SECTION 29-1-1.

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SECTION 29-1-1.

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OMAHA TRIBAL CODE (2013)

TITLE 29. CLASS Ill GAMING

Table of Contents

Title; Effective Date; Repealer........ccccccccccscssssssssssessssesestsessssssarsuvssiessstvessseecssseeeseeeseeeseccce. 1

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Games Permitted: 22.05.05, sels Sioetbe sete lagee ENS cs cccssscccceveouceceesscecarcacaressaseeussavescarsecevese 5

Tribal Gaming Commission. .....ccccceceeee veeedetgtenetescichepensseaeseecaeacaneceeensesssaenecasecscatevanes 6

Gaming Commission Meetings. :....0..062. BE ceecceeecneenserst be lag ccccetsecuescassuseesasessnes 16

Chairman of the Gaming Commission. .....000le.c0coecccccccsosccseccecceseec. PASE SEN Sing toceescensveetaesentcens 17

Primary Management Official.

Occupational Licensing

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SECTION 29-1-12. Approval of Licenses; Submission to Jurisdiction? .....ccccscccccccstuseeeeseeccce ee 23

SECTION 29-1-13. Conflict of Interest. wees

SECTION 29-1-14. Application/License Fee; Resident Agent. ....:.... a estsseeecacagdeteeseseseeadl veetafiseeeensetin fetbeeseeeee 24

SECTION 29-1-15. Types of Licenses and Registrations; Issuance and Other FeOS. sess deneaeeneess peesteineeee 24

SECTION 29-1-16. Licensee Ownership Rights... pede ecb Gb bt ee lb eeeeeeceeeet lipeecccsccussssenenns wetleagetpecssessecttsdeessree 26

SECTION 29-1-17, Notice: ...ehcesccsedeveseeseesseeteesees ess css er ee pee vetsesscactnatteseceereaneneyes, 26

SECTION 29-1-18. Reimbursement to Commission for Investigations. pptbecesscoddheseseceggageseasedtenss vesassesebeat aa 2.27

SECTION 29-1-19. Minimum Standards for Inspection and Approval of Gambling Devices. 2.0.0.0... 27

_ SECTION 29-1-20. Security and Surveillance. o.oo... ccseesssssessiseseessvessbattessesesesssssslissesescesssstesosllbeese oe 27

_ SECTION 29-1-21. Accounting and Cash Control. . webs batpeveaesteutethececceestalenesesunstesassuteecssaneereenersats 27

SECTION 29-1-22. Operational Procedures and Game Rules. Sbgectceceeseesceasohbpenceecarerceeeeqadsvlbuessseesesate 28

@ SECTION 29-1-23......cheteeleteeico 28

_ SECTION 29-1-24. Documents Provided by the T vibe to the State. oes ce cceeeseeesesseeccecsneessensecneneeess 29

SECTION 29-1-25. Location of Gaming.

SECTION 29-1-26. Jurisdiction. .......cccccs.,

~ SECTION 29-1-27.:Posting of Rules. scesssgtynaueeesidipdletensone

SECTION 29-1-28. Age Limit for Players. 0-000 ccs Co a NES OE 31

SECTION 29-1-29. Exemption from 15 U.S.C. See, 171 vipsiiveasnenbaedares jeotecseessssegarnesslobtdecaesecnareaseseeeeseansiuiaes 31

SECTION 29-1-30. Exemption from 15 U.S.C: Sections 171 to 1177. Sovvcueucuacayiteseceseececesecestensureeneaacss ; ceed

SECTION 29-1-31. legal Games and Activities. 0000 occ. Lsssuesiesestettabaneseesseestteessessees 31

SECTION 29-1-32. Civil Penalties for Persons or Entities that are not Licensees. o.....c000o.ossccceceee.. 33

SECT ION 29-1-33. Use of Gaming Billets and Coins; Alteration of Normal Operation of Gambling Devices.

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SECTION 29-1-34. Enforcement of Administrative Fines. eutngthbes eseescasecacercneesevecsaseeceerstenserssansill a 34

SECTION 29-1-35. Criminal Violations. ......0. deesetessbeveeeceseasseseceseecscesecanenevevagassssnasssasessscacsasuaphsidessesvstesseesees 34

SECTION 29-1-36. Procedures for Dispute Resolution. ...0.0..00ccccececececes ceressecuscasetssesittesapsiessucesecarsuecenees 34

SECTION 29-1-37. Exclusion or Ejection of Certain Persons From, Gaming Establishment. denen eneeeaeeseeeeeeaaes 35

SECTION 29-1-38. Minimum Payback. Debi eate eet ebeestiaee cates catacsecneegestbseseaececcscacasaesventenesietecssssetessssscsesereesvaes 36

SECTION 29-1-39. Records of Gaming Commission). -isc.......ccsccsccsecscssssceceseed.ccoecsooos sosestiveesesstteeeeceseee 36

SECTION 29- 1-40. Communications Between Members of the Commission aad its Agents... cee 36

SECTION 29-1-41. Application Forms. ...-c:ssssisvecssssseccctstiverticlieteessttsscsess oc scescssessctttsiecseee eee 36

SECTION 29-1-42. Calculation of Time Seiecenscensensaesseenecaresserseccencatsscssatensesnecanesasatereneres 37

SECTION 29-1-43. Limitations on Use of Gaming Revenues... ccccccccsesscssescssececssstscereseasavcesseseseveseeeeces 37

SECTION 29-1-44. Assessment for Commission Operations. oo... eee ceceeeceesceessesesececeseetsavereaneeceusreaenvenveses 37

SECTION 29-1-45. Penalties. .0......ecscsccssscsssesssesssssessesssseessassiessssesurseessssisesssssasessesssttvtsesestiteeseeetteeeeeeeeeecc 38

TITLE 29. CLASS IL! GAMING

CMAHA TRIBAL CODE (2043)

TITLE 29. CLASS HI GAMING

Source: Omaha Tribal Council Resolution No. 92-59 (4/13/92); amended by Omaha Tribal Council

Resolution No. 95-108 (6/14/95) to enact changes requested by the NIGC; approval by the NIGC was given on

6/21/96 and can be found at 61 FR 31963 and later on 8/26/02 found at 67 FR 54823.

SECTION 29-1-2. Title; Effective Date; Repealer.

This shall be known as the Omaha Tribe of Nebraska Class II lowa Gaming Code ("Codec"). This

Code is promulgated pursuant to Article [V, Sections I(h), (j) and (g) of the Constitution, the Bylaws and

the inherent powers of the Omaha Tribe of Nebraska (hereinafter "Tribe”) as a sovercign Indian Nation and

sets forth the terms for Class II] Gaming operations on Indian Land (as that term is defined generally at 25

U.S.C. Sec. 2703(4) and more specifically defined herein and Scction 1.10 of the Compact). The previous

laws of the Tribe governing Class Ill Gaming, to the extent they apply in the State of lowa and arc

inconsistent with this Code, are repealed hereby at the date and time of enactment hereof. This Code shall

be effective at the date and time of enactment.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

SECTION 29-1-3. Findings.

The Tribal Council of the Tribe finds as follows:

(a) The Tribe has exclusive primary jurisdiction and concurrent secondary jurisdiction with the State

of lowa and the United States of America to regulate Class IT Gaming on Indian Lands, as more

specifically delineated in Article 17 of the Compact, which provides for a division of jurisdiction pursuant

to 25 U.S.C. Sec. 2710 (d) (3) (C) (i)

(b) The Tribe has the sole propriety interest in and responsibility for the conduct of any gaming

operation authorized by this Code (unless the Tribe elects to allow individually owned gaming) and, by this

Code, the Tribe has the authority to operate Class II] Gaming activities on Indian Lands. (Class HI Gaming

is more specifically defined in 25 U.S.C. Sec. 2703(8) and at 25 C.F.R. §502.4.)

general welfare of its Citizens as well as the economy of the area surrounding the Tribe's reservation and

the inhabitants of such surrounding areas.

