion 318, It is the p o l i c y of t h e Commissioner and t h e Absentee Shawnee .Tribe of Oklahoma t o r equ i re that a l l e s t ab l i shments , wherein gaming i s conducted w i t h i n t h e j u r i s d i c t i o n of the Absentee Shawnee Tr ibe of Oklahoma, be opera ted i n a manner s u i t a b l e t o p r o t e c t the p u b l i c h e a l t h , s a f e t y , morals, good o rde r , and genera l wel fare of the i n h a b i t a n t s under w i t h i n t h e j u r i s d i c t i o n of the Absentee Shawnee Tr ibe of Oklahoma* R e s p o n s i b i l i t y for t h e employment and maintenance of s u i t a b l e methods o f . ope ra t ion r e s t s w i t h t h e

l i c e n s e e and w i l l f u l and p e r s i s t e n t use or t o l e r a t i o n of u n s u i t a b l e methods of o p e r a t i o n will c o n s t i t u t e grounds f o r l i c e n s e revocat ion or o t h e r

--- -- - - - -

- d-ry act4e.s.

5ction 319. Rece ip t r equ i red for income and pr izes i n s a m i n s . A i l income from games s h a l l be r ece ip ted by t h e l i c e n s e e a t t h e time t h e income i s rece ived from each i n d i v i d u a l p layer , and a l l pc izes s h a l l be r e c e i p t e d f o r by the winner of each p r i z e a t t h e t ime t h e p r i z e i s d i s t r i b u t e d t o each i n d i v i d u a l winner,

A. Jncone r e c e i ~ t s form, ~ncolae r e c e i p t forms s h a l l be suppl ied by t h e l i censee . They may be t i c k e t s o r d i s p o s a b l e cards numbered consecut ive ly , or they may be based upon a cash r e g i s t e r system i f an i d e n t i f i c a t i o n number i s on the r e c e i p t given t o the customer, which is one of a s e r i e s of such numbers pr in ted . consecut ive ly , and a corresponding number i s .recorded t o g e t h e r w i t h a record of the t r a n s a c t i o n be ing k e p t i n s i d e . the cash r e g i s t e r .

I n the event a cash r e g i s t e r system is used, t h e fo l lowing information s h a l l appear upon

. t h e receipt given a. customer and upon t h e r e c o r d being k e p t i n s i d e t h e machine: t h e

. name of t h e l i c e n s e e o p e r a t i n g t h e a c t i v i t y ; - the d a t e the' t r a n s a c t i o n took place; t h e r e c e i p t number;. the amount of money p a i d o r a

. d e s c r i p t i o n of other cons ide ra t ion pa id . f o r - t h e oppor tuni ty t o play. .The cash r e g i s t e r receipt r o l l s r e t a i n e d i n the machine showing t h o s e t r a n s a c t i o n s s h a l l be r e t a i n e d i n t h e machine showing those t r a n s a c t i o n s s h a l l be r e t a i n e d w i t h t h e r ecords of t h e l i c e n s e e f o r a per iod not less than two (2) years.

1. BeceiPts from income from a l l sw xce t s e s t ~ l a v o

.. d i s a o s a b l e ' cards, Each person paying . f o r the oppor tuni ty ho p a r t i c i p a t e i n a game, except as provided i n s u b s e c t i o n 2, who does n o t r e c e i v e a cash r e g i s t e r receipt s h a l l be given a t i c k e t o r t i c k e t s , which s h a l l be consecut ive ly s e r i a l l y numbered. .. Each t i c k e t i s s u e d s h a l l r ep resen t a s p e c i f i c amount of money w h i c h has been paid t o the

. l i c e n s e e , The amount of money, represented by each ticket i s sued s h a l l be c l e a r l y made known t o a l l p l a y e r s p r i o r t o anyone paying t o p a r t i c i p a t e i n . t h e a c t i v i t y . Licensee s h a l l record i n h i s d a i l y records t h e lowest numbered t i c k e t i s sued as a r e c e i p t on each day

1 - i: *.- o r occas ion and h i g h e s t numbered t i c k e t ,... .. a ' .

i s s u e d on t h i s day o r occasion. T i c k e t s -

-- bear ing numbers f a l l i n s between these --

h i s h -- and low numbern i . m a , -E= -- -

n o t i s s u e d as r e c e i p t s on t h a t day o r occasion, s h a l l be r e t a i n e d by t h e l i c e n s e e as p a r t of its d a i l y records and s h a l l no t be o therwise be used o r d isposed of by t h e l i c e n s e e f o r a per iod o f . no t l e s s than t h r e e (3) months o r u n t i l such t i c k e t has been duly . i n s p e c t e d and accounted f o r by the - Commissioner, a t which t i m e s a i d r e c e i p t s may be d isposed of by t h e l i c e n s e e ,

2, Rece ip t f o r income from s a l e s of o ~ m r t u n i t i e s t o ~l av sames on d i s v o s a b l e cards. As t o each person p lay ing f o r t h e oppor tun i ty t o p l a y games on d i sposab le . cards , t h e d i s p o s a b l e ca rds themselves may be used as the receipt r e q u i r e d by t h i s - r u l e .