(d) The continued growth and success of Indian gaming is dependent upon public confidence and trust

that Indian gaming is conducted honestly and competitively and that Indian gaming is free from criminal

and corrupt elements.

(e) Public confidence and trust can only be maintained by strict and fair regulation of all persons,

practices and activitics related to the operation of Indian gaming.

(f) It is essential to the health, safety and general welfare of the Citizens of the Tribe that standards

and regulations to govern the conduct of Class II] Gaming activities be established and promulgated.

(g) Gaming is a socially acceptable method of recreation and a valid and efficient means for

enhancing governmental revenue, provided that it is properly, fairly and fully regulated.

(h) This Code is intended to implement the purposes set forth below as well as the terms of any

Management Contract referred to in 29-1-10 hereof or, specifically, the Management Agreement between

the Tribe and Larita, Inc. dated August 22, 1991 ("Management Agreement").

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

SECTION 29-1-4. Purposes.

TITLE 29. CLASS IIT GAMING

OMAHA TRIBAL CODE (2013)

This Code was promulgated in order to regulate the conduct of Class II] Gaming on Indian Lands

located in the State of Iowa and to implement the following purposes:

(a) To promote tribal economic development;

(b) To enhance employment opportunities for Tribal Citizens as well as residents of the Tribe's

reservation and the surrounding area;

(d) To generate revenue for usein improving the economic status, health, cducation and general

welfare of Tribal Citizens and create economic opportunities for Tribal Citizens;

% of the profits:received by the Tribe from the operation of Class II] Gaming are used to promote

economic development, education, governmental services, health and the general welfare of the Tribe and

its Citizens: :

(f) To develop and implement an effective regulatory scheme for the conduct of Class HI Gaming on

Indian Lands and to assure that such gaming adequately protects the environment and.is clean, well-run and

provides safe and fair entertainment for:its customers;

ee (g) To provide a basis forthe operation and regulation of Class III Gaming by the Tribe as a means of

promoting Tribal economic development, self-sufficiency and full employment of Tribal Citizens anda

strong Tribal government; a oe . .

(h) To assure that all Class Il Gaming activities will be conducted under the exclusive ownership,

control and responsibility of the Tribe, subject to the tights of Larita, Inc. under the Management

Agreement; : : es

activities conducted pursuant to this Code;

(): To comply with the Indian Gaming Regulatory Act, Public Law 100-497, 102 Stat..2425, codified

at 24 U.S.C. Sec. 2701, et seq. (1988) (hereinafter referred to as the "Act"), and the Compact and to set

forth the procedure and requirements for investigating, licensing and regulating Class I] Gaming on Indian

Lands. : oe :

(k) To protect the health, welfare and safety of the public; ©

(i) To.assure that the T ribe will receive at least 60 % of the net revenues of all Class III Gaming

(1) To-assure that the profits derived from Class TI Gaming are accurately reported, are transferred to

the rightful parties and are used for the purposes intended;

(m) ©... To assure honesty and financial integrity of all Class III Gaming-conducted pursuant to

this Code and the Compact; 1 :

(n) To deter any criminality, or the potential for any criminality to occur, and to shield any Class III

Gaming from any involvement with organized crime or other corrupting influences; and

(0) To protect, preserve and enhance-the economic.and general welfare of the public and the Citizens

of both the Tribe and the State of Iowa. [7 oo

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

SECTION 29-1-5. Definitions.

(a) "Act" means the Indian Gaming Regulatory Act, Sections 2-24, Pub. L. 100-497, 102 Stat. 2425

(codified at 25 U.S.C. Sections 2701-2721 and 18 U.S.C. Sections 1166-1168 (1991)).

(b) "Applicant" means any person, partnership, corporation or entity applying for a License pursuant

to this Code.

TITLE 29. CLASS HI GAMING

OMAHA TRIBAL CODE (2013)

(d) "Class HI Gaining" means all gaming which is not Class I gaming or Class I] gaming, as defined

herein, in Sections 2703(6) and 2703(7) of the Act, and the regulations promulgated pursuant to those

sections of the Act.

(ce) "Class I Gaming Equipment” means all proprietary devices, machines, and parts used in the

manufacture or maintenance of equipment which are used in and are an integral part of the conduct of any

Class HI Gaming activity authorized pursuant to this Code.

(f) "Class 11] Gaming Supplics" means all tickets, cards, boards, sheets or other supplies which are

used in and are an integral part of the conduct of any Class II] Gaming activity authorized or regulated

under this Code.

(g) "Commission" and "Commissioner" means the Omaha Tribal Gaming Commission and all

members thereof, including the Chairman.

(h) "Compact" means the Tribal-State Compact, including the Appendices to the Compact, both as

amended ftom time to time, between the Omaha Tribe and the State of Iowa.

(i) "DCI means the Division of Criminal Investigation of the lowa Department of Public Safety or

the division's designee.

(j) "Director" means the Director of the lowa Department of Inspections and Appeals or the Director's

designee.

(k) "Gambling Device" means Video Games of Chance, Progressive Slot Machines and Slot

Machines.

(l) "Gaming Code" and "Code" mean the laws, rules and Regulations of the Omaha Tribe, as

amended from time to time, which authorize, among other things, Class 1] Gaming on Indian Lands.

(m) “Indian Land" or "Indian Lands" means all lands on the Tribe's reservation in lowa and

all lands within the State of Iowa held in trust by the United States for the benefit of the Tribe or held by

the Tribe or any individual subject to restriction by the United States against alienation and over which the

Tribe exercises governmental power which existed on the date of enactment of the Act, and lands within

the State of lowa which may be acquired by the Tribe in the future and which meet the requirements of

Section 20 of the Act, 25 U.S.C. Sec. 2719.

(n) "Key Employee" means a natural person who is employed in an executive capacity or is

empowered by the Operator to make discretionary decisions or exercise significant influence over decisions

which regulate casino operation and any other person designated by the Regulations, including a person

who performs one or more of the following functions: bingo caller, counting room supervisor, chief of

security, custodian of gaming supplies or cash, floor manager, pit boss, dealer, croupier, approver of credit

or custodian of gambling devises including persons with access to cash and accounting records within such

devises. This term shall also include any person whose total cash compensation is in excess of $50,000 per

year or the four most highly compensated persons in the gaming operation.

(o) “License” or "Licensee" means the authority to operate, regulate or manage Class II] Gaming on

Tribal Land and the holder of such authority.

(p) "Lottery" means a game for which tickets are sold, the winning ticket or tickets being secretly

predetermined or later selected in a chance drawing and in which the holders of winning tickets receive

money or something of value. The term "chance drawing" includes the identification of winning numbers

or symbols by an clectronical, mechanical or glectromechanical device which makes the selection ina

random manner. The term "Lottery" includes keno and the types of games actually being conducted by the

lowa Lottery unless the game is by definition a Video Game of Chance or Slot Machine.

(q) "Management Contract" means the complete agreement between the Tribe and a Primary

Management Official including all collateral agreements relating lo gaming activity.

(r) "Omaha Tribe" or "Tribe" means the Omaha Tribe of Nebraska, tribal law enforcement authoritics

and all governmental persons or entitics acting under the authority of the Omaha Tribe.

TITLE 29. CLASS Hl GAMING

OMAHA TRIBAL CODE (2013)

(s) “Pari-mutuel" means a betting system in which all persons who bet share in an established prize

pool of similar bets.

(t) “Parlay Cards" means a form of Sports Betting in which the player must correctly select the

winners in a specified minimum number of events in order to win.