, Provided, t h a t each set of d i sposab le c a r d s used is consecu t ive ly numbered from t h e first card t o the las t , and each card c o n t a i n s both its i n d i v i d u d l consecu t ive a e r i a l number and the i d e n t i f i c a t i o n number ass igned by the rnanuf a c t u r e r t o that s e t . of d i sposab le . c a r d s o n . i ts face, except f o r l i c e n s e e s s p e c i f i c a l l y exempt by t h e Commissioner

- t o mirihtize d u p l i c a t e ca rds and avoid excess waste,

NO d i s p o s a b l e ca rd i n any game p l a y s s h a l l be a d u p l i c a t e of any o t h e r card i n t h a t game. Each d i sposab le card should r e p r e s e n t a specific amount og money which has been p a i d t o the licensee; which amount has been c l e a r l y disclosed t o a l l p l a y e r s i n advance of any p l a y e r p a r t i c i p a t i n g i n t h e a c t i v i t y . Each d i sposab le c a r d s h a l l be s o l d f rom t h e same p r i c e , as eacb o t h e r d i s p o s a b l e c a r d of the same c l a s s being used d u r i n g any p a r t i c u l a r bingo game.-

A l l l i c e n s e e s s h a l l record i n its d a i l y r ecords the s e t number of each s e t o r p o r t i o n of a s e t , which h a s been used dur ing e a c h bingo game on eacb occasion immediately fol lowing the playing o f that game toge the r with t h e s e r i a l number of t h e cards with t h e lowest and h i g h e s t number of ca rds s o l d from each of t h o s e s e t s . .The l i c e n s e e s h a l l r e t a i n , a s a p a r t of his d a i l y records,

each unsold d i sposab le card w i t h t h e ser ia l number f a l l i n g between t h e lowes t and h i g h e s t number so ld from each s e t on

-- t h a t occas ion and s h a l l not o therwise

-- use or d i s p o s e o f - those ca rds S Q r e t a i n e d f o r a per iod of not l e s s t h a n t h r e e (3) months or u n t i l such c a r d s have been duly inspec ted and accounted f o r by the Commissioner, a t which t i m e s a i d cards may be disposed of by t h e l i c e n s e e .

B. Rece ip t s f o r p r i zes . Receip ts f o r p r i z e s s h a l l c o n t a i n t h e fo l lowing information: t h e name of t h e l i c e n s e opera t ing t h e a c t i v i t y ; t h e d a t e t h e t r a n s a c t i o n took p lace ; t h e r e c e i p t number and t h e game number; t h e ' t r u e name and a d d r e s s of t h e winner of t h e p r i z e ; a d e s c r i p t i o n of the p r i z e won and any va lue of t h a t p r i z e , which has been rep resen ted t o t h e p laye r by th,e l i censee .

It s h a l l be . t h e r e s p o n s i b i l i t y of t h e l i c e n s e e t o see t h a t t h e p r i z e winners a r e p roper ly and a c c u r a t e l y i d e n t i f i e d upon t h e receipt f o r the p r i z e , and the l i c e n s e e s h a l l r e q u i r e such proof of i d e n t i f i c a t i o n as i s necessary t o proper ly e s t a b l i s h the winner ' s i d e n t i t y . The l i c e n s e e s h a l l not pay o u t any p r i z e u n l e s s and' until t h e winner has . f u l l y and' a c c u r a t e l y fu rn i shed t o t h e l i c e n s e e . a l l informat ion r e q u i r e d by t h i s r u l e t o be upon t h e r e c e i p t f o r t h e pr ize. One d u p l i c a t e of each p r i z e r e c e i p t s h a l l be given t o t h e winner, and t h e ' o the r d u p l i c a t e of p r i z e r e c e i p t s s h a l l be r e t a i n e d by t h e l i c e n s e e as . p a r t of its records f o r a per iod of n o t l e s s than f i v e ( S ) * y e a r s .

S e c t i o n 320,

S e c t i o n 321,

All establishments, wherein bingo o p e r a t i o n s a r e t o be conducted, must be c e r t i f i e d a s s a f e by t h e Commissioner p r i o r t o t h e i ssuance of a l t c e n s e . All a l t e r a t i o n s o r modi f i ca t ions must be approved by the' Commissioner...

- . Any premises l i c e n s e d o r any p r k i s e s connected p h y s i c a l l y o r o the rwise with a l i censed bus iness , i n c l u d i n g v e h i c l e s used i n connection the rewi th , s h a l l a t a l l t i m e s be open t o inspec t ion by t h e Commlissioner. A t any time .. during which a l i c e n s e d gaming or r e l a t e d a d m i n i s t r a t i v e a c t i v i t y i s being conducted on a premises , t h e Commissioner or any au thor ized r e p r e s e n t a t i v e of t h e Commissioner. may e n t e r upon t h e premises without advance n o t i c e and :

A. Make an account of a l l monies on t h e premises and a l l monies received during t h e o p e r a t i o n

of t h e l i censed activity located on t h e premises, * i n s p e c t a l l r e c e i p t s f o r p r i z e s I ,, . . . which have been awarded by t h e l i c e n s e e ; 1.. , . . . : i.' - ,

, .