(u) "Parties-in-interest" or "Parry-in-interest" shall include all trustees and beneficiaries of a trust and

spouses of such trustees or beneficiaries; parties of a partnership and spouses of such partners, whether the

partnership is a limited partnership or a general partnership; the members of an association and spouses of

such members and; in the case of corporations, those individuals: who are members of the board of directors

or officers of such corporation and spouses of officers of such corporation.and spouses of such members of

the board or officers and each of its stockholders and spouses of such stockholders who hold, directly or

indirectly, applying the attribution rules of Section 318 of the Internal Revenue Code-(1986), 5 % or more

of its issued.and outstanding stock, or warrant or stock options entitling the holder to acquire 5 % or more

of its issued and outstanding stock at any time; and such other entitics or natural persons having a direct

financial interest in, or management responsibility for, a Primary Management Official or a Class III

Gaming facility and; if any stockholder owning more than 5 % of the stock ofa corporate Primary

Management Official is a corporation or partnership; every partner of such partnership and of such partners

or stockholder and spouses of such stockholders which own more than 5 % 6f the stock of such corporation

as well as corporate officers or members of the board of directors of such corporation and spouses of such

officers or members as well as those holding warrants or stock options entitling them to’acquire at any.time

_ 5 % or more of the stock; furthermore, such corporation shall also be considered a Party-in-interest to the

_ Primary Management Official. In the event that a proposed Primary Management Official is a publicly held

- corporation or partnership, whether general or limited, the term Parties-in-interest shall mean all general

partners.and any limited partners holding greater than 30 % of the issued and outstanding partnership units

of any class and; with respect to the publicly held corporation, the officers and director plus any person _

holding greater than 30% of the issued and outstanding stock of any class as well as the spouses of such

officers; members of the board of. directors and partners, whether general or limited; as well asthose

individuals holding options or warrants which would entitle them to acquire 30 or more of the outstanding

stock of such corporations or units of a partnership, applying the attribution rules of Section 318 of the =.

Internal Revenue Code (1986). - .

(v) "Primary Management Official" means any individual, sole proprictorship, partnership or <

_corporation which manages and operates a Class II Gaming facility on behalf of the Tribe pursuant to.a

Management Contract submitted for approval or approved by the Bureau of Indian Affairs, the Chairman of

the National Indian Gaming Commission or such other federal agency or authority exercising the

appropriate jurisdiction under the Act. The Primary Management Official shall have authority to hire.and

fire employees and set up working policies for the gaming operations, such person may be the chief

financial officer or any other person who hag financial management responsibility. a

(w) "Progressive Slot Machine" means a Slot Machine with a payoff which increases as the

Slot Machine is played. = : Es

(x) "Regulations" means the Regulations promulgated by the Commission or the Tribal Council

pursuant to this, Code. : oe

(y) "Revoke" shall mean to permanently void and recall all rights and privileges to hold or obtain a

License. . hee

(z) "Secretary" means the Secretary of the United State Department of Interior.

(aa) "Simulcasting" means the closed-circuit television or radio transmission of a horse or dog

race at a racetrack to another facility at the same time the race is being conducted.

(bb) "Slot Machine" means a mechanical or electronic Gambling Device into which a player

deposits coins or tokens and from which certain numbers or coins are paid out when a particular, random

configuration of symbols appears on the reels or screen of the device.

(cc) "Sports Betting” means the placing of bets or wagers on the outcome of any athletic

TITLE 29. CLASS II GAMING

OMAHA TRIBAL CODE (2013)

event, sporting event or similar contest, including, but not limited to, the playing of Parlay Cards.

(dd) "Sports Betting Pool" means a game in which numbers are randomly selected for the

participants and winners are determined by whether the numbers selected correspond to numbers relating to

an athletic event in the manner prescribed by the rules of the game.

(ec) "State" means the State of lowa, including individuals, entities, political subdivisions

(including counties), agencies and all others using, claiming or in any manner asserting any right or power

under the authority of the State of lowa.

(ff) "Suspend" means to cause a temporary interruption of all rights and privileges of a

License.

(gg) "Tribal Chairman" means the duly elected Chairman of the Tribe.

(hh) "Tribal Citizen" or "Citizen" means a person who is an enrolled member of the Tribe or a

person under the age of 18 who is eligible for enrollment.

(ii) "Tribal Court" or "Court" means the judicial body of the Tribe. "Tribal Council" or” Council"

means the Omaha Tribal Council.

(jj) "Tribal Gaming Commission," "Gaming Commission" and "Commission" means the Omaha

Tribal Gaming Commission established by the Tribe pursuant to this Code as required by the Compact.

y p I y p

(kk) "Tribe" means the Omaha Tribe of Nebraska, a federally recognized Indian tribe

organized pursuant to Section 16 of the Act of June 18, 1934 (48 Stat. Sec. 984) (25 USC Sec. 476), as

amended by the Act of June 15, 1935 (49 Stat. Sec. 378).

(Il) "Video Game of Chance" means a game of chance played on microprocessor- -controlled devices

that simulate games commonly referred to as poker, blackjack, craps, hi-lo, keno, roulette, line-up symbols

and numbers or other common gambling forms which are activated by the insertion ofa coin, token or

currency and which award coins, additional plays or a written or displayed statement of the amount ofa

prize. which is redeemable for cash.

Source: Resolution No. 92-59 of the Omaha Tribal Council, Apri 13, 1992.

SECTION 29-1-6... Games Permitted.

(a) When Permissible. The Tribe may engage in Class Il Gaming on Indian Lands provided:

(1) Such gaming is conducted in accordance with the requirements of the Act;

(2) Iowa permits such gaming for any purpose by any person, organization or entity; and

(3) Such gaming is conducted in conformance with the terms of the Compact, the Regulations

and this Code.

Any Class Ill Gaming activity conducted on Indian Land which does not mect these requirements 1S

illegal.

Source: Resolution No, 92-59 of the Omaha Tribal Council, April 13, 1992.

(b) Permissible Class II] Gaming. The Tribe may conduct under the Act and in compliance with the

terms of this Code and the Compact the following Class Tl Gaming activities:

(1) Dice games when played in accordance with this Code, the Compact and the game rules

described in the Regulations;

(2) Slot Machines, Progressive Slot Machines and Video Games of Chance when played in

accordance with this Code, the Compact and the game rules described in the Regulations;

(3) Wheel games when played in accordance with this Code, the Compact and the game rules

described in the Regulations;

TITLE 29. CLASS HI GAMING

OMAHA TRIBAL CODE (2013)

(4) Simulcasting when conducted in accordance with this Code, the Compact and the game rules

described in the Regulations;

(5) Card games when played in accordance with this Code, the Compact and the game rules

described in the Regulations;

(6) Sports Betting Pools and Sports Betting, including Parlay Cards, when played in accordance

with this Code, the Compact and the game rules described in the Regulations;

(7) Lotteries, including keno, when played i in accordance with h this Code, the Compact and the

keno rules described i in the Regulations; and

(8) Parlor: games when played in accordance with thus Code, the Compact and the game rules

described in the Regulations. :

Source: Resolution No, 92-59 oft the Omaha’ Tribal Council, ‘April 13, 1992.

(c). “Additional Class Ill Games; Procedure | for Approval. .The Commission shall have authority to

approve by Regulation such additional Class II, Gaming activities as may be lawfully. conducted pursuant

to the Compact and Section 29-1-5(a) of this Code. Prior to implementing any such newly approved Class

If Gaming activity, the Commission shall ask the Tribe to comply with Section 2.3 of the Compact and

obtain concurrence of the State in the conduct of such gaming: In connection with its request, the

_ Commission shall prepare-a written application ° which shall be submitted to the Tribal Chairman by the

Commission. The-application shall include any suggested amendments to the Compact, or any appendices

thereto, and shall specify the necessity (if any) of any modifications to this Code or the Regulations which

would be required by the conduct of such games. Approval i in accordance with the terms of the Compact

_ must be received prior to the implementation of such new. Class ii Gaming activity.

. Source: Resolution No. 92- 59 of the Omaha T tibal Council, April 13, 1992. -.

SECTION 29-1-7. Tribal Gaming Commission.

The Omaha Tribal Gaming Commission (ihe Coramission") is : hereby established. The purpose of the

Commission is to regulate the manner in which Class HI gaming is conducted. The Omaha Tribe depends

on gaming revenues, in part, to generate revenue to promote economic development, and to protect

employment opportunities. In order to help ensure that the gaming revenues continue;.the Commissions

authorized to develop and implement regulations regarding Class II gaming, take necessary steps to ensure

_ that the gaming facilities comply with the Indian Gaming, Regulatory Act, the Tribal Ganting Ordinance

and the Compact, and to take steps to deter: any and all. Criminal activity.

Source: Resolution No. 92-59 of the Omaha Tribal Couneil, April 13, 1992.

(a) Establishment; Members; Terms? Appointments. T here i is established hereby a Commission

which will be appointed by the Tribal Council and called the Omaha Tribal Gaming Commission.

Commission membership shall be made up of 3 members, consisting of the Chairman, and a Secretary and

a Treasurer. The three Commissioners must be Tribal Citizens who shall serve an initial three year term

under the direct authority of the Tribal Council, ‘Thereafter said terms shall be staggered. Tribal

government officials and employees of the Tribe shall not be eligible.to serve on the Commission. All

openings on the Commission shall be publicly advertised. Commissioners, as a prerequisite to appointment,

shall be at least 25 years of age and not have been art official of the Tribe within the two years preceding

their appointment to the Commission. Although not required, each Commissioner should have at a

minimum a four year college degree, comparable work experience or a combination of both. As a group,

Commission members should have experience in business management, law enforcement, criminal

investigation, accounting and auditing.

HISTORY: Omaha Tribal Council Resolution No. 96-117 (6/13/96) amended Section 6.1 , replacing

“consisting of the Chairman, which is a full time position, and a Secretary and a Treasurer which are each

TITLE 29. CLASS UI GAMING

OMAHA TRIBAL CODE (2013)

considered to be part time positions” with “consisting of the Chairman, and a Secretary and a Treasurer,”

striking “In the event that the Commission appoints an Executive Dircctor, the Chairman will be

compensated the same as the Secretary and the Treasurer;” and replacing “The three Commissioners must

be Tribal Citizens who shall serve staggered three year terms under the direct authority of the Tribal

Council” with “The three Commissioners must be Tribal Citizens who shall serve an initial three year term

under the direct authority of the Tribal Council.”

(b) Commissioners; Compensation. The Chairman, the Secretary, and the Treasurer, respectively,

shall be compensated at the rate of thirty-five thousand dollars ($35,000) per year. The Tribal Council may

increase or decrease the Commissioner’s compensation commensurate with the increase or decrease of

gaming revenues.

HISTORY: Omaha Tribal Council Resolution No. 96-117 (6/13/96) amended Section 6.2, which

previously read: “Both the Secretary and the Treasurer shall receive $80 per day for each 8-hour day that

the Commission is properly convened. Compensation for meetings lasting less than 8 hours shall be on a

pro-rata basis. The Commission is required to meet at least one time in cach fiscal quarter. The salary for

the Chairman shall be determined by the Tribal Council.”

authorized to reimburse themselves from Commission funds for all necessary and reasonable travel and

other reasonably necessary expenses which may be incurred by them from time to time, in accordance with

tribal policies and procedures, as may be in effect from time to time for the Tribe generally. Extraordinary

expenses must have the prior approval of the Tribal Council.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

(d) Standards for Proposed Commissioners. A background check will be performed to determine

whether any Commission member (a) has been convicted of any gaming related offense, (b) has any

financial interest-in, or management responsibility for, any gaming activity, (c) is incligible for a license

under the Ordinance, and (d) has any immediate family members who have a financial interest‘in the |

gaming specifically regulated by the Commission other than the financial interest enjoyed equally by all.

Indians. A positive finding of any of these shall result in that person's ineligibility for Commission

membership.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 3, 1992:

(ec) Commissioners; Background Investigation; Failure To Qualify; Vacancies. Prior to appointing a

permanent Commissioner, the Tribe shall conduct or cause to be conducted a background investigation on

the proposed Commissioner, who shall be required to satisfy the requirements for background

investigations set forth in Section 29-1-11 (e) of this, Code. The Tribal Council shall approve the

background investigations which shall be conducted by the Tribal police or other designee of the Tribal

Council. The Tribal Council shall not appoint a permanent Commissioner if the individual does not meet

the criteria in Sections 12-1-6 (a) and 12-1-6 (d) of this Code. The Tribe may appoint a Commissioner pro

tem pending the satisfactory completion of the background investigations as determined by the Tribal

Council. Should the background check on any proposed appointee be determined negative by the Tribal

Council, then that appointee shall not be eligible to further serve on the Commission. The failure of a

Commissioner pro tem to qualify shall not affect any decision made by such person unless the Tribal

Council, following a hearing on the record and issuance of written findings of fact and conclusions of law,

shall otherwise determine. Any such decisions by the Council shall be appealable to the Tribal Court as a

contested case under Exhibit G hereof. Such contested case shall be based on the argument that there has

been a clearly crroncous standard on the record made before the Council. The failure of a Commissioner

pro tem to qualify as a permanent Commissioner or to maintain such qualification under this Code, the

Compact or other applicable law shall cause the Tribal Council to appoint a successor within 10 business

days after notice thereof and, in the event the Tribal Council fails to make such appointment in such 10 day

period, the General Counscl to the Tribe shall act as Commissioner pro tem until the Council appoints a

successor.

TITLE 29. CLASS I] GAMING

OMAHA TRIBAL CODE (2013)

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

(f) Jurisdiction, Powers of Commission. The Commission shall have full, complete and perfect

jurisdiction over Class III Gaming and shall autonomous authority to regulate and supervise all authorized

and unauthorized Class II] Gaming. However, the Commission shall not have the power to interfere with a

Primary Management Official's decisions regarding expenses of operation which implement a budget

approved by the Tribe in accordance with a Management Contract. The Commission shall have and

perform duties and powers as prescribed by this Code. which include the following duties and powers which

shall be exercised consistently with the Act, the Compact, this Code and the Regulations:

(1) To draft; propose ‘and promulgate Regulations with regard to engaging in, licensing and

regulating all aspects of Class II| Gaming and which have the force of law as may be necessary or

desirable in the judgment of the Commission for the effective, fair and efficient regulation of Class III

Gaming. Such Regulations shall be consistent with the purposes of this Code, the Act.and the Compact

under which all Class. HI Gaming shall be conducted and all Class IT Gaming facilities maintained;

To specify by Regulation the wagering structure for Class III Gaming consistent with the following:

(2)

(A) Regulations shall include a maximum wager and maximum Joss on all authorized gaming

- conducted by the Tribe except Pari-mutuel wagering on Simulcasting, Lotteries, Sports Betting

Pools and Sports Betting, including Parlay Cards. Such maximum wager and loss'shall be equal to

~or less than the maximum wager and maximum loss. specified by law for games regulated by

Jowa's Excursion Boat Gambling Laws. The maximum wager and maximum loss limits currently

~ applicable to such g games shall be in compliance: with the Compact,

(B) —_-Pari- mutuel wagering on Simulcasting and Lotteries may be conducted without a

wagering or loss limitation; ee

shall not exceed the maximum wager specified i in-the Regulations; and

(D) Sports Betting, including betting on Parlay Cards, shall be conducted so that no

participant wins or loses on Sports Betting more than a total of $50 at any time during a period of

24 consecutive hours. A person wins the total amount at stake in any game, wager or bet

regardless of any amount that person may. have contributed to the amount at stake within the

_ limitations specified in the Regulations;

ce (3) _. To issue and serve subpoenas for the production of documents, things.or “persons and to

administer oaths or affirmations and to require testimony under-oath or affirmation before the —

“Commission in the course of any investigation or hearing conducted under this Code or the .