B Inspect anyotherrecord---=- - - ---

- .- related i - m f tab L~P---+------- any member who d i r e c t l y p a r t i c i p a t e s i n t h e management, opera t ion , or promotion of a l i c e n s e d a c t i v i t y ; or of any employee of t h e l i c e n s e e ; o r of any opera to r of t h e l i c e n s e d a c t i v i t y ;

C, Inspect , i nc lud ing the dismant l ing of a l l p i e c e s of equipment o r p a r t s thereof o r dev ices o f . any nature, which are being used t o conduct t h e l i censed a c t i v i t y ,

D, When t h e Commissioner f i n d s cause t o b e l i e v e t h a t t h e r e is a reasonable p r o b a b i l i t y t h a t t h e p rov i s ions of t h i s Code, inc luding any amendments t h e r e t o or any o f t h e r u l e s passed by t h e Commissioner have been o r a r e be ing v i o l a t e d by the l i c e n s e e o r its employees o r opera to r s , t h e y may move t o another l o c a t i o n o r l o c a t i o n s f o r f u r t h e r inspec t ion o r i n v e s t i g a t i o n of any and a l l records and any and a l l equipment, p a r t t h e r e o f , devices, o r t h i n g ( s ) of any na tu re l o c a t e d upon t h e premises r e l a t e d t o the opera t ion of t h e l i c e n s e d a c t i v i t y o r any o the r gaming a c t i v i t y , A r e c e i p t s h a l l be i s sued to t h e l i c e n s e e o r opera tor of t h e a c t i v i t y which s h a l l list and desc r ibe each record, t h a t p i e c e of equipment or p a r t the reof , device, o r t h i n g ( s ) which has been removed fxom t h e premises. Each such record, piece of equipment, p a r t the reof , o r th ing (s) so removed s h a l l be r e tu rned t o the premises or t o t h e a d d r e s s of the l i c e n s e e wi th in t e n (10) days. except Saturdays. Sundays, and days when t r i b a l offices are l e g a l l y closed. After its removal i n as good condi t ion a s it w a s when it was removed unless t h e Commissioner determines t h a t t h e record, equipment, devices , or t h i n g ( s ) so removed are necessary f o r an ongoing: i n v e s t i g a t i o n and/or evidence of p o s s i b l e v i o l a t i o n s o f t h i s Code or r u l e s of the Commissioner by t h e l i c e n s e e , by employers of t h e l i c e n s e e o r by o p e r a t o r s o f t h e l i c e n s e d a c t i v i t y , or f o r p o s s i b l e f o r f e i t u r e under T i t l e I1 hereof w i t h the Commissioner s o no t i fy ing t h e l i c e n s e e of t h e reasons s a i d property or t h i n g ( s ) are t o be so held,

322, No beverage con ta in ing a lcoho l , i nc lud ing but no t l i m i t e d t o beer or l iquor , s h a l l be offered or awarded a s a p r i z e or i n l i e u of a p r i ze f o r

a t any of t h e a c t i v i t i e s a u t h o r i z e d by t h i n m d e , nor s o l d on t h e pr emises a t any A i m e ,

-

S e c t i o n 323, No f i r e a r m s , a i r guns which a r e capable of d i s c h a r g i n g dangerous p r o j e c t i l e s o r g a s e s , i n c l u d i n g b u t no t l i m i t e d t o "B,B.'sn o r C 0 2 guns , r i f l e s sho tguns , p i s t o l s , o r r e v o l v e r s s h a l l be a l lowed on t h e premises , e x c e p t a s pe rmi t t ed by r e g u l a t i o n of t h e Commissioner,

S e c t i o n 324, ' No l i c e n s e e o r any of i t s members or employees, o r any o p e r a t o r conduc t ing o r i n any way p a r t i c i p a t i n g i n t h e conduc t ing of any of t h e a c t i v i t i e s , which a r e a u t h o r i z e d by t h i s Code o r by t h e Commissioner 's r u l e s , s h a l l a l l ow a p e r s o n t o p l a y t h a t a c t i v i t y on c r e d i t or s h a l l g r a n t a l o a n of any kind a t any t i m e t o a person p l a y i n g t h e a c t i v i t y .