Regulations; for which process and notices shall be served in the manner provided by. the Tribal Code,

(4) > “To propound written interrogatories and to appoint hearing examiners to whom may be

delegated the power and authority to administer oaths or affirmations, issue subpoenas, propound

written interrogatories and require: testimony ‘under oath;

(5) To specify the payout from Class III Gaming consistent with the limitations in this Code and

the Compact; =

(6) To inspect, monitor ‘| ae os where gaming is conducted and Gaming

Devices, Equipment or Supplies are utilized, sold or distributed;

(7) To enter, inspect, observe or investigate at any time, with or without warrants, notice or

warnings, the offices, facilities or other places of business of a Primary Management Official,

wherever the same may be located, in order to determine compliance with the Compact, this Code, the

Regulations and other applicable laws;

(8) To investigate alleged violations of the Compact, this Code, the Regulations and other

TITLE 29. CLASS IT GAMING

OMAHA TRIBAL CODE (2013)

applicable laws and to take appropriate disciplinary action or recommend institution of criminal

proceedings against a Primary Management Official or a Licensee and other persons for a violation of

any of the foregoing or to institute appropriate legal action for enforcement or any of the foregoing;

(9) To conduct investigative hearings concerning the conduct of Class HI Gaming and Gaming

operations as well as the development and well-being of the industries controlled by the Act, the

Compact, this Code and the Regulations;

(10) To determine, assess and collect civil and administrative fines and Revoke or Suspend

Licenses for conduct violating the terms of the Compact, this Codec, the Regulations or other applicable

laws;

(11) To investigate the activitics of any person, firm or other business entity relating to the

conduct of any Class HI Gaming activity;

(12) To compel, by order of the Commission, the attendance of witnesses or the production of

any books, papers, correspondences, memoranda, documents, agreements or other records which the

Commission; in the exercise of its discretion, deems relevant or material to any investigation,

(13) To provide by Regulations for the surveillance and videotaping of all authorized Class HI

Gaming Activities;

(14) To provide by Regulations for requirements necessary for reasonably adequate security at all

facilities in which authorized gaming is conducted;

(15) To confiscate or shut down all Class IN Gaming Equipment and Class II] Gaming Supplies

failing to conform to the standards required under this Code, the Regulations, the Compact or the Act;

(16) To seize, impound, inspect, examine and photocopy all papers, books and records of

Applicants and Licensees and require verification of income and expense of Class II] Gaming activities

and all activities conducted under or in violation of this Code, the Compact or the Regulations;

-.. (17)’To collect all license, investigation and registration fees imposed by this Code andthe

Regulations; to conduct all hearings, pertaining to civil violations of this Code, the Regulations, the _

Act or the Compact; : a os

(18). To be present through its members and agents at all times during the operation of any casino

for the purpose of certifying the revenue thereof and conducting such other investigations into the

conduct of Class II Gaming and the maintenance of Class If] Gaming Equipment and Supplies as from

time to time the Commission may deem necessary and proper;

(19) To review and rule upon any complaint by a gaming Primary Management Official regarding

any investigative procedures of the Commission which are unnecessarily disruptive of casino

operations. The disruption of a Class I!] Gaming operation shall be proved by preponderance of the

evidence and establish that:

(A) the procedures had no reasonable law enforcement purpose; and

(B) the procedures were so disruptive as to unreasonably inhibit operations of a Class HI

Gaming facility;

(20) To make changes to and approve operational procedures prepared by Primary Management

Officials which govern the specific operation of Class If] Gaming facilitics, including sccurity,

accounting, game rules, cash control, game procedures and other matters, all of which, following

approval, will have the force of law pursuant to this Code;

(21) To develop licensing procedures and issue permanent, probationary and temporary Licenses

and to oversec, regulate and define the conduct of all Licensees;

(22) To conduct or cause to be conducted background investigations and a review of the prior

activitics, reputation, habits and associations, as prescribed by law, of all Key Employees and Primary

Management Officials, and such other persons as the Commission shall determine to be necessary in

TITLE 29. CLASS Il GAMING

OMAHA TRIBAL CODE (2013)

the exercise of its discretion, including, but not limited to, Primary Management Officials, Parties-ininterest, Vendors, Class II] Gaming Equipment or Supply Vendors;

(23) To forward completed employment applications and completed background reports for Key

Employees and Primary Management Officials to the National Indian Gaming Commission

(hereinafter "NIGC") prior to issuing a License, pursuant to the Act and to notify the NIGC if, after

completing the background investigations on the Key Employee or Primary Management Official, the

Tribe does not license the individual;

(24) To ensure that all licensed gaming Primary Management Officials are properly accounting

for all revenues and expenses (provided that the Commission shall not interfere with a Primary

Management Official's decisions respecting implementation of a budget approved by the Tribe under a

Management Contract) and. that these revenues and expenses‘are properly assigned and disbursed in a

manner accorded by Tribal and applicable federal law;

(25) To assist other law enforcement agencies in the investigation, enforcement and prosecution

of gaming violations of this Code, the Regulations and federal Jaw; 7 oe

(26) To adopt and approve an operating budget for the Commission;

(27) To report to the Council and/or Tribal Citizens; .

(28) To appoint, supervise and terminate a staff.as necessary and

(A) ~ all costs arising out of such necessary staffing will be paid out of Commission funds and

may be paid out of the general revenues of the Tribe, subject to approval of the Council: and

(B) all costs for independent audits, investigations and other independent consultants will be

paid out of Commission funds and may be paid out of the general revenues of the Tribe, subject to

_ the approval of the Council provided these services are competitively selected for in.advance, and

provided that this competitive sclection requirement shall not be applicable when the: Commission

determines that an emergency exists. oe

(29) To prepare a plan for the Council for distribution of per capita payments of net revenues

from Class IT. Gaming conducted pursuant to this Code to Tribal Citizens if and when per capita

payments are approved by the Council: ee a

(30) To hear and decide promptly and in reasonable order all License application requests and the

issucs affecting the granting, suspension, revocation or renewal thercof, :

(31)... To identify occupations within Class HI Gaming operations which require licensing and to

adopt:by-Regulations additional standards for licensing such occupations;

(32) To deny any License. application for cause and to revoke, cancel or suspend for cause any

License issued by it. Cause for denial-of an application and grounds to revoke, cancel or suspend any

License issued by it shall include instances in which the Licensee, Applicant, Party-in-interest or any

person with a substantial interest therein:

(A). “Willfully or knowingly violated the provisions, requirements, conditions, limitations or

duties imposed by the Compact, this Code; the Act or any Regulations; ~~

(B) Willfully or knowingly caused, aided, abetted or conspired with another to cause any

person to violate any of the provisions of the Act, the Compact, this Code or any Regulations;

information given to the Commission;

(D) Has obtained a License by fraud, misrepresentation or concealment of a material fact;

(E) Has been convicted of, forfeited bond upon or entered a plea of guilty or no contest to a

felony within the past 10 years, any gambling-related offense or fraud or misrepresentation or any

crime involving moral turpitude, or has willfully failed to make required payments or reports to a

governmental agency at any level, whether punishable as a felony or a misdemeanor;