S e c t i o n 325. No p e r s o n invo lved i n t h e o p e r a t i o n of any a c t i v i t y a u t h o r i z e d by t h i s Code or a r u l e -of the Commissioner s h a l l , ' d i r e c t l y o r i n d i r e c t l y , i n t h e cou r se of such o p e r a t i o n employ. . any d e v i c e , scheme,, o r a r t i f i c e t o de f r aud ; make any u n t r u e s t a t e m e n t o f a fact , o r omi t t o s t a t e a f a c t n e c e s s a r y i n o r d e r t o make a s t a t emen t n o t m i s l e a d i n g i n c o n s i d e r a t i o n o f t h e c i r cums tances under which such s t a t emen t w a s made; engage i n a n y act, p r a c t i c e , o r course of o p e r a t i o n a s would o p e r a t e as a f r a u d of d e c e i t upon any person,

S e c t i o n 326. Each l icensee s h a l l o b t a i n , ma in t a in , and k e e p c u r r e n t a copy of t h e gaming Code and a l l r u l e s o f t h e Commissioner and any amendments t o e i t h e r , which s h a l l be l o c a t e d upon t h e premises used f o r t h e conduc t of a l i c e n s e d a c t i v i t y by a l i c e n s e e during a l l times the act iv i ty i s there conducted. The rules s h a l l be produced by t h e l i c e n s e e a n d shown t o any pe r son upon demand. The f a c t t h a t

. the l i c e n s e e may n o t have a c u r r e n t copy of e a c h of the rules of t h e Commissioner s h a l l not i n any way d i m i n i s h t h e l i c e n s e e 1 s o b l i g a t i o n t o a b i d e t h e s e r u l e s ,

S e c t i o n 327. N o l i c e n s e e s h a l l conduct any a c t i v i t y a u t h o r i z e d under t h i s Code upon any premises , i f t h e l e a s e , l i g e n s e , c o n t r a c t , o r any o t h e r agreement under which r i g h t t o u se s a i d premises i s not f i r s t f u l l y d i s c l o s e d t o t h e Commissioner.

S e c t i o n 328. No manufac tu re r o r d i s t r i b u t o r s h a l l make or have an agreement or unders tanding with any l i c e n s e e t h a t e i t h e r of them s h a l l be r e s t r i c t e d i n t h e o p e r a t i o n and c a r r y i n g on of b u s i n e s s t o a s p e c i f i c geograph ic a rea o r a r e a s , and such a r e s t r i c t i o n s h a l l n o t be a c o n d i t i o n of any s a l e s between manufac tu re r , d i s t r i b u t o r and any o t h e r l i c e n s e e . Provided, t h a t t h i s s h a l l not prevent a

d i s t r i b u t o r o r m a n u f a c t u r e r from a s s i g n i n g s a l e s t ~ r - e s amon i ts-hanafide -- lepr--j;wzL -

S e c t i o n 329. All l i c e n s e e s s h a l l ,be r e s p o n s i b l e t o i n s u r e t h a t e a c h manufac tu re r and each d i s t r i b u t o r s e l l i n g o r d i s t r i b u t i n g equipment o r o t h e r t h i n g s used , d i r e c t l y o r i n d i r e c t l y , i n s a i d l i c e n s e e ' s gaming a c t i v i t i e s and who i s n o t a n Absentee Shawnee T r i b e of Oklahoma r e s i d e n t o r r e s i d e n t c o r p o r a t i o n s h a l l d e s i g n a t e a n a t u r a l p e r s o n , who i s a r e s i d e n t 'under t h e j u r i s d i c t i o n of t h e Absentee Shawnee T r i b e of Oklahoma and who is e i g h t e e n (18) y e a r s o f age o r o l d e r , as a r e s i d e n t a g e n t f o r t h e p u r p o s e of r e c e i p t and a c c e p t a n c e of s e r v i c e of p r o c e s s and o t h e r communicat ions on b e h a l f of t h e m a n u f a c t u r e r o r d i s t r i b u t o r . The name and b u s i n e s s a d d r e s s where s e r v i c e of p r o c e s s and d e l i v e r y of m a i l can b e made, 'and home a d d r e s s of s u c h d e s i g n a t e d r e s i d e n t a g e n t s h a l l be f i l e d w i t h the omm missioner . A l l s a i d m a n u f a c t u r e r s o r d i s t r i b u t o r s must be l i s t e d w i t h t h e Commissioner.

S e c t i o n 330. Immedia te ly b e f o r e t h e c a l l i n g of each number i n a game, t h e caller s h a l l t u r n t h e p o r t i o n o f t h e b a l l or o t h e r d e v i c e u s e d t o de te rmine which number is called, which shows t h e number and l e t t e r t o the p a r t i c i p a n t s i n t h e game, s o t h a t p a r t i c i p a n t s may know t h a t t h e p roper number i s

, b e i n g c a l l e d out,

S e c t i o n 331, A l l l i c e n s e e s c o n d u c t i n g games w i t h a p r o g r e s s i v e p a y o u t f e a t u r e w i l l p r o v i d e t h e Commissioner, f o r a p p r o v a l , t h e .*stem for accumula t ion and a c c o u n t r e s t r i c t i o n s of f u n d s s o d e s i g n a t e d . The p r o c e d u r e and any amendments t h e r e t o must r e c e i v e p r i o r w r i t t e n a p p r o v a l o f t h e Commissioner.