TITLE 29. CLASS II GAMING

OMAHA TRIBAL CODE (2013)

(F) Whose prior activities or criminal record, ifany, or reputation, habits and associations

pose a threat to the public interest or to the effective regulation of gaming or create or enhance the

dangers of unsuitable, unfair or illegal practices, methods and activities in the conduct of Class IT]

Gaming;

(G) Has denied the Tribe, the Commission, the State or their authorized representatives

access to any place where activity required to be licensed under this Code is being conducted or

has failed to produce for inspection or audit any book, record, document or other item;

(H) Has failed to prove by a preponderance of the evidence his, her or its qualifications to be

licensed in accordance with the Compact, this Code and the Regulations;

(1) Has failed to pay any taxes and additions to taxes, including penalty and interest lawfully

required by Tribe;

QJ) Has failed to pay an administrative fine imposed pursuant to this Code or the

Regulations;

(K) Has been found guilty of any violation or attempt or conspiracy to violate any. law, rule or

regulation of gaming in any jurisdiction for which suspension or termination of employment or

License might be imposed in such jurisdiction, ,

(L) Has been Suspended from operating a game of chance or a gambling operation in another

jurisdiction or had a License to conduct gaming canceled, revoked, suspended or limited for any

reason;

(M) Has previously been found unfit for licensing by Nevada, New Jersey, lowa, South

Dakota or Nebraska;

(N) Is a person who is an employee or Key Employee ofa gaming establishment, if such

person is also a member of the Tribal Council or a spouse or relative of the first degree of such a

member and residing in the same household; oe

(O) Has failed to provide information, documentation or assurances required or requested by

the Tribe, the State or the Commission, or has failed to reveal any material fact as to qualification,

or the supplying of information which is untrue or misleading as to any material fact pertaining to

such qualification criteria; ee :

(P) Has failed to demonstrate financial responsibility sufficient to mect his, her or its

requirements (if any) under the License;

(Q) Has not disclosed the true ownership of the enterprise proposed,

(R) Has any demonstrated contacts, association or business enterprises with individuals

associated with or identified as organized crime;

(S) Has loaned money or other property of value to others for the purpose of permitting a

wager on any game of chance unless permitted in that jurisdiction; or

(T) Has any material investigation or prosecution pending in any jurisdiction;

(33) To issue and cause to be served upon the holder of a License issucd by it an order requiring

the License holder to cease and desist from violations of the Compact, this Code or any Regulation.

(A) The Order to cease and desist shall give reasonable notice of the rights of the License

holder to request an administrative hearing before the Commission and shall state the reason for

the entry of the order. Failure to cease and desist upon service of such an order shall be grounds

for disciplinary action by the Commisston;

(B) A hearing shall be held not later than 10 days after the request for the hearing is received

by the Commission and, within 20 days after the date of the hearing, the Commission shall issuc

an order vacating the ccase and desist order or making it permanent, as the facts require. Licensces

shall be entitled to a single continuation of not more than five days upon good cause shown. All

TITLE 29. CLASS Il GAMING

OMAHA TRIBAL CODE (2013)

hearings shall be held in accordance with the Regulations; and

within 30 days following the entry of such order or fails to appear at the hearing after being duly

notified, the License holder shall be deemed in default and the proceeding may be determined

against the License holder upon consideration of the cease and desist order, the allegations of

which may be deemed to be true.

(34) To impose or levy on a Licensee for-cause.an adininistrative fine of not more than

$50,000.00 per violation. For purposes of this subsection, "cause" shall include instances in which the

Licensee willfully or knowingly violated the provisions, requirements, conditions, limitations or dutics

imposed by the Compact, this Code or any Regulations.

(A) In determining whether to levy an administrative fine and the amount of the fine, if any

such fine is levied, the. Commission shall take into consideration the seriousness of the violation

and the extent to: which the Licensec derived financial gain as a result of the violation; and

-- (B) [fan administrative fine is levied, such fine shall be remitted by the Licensee to the

Commission within 30 days from the date of the order issued by the Commission imposing such

fine. Any unpaid administrative fine shall constitute a debt to the Commission, the amount and

validity of which can only be reviewed-under Exhibit G hereof, which debt may be sued upon and

recovered in any proper form of action in the name of the Commission in either the. Tribal Court or

the United States District Court and in the event such courts .do not have subject matter

jurisdiction, in any court of competent jurisdiction. -

(35) To require periodic reports of Class II Gaming activity from any person, firm or entity with

whom the Tribe has a contractual relationship and any other person, organizations or corporation, as

the Commission deems necessary to carry out the provisions of this Code; ,

; (36) To annually audit, examine or cause to have examined, by any agent or representative

-designated by the Commission for such purpose, any bank accounts, financial accounts, books, papers,

records, bills, contracts for services and supplies totaling over $25,000 in a year, timesheets, receipts,

vouchers, documents, clectronic media, database, computer records or memoranda relating in any

manner to the conduct of any Class II] Gaming activity. Such independent outside audits must be

submitted to the NIGC pursuant to the Act) :

(37) To compute, determine, assess and collect accurate amounts required to be paid to the

Commission as may be necessary to defray the costs. of regulating Class Il Gaming incurred by the

Commission; :

(38). To prescribe all.forms as are necessary to carry out the. provisions of this:Code and the

Regulations; : :

~ G9) Following advice and consent of the Tribal Council, to appoint a trustee to operate a Gaming

facility in the event the Primary Management Official's License has been Revoked-or Suspended

pursuant to'the terms of the Compact, this Code or the Regulations; oe

HISTORY: Resolution No. 97-92 of the Omaha Tribal Council, April 7, 1997, added

“Following advice and consent of the Tribal Council,” to the original language of Resolution 92-59 of the

Omaha Tribal Council, April 13;.1992. a

(40) To take any act which may be necessary or desirable to assure compliance with the terms of

any contract (other than that certain Management Agreement between the Tribe and Larita, Inc. dated

August 22, 1991) to which the Tribe or its enterprises is a party which relates to any Gaming activity

or to which the Tribe is not a party but relates to Class III Gaming activities conducted under this Code

or the Regulations; and

(41) To possess such other powers and authority as may be necessary or desirable to fulfill its

obligations under this Code, the Regulations and the Compact.

TITLE 29. CLASS III GAMING

OMAHA TRIBAL COD

E (2013)

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

(g) Specific Prohibitions.

(1) The Commission shall not become involved in, nor shall any of its members have any input

in, any official plans or discussions relative to the disbursement of any Tribal funds derived from the

regulated gaming activity.

(2) The Commission may not interfere with casino management's decisions with respect to

expenses of the gaming operation because those types of decisions are made pursuant to a budget that

has been approved by the Tribal Council.

(3) The Commission is not authorized to be or become involved in any personnel problems or

issues, other than those which may arise within the context of the licensing procedure.

(h) Causes for Removal of Commissioners. The following are causes for removal from the

Commission:

(1) Malfeasance in office;

(2) Neglect of duty;

(3) Excessive absence from regularly scheduled Commission meetings;

(4) Conviction of a felony or any gaming related offense (misdemeanor, felony and other certain

crimes);

(5) Noncompliance with this Code, the Regulations or the Compact; and (f) — Acceptanec of

bribes.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

(i) Procedure for Removal. Any Commission member who during the term for which he is sclected.

is charged with committing any of the offenses listed in 29-1 -6 (it) may be removed from office by order‘of

the Tribal Court following a hearing on the record. 6 a

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

(j) Vacancies: Should a vacancy in the Commission occur for any reason, the Tribal Council shall

appoint a replacement by majority vote.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992, amended by Resolution

94-81 of the Omaha Tribal Council, April 7, 1994.

(k) Notification to the Commission. A copy of the resolution for removal and the petition shall be

provided to the Commission and its members in the manner specified for service of process in civil matters

generally.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992. 6.12. Trial and Decision.

(1) Trial. The Tribal Court shall hear the petition for removal on an edited basis and trial shall

commence no later than sixty (60) days following service of the petition unless both parties agree to a

longer period and the Court approves. The Tribal Council shall bear the burden of proof on a

preponderance of the evidence standard. The accused shall enjoy the rights available to him as a civil

litigant under Tribal law.

(2) Written notification of decision. The Commissioner alleged to be in violation must,

following such hearing, be sent a written decision of the Tribal Court, including findings of fact and

conclusions of law. Such decision shall be rendered by the Tribal Court within forty-five (45) days

following submission of the case.

Source. Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

TITLE 29. CLASS HI GAMING

OMAHA TRIBAL CODE (2013)

() Interim Commission:

(1) The Tribal Council shall, immediately upon adoption of this Code, appoint an interim

commission (the “Interim Commission”) of between three (3) and seven (7) Commissioners which

shall have the same powers, duties and authority as the Commission, and shall function for an initial

period of six months, which initial period may be extended by resolution of the Council. Prior to any

such extension, each Interim Commissioner shall submit to and satisfy the requirements for a

background investigation pursuant to Section 29-1-6 (c) hereof.

(2) Each Interim Commissioner shall possess basic knowledge relative to Indian Gaming, as

determined by. the Tribal Council. A minimum of one-half of the Interim Commissioners shall be

Tribal members. : oe

(3) Immediately upon the appointment of the Interim Co mmission, the Tribal Council shall

initiate the proper procedures to form the Commission. Members of the Interim Commission may

apply for a position on the Commission. :

(4) The Interim Commission may appoint an Executive Director pursuant to Section 29-1-6

hereof. =: ne

(5) The Interim Commission may retain legal counsel to assist with its duties and to provide

legal advice. : SS :

Source: Resolution No, 92-59 of the Omaha Tribal Council, April 13, 1992, amended by Resolution

' No. 94-81 of the Omaha Tribal Council, April 7, 199420500 |

(m) Sovereign Immunity, The Commission is an entity of and created by the sovereign

powers of the Tribe and, as.such, shares the sovercign immunity of the Tribe. The Commissioners, except

when being removed from office under Sections 29-1-6 (h) through 29-1-6 (1), shall also enjoy:the

sovereign immunity of the Tribe. No waiver of sovereign immunity for acts of the Commission orits

members is made or implied hereby in any manner. However, persons aggrieved by the decisions of the

Commission may appeal such decisions in contested cases to the Tribal Court, as provided in Exhibit G

hereof, and such appeal shall constitute:the sole and exclusive method of review. No person, firm, entity or

government may institute any suit against the Commission or its members, excepting appeals in contested

cases under Exhibit G of this Code and actions for removal of a Commissioner from office under Sections

29-1-6 (h) through 29-1-6 (1), without the written unanimous waiver of sovereign immunity by the .

Commission and approval of the Tribal Council:

Source: Resolution No::92-59 of the Omaha Tribal Council, April 13; 1992.

“(n), Interim Authority. Until the Commission is appointed and organized, all powers vested in the

Commission may be exercised by the Tribal Council, acting by majority vote at a regular or special

meeting. :

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13,1992.

(0) Testimonial Immunity. The Commission may order any person to answer a question or questions

or produce evidence of any kind:or-bestow immunity, as provided in this section. If, in the course of any

investigation or hearing conducted under this Code or the Regulations, a person refuses to answer any

question or produce evidence on the grounds that he will be exposed to criminal prosecution thereby, then,

in addition to any other remedies or sanctions provided for by this Code, the Commission may, by

unanimous resolution and approval of the tribal prosecutor, issue an order to answer or produce evidence

with immunity. If, upon issuance of such an order, the person complies therewith, he shall be immune from

having such responsive answers given by him or such responsive evidence produced by him, or evidence

derived therefrom, used to expose him to criminal prosecution by the Tribe, except that such person may

nevertheless be prosecuted for any perjury committed in such answer or in producing such evidence, or for

contempt for failing to give an answer or produce evidence in accordance with the order of the

TITLE 29. CLASS Ill GAMING

OMAHA TRIBAL CODE (2013)

Commission; provided, however, that no period of incarceration for contempt pursuant to this section shall

exceed one year in duration. Any such answer given or evidence produced shall be admissible against him

in any investigation, proceeding or trial against him for perjury; in any investigation, proceeding or trial

against him for contempt; or in any manner consistent with tribal law and constitutional provisions.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

(p) Reports and Recommendations Concerning Gaming Regulation. The Commission shall carry ona

continuous study of gaming issues, including the operation and administration of gaming laws which may

be in effect in other jurisdictions, all the literature on gaming which may from time to time become

available, the federal laws which may affect the operation of Class If and Class [1] Gaming and the reaction

of Licensees, Primary Management Officials and Tribal Citizens to existing and potential features of Class

Il Gaming under this Code. The Commission shall be responsible for ascertaining any defects in this Code

or in the Regulations issucd hereunder, for formulating recommendations for changes in this Code to

prevent abuses thereof, for guarding against the use of this Code and the Regulations as a cloak for the

carrying on of illegal gambling or other criminal activitics, and for insuring that this Code and the

Regulations shall be in such form and be so administered as to serve the true purposes of this Code. The

Commission shall make annual report to the Tribal Council, on or before February 1 ofeach year, of all

revenues, expenses and disbursements, and shall include therein such recommendations for changes in this

Code as the Commission deems necessary or desirable. The Commission shall report immediately to the

Tribal Council any matters which, in the Commissions’ judgment, require immediate changes in the law of

the Tribe in order to prevent abuses and evasions of the Compact, this Code or the Regulations. The

Commission shall also rectify undesirable conditions in connection with the operation and regulation of

Class If Gaming.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

(q) Cooperation by Licensees or Applicants. Each Licensee or Applicant for a License under this

Code shall fully and completely cooperate with the Commission in performance of its dutics.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992. Section 7. Gaming

Commission Regulation-Making Authority.

SECTION 29-1-8.

(a) General Authority. The Commission shall draft and promulgate Regulations for the orderly

transaction and conduct of its business and such other substantive Regulations as may be proper and that

concern the following: the application for, issuance of, Revocation and Suspension of gaming Licenses, the

conduct of Licensees, game rules and operation of the Class II Gaming activities, technical standards for

Gambling Devices and Slot Machines, Class II] Gaming Equipment, Class III Gaming Supplies, Video

Games of Chance, Simulcasting, Sports Betting, Parlay Cards, Sports Betting Pools, Progressive Slot

Machines, reserves for prizes, Pari-Mutuel Wagering, Lottery, additional games authorized pursuant to

Section 29-1-5 (c) hereof and the Compact, security requirements, cash control standards and accounting

procedures and any other subject the Commission determines necessary or desirable to carry out the

purposes of this Code, The Commission shall also promulgate Regulations necessary to resolve complaints

which may be received from the public. Exhibits A through E of this Code include such Regulations

described herein.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

(b) Regulations; Mandatory Subjects. The Commission may, without limitation on the powers

conferred in the preceding section, include within its Regulations the following specific provisions m

accordance with the provisions of this Code:

(1) The methods and forms of application which any Applicant shall follow and complete prior

to consideration of his application by the Commission:

(2) The manner and procedure of all hearings conducted by the Commission or any hearing

TITLE 29. CLASS Ill GAMING

OMAHA TRIBAL CODE (2013)

examiner, including special rules of evidence applicable thereto and notices thereof;