S e c t i o n 332, - All employees must b e l i s t e d w i t h the Commissioner , Such lists are t o be k e p t c u r r e n t .

-.

TITLE IV, - CRIMINAL PENALTIES

S e c t i o n 401, Any Absen tee Shawnee I n d i a n p e r s o n v i o l a t i n g t h e p r o v i s i o n s of this Code s h a l l be g u i l t y of any o f f e n s e and s h a l l upon c o n v i c t i o n t h e r e o f be p u n i s h e d by t h e confinement i n t h e t r i b a l j a i l f o r a p e r i o d o f n o t less t h a n t e n ( 1 0 ) d a y s nor more t h a n s i x (6 ) months and a f i n e of no t l e s s than f i f t y d o l l a r s ($50.00) nor more than f i v e hundred d o l l a r s ($500.00) o r by b o t h such f i n e or impr i sonment f o r each s e p a r a t e v i o l a t i o n .

Section 402. Any n o n - m s e n t e e Shawnee I n d i a n pe r son v i o l a t i n g t h e p r o v i s i o n s of t h i s Code s h a l l be g u i l t y of an o f f e n s e and exc luded from all a r e a s within the

r I . - I I --- -- - UL L I I ~ n m - - --

tPe---e of -.

U k l a h O m a .

RESOLUTION NO- AS-91-06

ABSENTEE SHAWNEE TRIBE OF OKLAHOMA

SPECIAL EXECUTIVE COMMITTEE MEETING

OCTOBER 24, 1990

A RESOLUTION DULY ADOPTED BY THE EXECUTIVE COMMITTEE OF THE

ABSENTEE SHAWNEE TRIBE OF OKLAHOMA AMENDING SECTION 202 "C" OF

THE GAMING CODE O F THE ABSENTEE SHAWNEE TRIBE OF OKLAHOMA.

WHEREAS, t h e A b s e n t e e Shawnee T r i b e o f Oklahoma is a f e d e r a l l y r e c o g n i z e d I n d i a n T r i b e a n d h a s ,a C o n s t i t u t i o n which w a s a p p r o v e d by t h e Depar tment o f t h e Interior, and

WHEREAS, t h e E : recu t ive c o m m i t t e e ' o f the a b s e n t e e Shawnee Tribe o f Oklahoma is empowered to s p e a k and o t h e r w i s e c o n d u c t b u s i n e s s i n t h e name o f , . a n d on b e h a l f o f , t h e Flbsentee Shawnee T r i b e o f Oklahoma, - a n d

WHEREAS, t h e Gaming Code o f t h e A b s e n t e e Shawnee T r i b e o f Oklahoma c u r r e n t l y read:

"Class "CW. 6 Class C L i c e n s e may be i s s u e d a t an a n n u a l ra te of %1,200.00 f o r the r e v o c a b l e p r i v i l e g e o f o p e r a t i n g satel 1 i te gaming i n a . s p e c i f i c l o c a t i o n w i t h i n t h e j u r i s d i c t i o n o f t h e A b s e n t e e Shawnee T r i b e o f Oklahomaw., and

WHEREAS, it is deemed i n the best i n t e r e s t s o f t h e T r i b e t o amend Section 202 "c" ot t h e a b s e n t e e Shawnee Gaming Code o f 1990 t o r e a d as f o l l o w s : i

" C l a s q ncn. . A C l a s s C L i c e n s e may be issued f o r t h e r e v o c a b l e p r i v i l e g e o f o p e r a t i n g satel l i te gaming i n a s p e c i f i c l o c a t i o n w i t h i n the j u r i s d i c t i o n o f t h e Absentee Shawnee T r i b e o f Oklahoma. No c h a r g e s h a l l be made f o r such l i c e n s e " .

NOW THEREFORE BE IT RESOLVED, . t h a t S e c t i o n 202 " c " of t h e A b s e n t e e Shawnee T r i b e of Oklahoma Gaming Code is h e r e b y amended t o read : " A Class C L i c e n s e may b e issued f o r t h e r e v o c a b l e p r i v i l e g e of o p e r a t i n g s a t e l l i t e gaming i n a s p e c i f i c l o c a t i o n w i t h i n t h e j u r i s d i c t i o n of t h e Absentee Shawnee T r i b e o f Oklahoma. No charge s h a l l be made f o r s u c h l i c e n s e " .

We, L a r r y Nucko l ls , Governor, and J i m Johnson, Secretary , of the Absentee Shawnee T r i b e o f Oklahoma, do hereby c e r t i f y t h a t t h i s Reso lu t ion No. AS-91-06 t o be a t r u e and exact copy as approved by the Execut ive Committee of the Absentee Shawnee T r i b e o f Oklahoma a t a duly c a l l e d meeting he ld on October 24, 1990, there being a quorum present , by a vo te of 4 i n favor, Q opposed and Q abstent ions , as fo l l ows : Lt. Governor: A x ; Secretary: FIX; Treasurer: A x ; Representat ive: . Governor 's vote, if r equ i red : .

s e c t i o n 206. Every l i c e n s e e s h a l l d i s p l a y i n a prominent place a c u r r e n t and v a l i d l i c e n s e f o r t h a t loca t ion .

--

-- - - --

-

~ + W 3 - - - ~ - - ~ - 1 ~ c h ~ s S a m a t i KTf publi c gaming a c t i v i t i e s w i t h i n t h e Absentee Shawnee Tr ibe of Oklahoma, t h e Commissioner s h a l l i s s u e a c o r r e c t e d l i c e n s e f o r the balance of the c u r r e n t pe r iod r e f l e c t i n g t h e new address upon reasonable proof of change of address and without imposition of an a d d i t i o n a l l i c e n s e fee.

S e c t i o n 208. Pees. Each a p p l i c a t i o n f o r an i n i t i a l or renewal l i c e n s e s h a l l be accompanied by payment of t h e l i c e n s e fee. Sub jec t only t o t h e appepl a s provided under this Code, t h e Cornmissioner s de terminat ion of t h e l i c e n s e f e e properly owed under t h i s Code s h a l l be f i n a l . This f e e i s imposed f o r t h e revocable p r i v i l e g e of be ing l i c e n s e d t o engage i n public gaming a c t i v i t i e s w i t h i n t h e Absentee Shawnee Tr ibe of Oklahoma.

S e c t i o n 209. . Nan-transf e r a b i l i h r . The l i c e n s e i s s u e d pursuant t o the provis ions of t h i s Code is valid only f o r t h e person(8) o r . o r g a n i z a t i o n ( s ) . a t t h e p lace of

- ' bus iness . shown on the f a c e thereof . I t i s n o t a s s i g n a b l e or otherwise t r a n s f e r a b l e t o any o t h e r person or organiza t ion o r f o r any o the r l o c a t i o n

. - w i t b o u t t h e w r i t t e n approval of t h e Commissioner. . . . .,. " 5.;. . .... .t*. .'.;rl. .. . L a - .

s e c t i o n 210. A l l l i c e n s e f e e s s h a l l be pa id t o t h e Treasury of t h e Absentee Shawnee T r i b e of Oklahoma.

S e c t i o n 211. The P u b l i c Gaming Operat ions l i c e n s e is a revocable p r iv i l ege , and no holder thereof s h a l l be deemed t o have a p a r t i n any ves ted r i g h t s t h e r e i n or thereunder. The burden of proving q u a l i f i d a t i o n s t o hold any l i c e n s e r e s t s a t a l l times i n the licensee. The Commissioner i s charged by law with t h e duty of c o n t i n u a l l y

' observing the conduct of a l l licensees t o t h e end .a

that l i c e n s e s shall n o t be held by unqual i f ied o r d i s q u a l i f i e d persons or u n s u i t a b l e person (s) whose o p e r a t i o n s are conducted i n an unsui tab le manner.

. - S e c t i o n 212. v i o l a t i o n of any prov i s ions of t h i s Code or any of

t h e Commissioner's rules by a l i censee , his agen t , o r employee s h a l l be deemed con t ra ry t o t h e p u b l i c health, s a f e t y , morals, good order, and genera l w e l f a r e of the Absentee Shawnee Tribe of Oklahoma and t h e i n h a b i t a n t s of t h e Absentee Shawnee T r i b e of Oklahoma, and s h a l l be deemed grounds f o r a f f i r m a t i v e Commissioner ac t ion . Such Commissioner a c t i o n s h a l l include, but not be l i m i t e d to:

I

A. Suspension or revocat ion of a l i c e n s e ;

S e c t i o n 213.

S e c t i o n 214,

S e c t i o n 215.

S e c t i o n 216.

B. .Refusa l t o g r a n t o r renew or g r a n t or renew a l i c e n s e ;

C. or- duals o r individuals - -errtrlties fr om any - -- or

D. F i l i n g of c o u r t a c t i o n ,

Acceptance of a l i c e n s e o r renewal the reof , or cond i t ion imposed thereon, by a l i c e n s e e c o n s t i t u t e s an agreement on t h e p a r t of the l i c e n s e e t o be bound by a l l t h e r e g u l a t i o n s and/or cond i t ion8 of t h e Commissioner and by the prov i s ions of this Code as the same a r e now or may h e r e a f t e r be amended o r promulgated. I t i s the r e s p o n s i b i l i t y of the l i c e n s e e t o keep himself informed of t h e c o n t e n t s of a l l such regu la t ions , p rov i s ions r and c o n d i t i o n s , and ignorance thereof w i l l no excuse t h e v i o l a t i o n s ,

As a p r o v i s i o n of l i c e n s i n g , a l l c o n t r a c t s o r agreements w i t h t h e Absentee Shawnee Tr ibe of Oklahoma that i n c l u d e gaming o r r e l a t e d a c t i v i t i e s must be reviewed by the Commissioner. Upon such review' the Commissioner s h a l l . reform a l l gaming c o n t r a c t s t o comport and comply with e x i s t i n g t r i b a l -and f e d e r a l l aw. Any r e f ormati on

~ d . p r w i s i o n s ' s h a l l be prepared i n w r i t i n g . and d e l i v e r e d t o t h e Execut ive Committee and a l l o the r p a r t i e a t o the c o n t r a c t ,

Any person .or e n t i t y e n t i t l e d t o r e c e i v e n o t i c e of . .reformation s u b j e c t t o S e c t i o n 214 may request a h e a r i n g f o r r e c o n s i d e r a t i o n o f the Commissioner' s r e f ormation, provided such r e q u e s t is made wi th in t e n . ' (10) days of d e l i v e r y of reformation provis ions . Tbe Commissioner, upon such request , s h a l l promptly set a hearing date, n o t i f y any person or entity e n t i t l e d - t o n o t i c e pursuant t o S e c t i o n 214 of the h e a r i n g d a t e i n wri t ing. A t the, h e a r i n g the Commissioner s h a l l rece ive test imony ' and e x h i b i t s t o determine whether t o amend the ref ormation p r o v i s i o n s prepared pursuant t o S e c t i o n 214. I n ..no even t s h a l l t h e Commissioner d e l a y a hea r ing reques ted pursuant t o t h i s s e c t i o n more than f o r t y - f i v e (45) days beyond t h e d a t e of i s s u a n c e of n o t i c e of reformation pu-rsuant t o S e c t i o n 214.

A t the conc lus ion of any hear ing . requi red by S e c t i o n 215, the Commissioner s h a l l wi th in f i v e '(5) days render a w r i t t e n dec is ion . Said dec is ion s h a l l contain a de te rmina t ion t h a t recons idera t ion i s warranted o r no t warranted. If recons idera t ion i s warranted t h e Commissioner s h a l l s t a t e whether any reformat ion i s necessary and i f s o s h a l l f u l l y

Absentee Shawnee Tribe of Oklahoma 2025 S. Cordon Cooper

- S h 5 \ - 4 k l h ~ ~ 748Ql-M4-- --

T b a l Secr - -- -- -

P h o n e (405) 275-4030 Enrollrnc

FAX (405) 275-5637

MEMORANDUM

TO : Bruce Longhorn, Assistant Gaming Commissioner

FROM : Tribal Secretary

DATE : August 30, 1993

SUBJ : Addition of Title V to the Gaming Code

The Executive Committee adopted and added Title V, to the Absentee- Shawnee Gaming code at the August 25, 1993 Special Executive committee Meeting. A copy of the resolution with attachment is provided for your records.

Attachment Legislative Resolution L-AS-93-25

LEGISLATIVE - -- -- - -- -- -- -- -

-- -- - - - - -- - RESOL~TXOH NO. &-93-25- - - -

ABSENTEE-GBARNEE TRIBE OF INDIANS OF OKLAHOMA

SPECIAL EXECUTIVE COMMITTEE MEETING

AUGUST 25, 1993

A RESOLUTION DULY ADOPTED BY 'PBE EXECUTIVE COBMITTEE OF lCaE ABSENTEE-SHAWNEE TRIBE OF ZZJDWS OF o ~ r ~ ~ a m r ADOPTING AM) ADO= TITLE V, TO THE ABSENTEE 8ILBWHEE -G CODE, EFFECTfVE IMHEDIATELY.

-8, the Absentee-Shawnee Tribe of Indians of Oklahoma is a federally recognized Indian Tribe exercising all inherent sovereign rights from time inunemorial, and

WHEREAS, the Absentee-Shawnee Tribe of Indians of Oklahoma has a Constitution approved by the Department of the Interior, last amended in August, 1988, and

WHEREAS, the Executive Committee of the Absentee-Shawnee Tribe of Indians of Oklahoma is empowered by the Constitution to speak and otherwise conduct business in the name of, and on behalf of, the Absentee Shawnee Tribe of Indians of Oklahoma, and

WHEREAB, the various laws and ordinances of the Tribe must be amended from time to t ime to remain consistent and be in conformance with applicable Federal law and regulation, and

WEEREA8, 25 CFR. . 5 5 6 mandates that certain background investigations be performed for primary officials and key employees of gaming facilities, and

-, it is deemed in the best interests of the Tribe to implement these procedures in the selection of managerial and key personnel operating Thunderbird Entertainment Canter: . .

HOPI V C Z U BE IT RESOLVED, that the Absentee- hawn nee Tribe of Indians of Oklahoma adopts and adds Title V, to t&e Absentee Shawnee Gaming Code, effective hedfate ly .

W e , Larry Nuckolls, Governor, and Richard Little, Acting Secretary of the Absentee-Shawnee Tribe of Indians of Oklahoma, do hereby certify that this ~esolution No. L-AS-93-25 ta be a true and exact copy as approved by the Executive Committee of the Absentee- hawn nee Tribe of Indians of Oklahoma at a duly called meeting held on ,

L-AS-93-25 Page 2 of 2

~ugust 25, 1993, there being a quorum present, by a vote of 2 in favor, 0 Opposed, and 0 abstentions, as follows: Lt. Governor:

I ABSENT , Secretary: ABSENT, Treasurer: AYE, Representative: AYE, Governor's vote, if required, N/A.

0

R J m A m ) u

C K O U S , Governor LITTLE, Acting Secretary

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PRR4ARY MANAGEMENT O P F ' I ~ AND

XEY m Y E E S

Section 501. Privacv Notices

(A) The tribe shall place the following notice on the application form for a key employee or. a primary management official before that'form is filled out by'an applicant,

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

i with a tribe or a gaming operation- Failure to consent to the disclosures indicated in this notice will result in a tribe's being unable to hire your in a' primary management official or key employee position,

of your Social Security Number (SSN) is supply a SSN may result in errors

in proce

(B) ?&tribe shall notify in vrith&udsting key employees and primary management officials that they shall either:

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

(2) sign it zstatement that con&ins the Privacy ~ c t notice and consent to the routine uses described in that notice,

Section 502- potice reuardina false statements.

(A) The tribe shall place the follawina notice on the application form for a key employee or a p<imary management official before that form is filled out by an applicant.

A false statement on any part of the ation may be grounds for not hiring or firing after the begins work.

~ l s o one may be punished by fine or imprisonment (U.S. Code, title 18, S e c t i o n 1001).

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__- -- - - (~m&Lbd14--f-rrari;tin~ existlmkey &up loyees and primary management officials that they shall either:

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I (I) complete a new application form that contains a notice regarding false statements; or

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( 2 ) Sign a statement that contains the notice regarding false statements.

section 503 . Backaround investiuations for class I1 samins,

The tribe shall perform a background investigation tor each primary management official and for each key employee of a class 11 gaming operation.

(A) The tribe shall request, from each primary management official and for each key employee all of the following inf omation:

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

(2) For the previous 5 years: Business and employment positions held, ownership interests in those businesses, business and residence addresses, and drivers license numbers;

(3) 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 (A) (2) of this section;.

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( 4 ) C&&t business and residence telephone numbers;

( 5 ) A description of any previous business relationships with Indian tribes, including ownership interests in those businesses ;

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(6) A description of any previous business relati onships with the gaming industry general, including. amership interests in those businesses;

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( 7 ) The name and address of any licensing or regulatory agency w i t h which the person has filed an application for a license or permit related to gaming, whether or not such license or permit was granted;

(81 For each felony for w h i c h there is an ongoing prosecution or a conviction, the charge, the name and address of

Title V - AST Gaming Code 2

the court involved, and the date and disposition; - ---- - - - --

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- - - Phlr- cinvE€EtTon or ongoic misdemeanor prosecution (excludingminor traffic violations) withi 10 years of the date of M e application, the name and address c the court involved and the date and disposition;

(10) The name and address of any licensing or regulator agency with which the person has filed an application for a occupational license or permit, whether or not such licenses o permit was granted;

(11) A photograph; and

(12) Any other information a tribe deems relevant,

(B) The tribe shall conduct an investigation sufficient t make a determination under SS. 558.2 of this chapter. I. conducting a background investigation, the tribe and its agent. shall promise to keep confidential the identity of each perso: interviewed in the course of the investigation.

(C) If the National Indian Gaming (Cammission) and a t r i b c possess an investigative report for an employee, the tribe ma: update that report instead of performing an entirely net investigation.

Section 504. Pwort to Cammission for class n -a,

(A) When the tribe employs a primary management official 01 a key employee, the tribe shall forward to the Commission i completed application containing the information listed under S! 556.3 (A) of this patt,

(B) Before issuing a license to a primary management off icia: or to a key employee, a tribe shall forward to the Commission ar investigative report on each background investigation. AI investigative report shall include all of the following:

(1) Steps taken in conducting a backgrounc investigation;

(2) ~ e d t s obtained;

(3 ) Conclusions reached; and

( 4 ) The bases for those conclusions,

(C) When a tribe forwards its report to the Commission, it shall include a copy of the eligibility determination made under SE 558.2 of this chapter.

Title V - AST ~aming Code

section 505. Backaround investisations for class I11 -ino.

The t r i b e shall conduct a h c g r ~ ~ 1 1 d h s t i q a t i o n - each managem- off -a! -Icep employeT using

procediiFeS asstr ingentas those provided in SS 556.3

section 506- Re~ort to Commission for class III uaminu.

Before a tribe or other licensing authority licenses a key employee or primary management o f f i c i a l , the tribe shall foward t o the Commission the infornation required wder SS. 556.3(A)(l).

~ i t l e V - AST Gaming Code

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STATE 01: OKLnl lO~~A

I hcrchy m i r y this to hc a true and complcrc ccpy of ~te ckrunirm filed