(3) The manner and method of collection of administrative fines, assessments, fees and

penalties;

(4) The rules of authorized games, the odds, and the devices permitted, and the method of

operation of such games and devices;

(5) The grounds and procedures for the Revocation or Suspension of Licenses;

(6) The rules governing the manufacture, distribution, sale and servicing of Class II] Gaming

Equipment and Supplies; = — 7

(7) The procedures for approving the forms and methods of management controls, including

employce and supervisory tables of organization and responsibility, rotation schedules and minimum

security standards, security personnel structure, alarm and other electrical, auditory or visual security

measures; _— eee :

_ (8) The minimum procedures for the exercise of effective control over the internal fiscal affairs

ofa Primary Management Official, including provisions for the safeguarding of assets and revenues,

the recording of cash and evidence of indebtedness, and the maintenance of records and reports of

transactions, operations and events, including all: such reports to the Commission;

- (9) The procedures for approval of accounting methods, procedures, forms and accounting

classifications and such other operating procedures as may be necessary to assure consistency,

comparability and effective disclosure of all financial information, including calculations of

percentages of profit by. games, tables and Gambling Devices; and

(10) The required periodic financial reports and the form thereof, which shall include a semi-

» annual audit prepared by a certified public accountant attesting to:the financial condition.of a gaming

enterprise and disclosing whether the accounts, records and control. procedures examined are oS

maintained by the Licensee as required by the Compact, this Code and the Regulations.

Source: Resolution No. 92-59 of the: Omaha Tribal Council, April 13, 1992.

SECTION 29-1-9. Gaming Commission Meetings.

The Commission may hold regular and special meetings at such times and places as it may deem

convenient, but at least one regular meeting shall be held quarterly. Meetings may be held by telephonic

conference call. A majority of the appointed members constitutes a quorum of the Commission. A special

meeting may be called by any one Commissioner. Each part-time member of the Commission shall receive

a stipend of $80.00 plus expenses-at regular or special meetings at which a quorum is present. The stipend

shall be paid from fees and assessments collected by the Commission. ,

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

(a) Open Meetings. All actions and proceedings of the Commission shall be conducted during

meetings open to the public except actions and proceedings. which the Commission, by a majority vote, at

an open meeting, determines best conducted during an executive session closed to the public for the reasons

set forth in Section 29-8-1 (a ) hereof. Any record or document maintained: by the Commission shall not be

subject to being produced, copied-or disclosed in any manner, whether by the discovery process or court

order of a court if the Commission determines that the disclosure of such information would be harmful to

the effective and fair regulation of gaming, would disclose trade secrets or proprietary information or

would impair ongoing investigations.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

(b) Purposes for Executive or Closed Meetings. The Commission may hold executive sessions or

closed meetings for any of the following purposes:

(1) Considering applications for licensing when discussing the background investigations,

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OMAHA TRIBAL CODE (2013)

financial information or personal information of Applicants;

(2) Meeting with the gaming officials of other Indian Tribes or other jurisdictions, including

lowa, or meetings with tribal law enforcement officials, the tribal prosecutor, the United States

Attorney General, the Federal Burcau of Investigation, the Office of the Inspector General, the United

States Attorney and other law enforcement officials relating to possible criminal violations;

(3) Consulting with the employees and agents of the Commission concerning possible civil or

criminal violations of this Code, the Regulations, the Act or the Compact ;

(4) Deliberating to reach a decision after hearing evidence in a contested case;

(5) Discussing business strategies, marketing or pricing strategies of a Licensee or an Applicant

for a License, if the Commission determines public discussion may be harmful to the competitive

position of the Licensee or Applicant for License or discussions with a Licensee or an Applicant for a

License for the purposes of overseeing gaming contracts, and

(6) Meeting with attomeys and General Counsel to the Tribe.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

SECTION 29-1-10. Chairman of the Gaming Commission.

The Chairman is responsible on a full-time basis for the conduct of the Commission's administrative

matters but the Chairman may delegate his responsibilities to the Executive Director pursuant to Section

29-1-6 (a) hereof. The Chairman and his designees shall have the following powers:

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992, amended by Resolution No.

94-81 of the Omaha Tribal Council, April 7, 1994.

(1) To issuc temporary and probationary Licenses for all Licensees other than a Primary

Management Official; =: ©

(2) To issue permanent Licenses for all employees of any Class Ul Gaming facility other than

Key Employees and Primary Management Officials; .

(3) _ To oversee, regulate and define the conduct of Licensees,

(4) To inspect, monitor and examine all premises where Class II] Gaming is conducted, and

Class I Gaming Equipment and Supplies are utilized, sold, distributed or serviced; or where any

records of such activities are prepared or maintained;

(5) To inspect all Class II] Gaming Equipment and Supplies in, about or upon or around such

premises;

(6) To seize summarily and remove from such premises and impound any Class If Gaming

Equipment or Supplies for the purposes of examination and inspection;

(7) To inspect, cxamine and audit all books, records and documents pertaining to a Class If]

Gaming facility;

(8) To seize, impound or assume physical control of any book, record, ledger, game, device,

cash box and its contents, counting room or its equipment, or casino opcrations,

(9) To inspect the person and personal effects, present in or on the premises of a Class H]

Gaming facility licensed pursuant to this Code, of any Licensee while that person is present in the

Class I} Gaming facility;

(10) To supervise and direct the actions of all employees of the Commission;

(11) To conduct or cause to be conducted background investigations;

(12) To verify that all licensed gaming Primary Management Officials are properly accounting

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OMAHA TRIBAL CODE (2013)

for all revenues and expenses and that these revenues and expenses are properly assigned and

distributed in a manner according to tribal and applicable federal law;

(13) To assist other law enforcement agencies with the enforcement or prosecution of violations

of the Act, this Code, the Regulations and federal law;

(14) To supervise the day-to-day operations of the Commission;

(15) To report to the Commission concerning the operations thereof;

(16) To supervise audits and investigations: and

(17) To prepare reports and recommendations to the Commission concerning Applicants and

Licensees. cee oe

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992, amended by Resolution

No. 94-81 of the Omaha Tribal Council, April 7, 1994. . a

SECTION 29-1-11. Primary Management Official.

Primary Management Officials may operate the Tribe's gaming authorized by this Code andthe

Compact provided that the Management Contract, entered into between the Primary Management Official

and the Tribe, does not contain terms contradicting the terms of this Code, the Regulations, the Compact

and other applicable laws. The Management Contract must be approved by the Chairman of the National

Indian Gaming Commission (the "NIGC") or the Bureau of Indian Affairs (the "BIA") and the

_ Management Contract must prohibit the Primary Management Official from subcontracting; assi gning or

transferring its rights and duties or any ownership interest under the contract. The Primary Management —

Official must undergo a background investigation, as more specifically described in Section 29-1-1] herein,

to be conducted by the Commission, or its designee, and such investigation must be approved by the

Director in writing. The Primary Management Official shall be licensed by the Commission, as more

specifically described in Section 29-1-[1 herein, prior to conducting any authorized Class III Gatning

activity. A Primary Management Official may not operate the Class II] Gaming authorized by this Code —

__ and the Compact if the Chairman of the NIGC disapproved the licensing of the Primary Management :

_ Official or Parties-in-interest thereto or if-the Chairman of the NIGC has disapproved (without suggesting:

modifications) the Management Contract. oe Do

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

SECTION 29-1-12. Occupational Licensing. . ~ :

(a) Licenses, Issuance, Qualifications. Every person participating in Class II,Gaming on Indian Land,

especially Key Employees and Primary Management Officials, shall have an occupational license issued by

the Commission. All such licensing shall be consistent with the procedures found at 25 C.F:R. §§ 556 and

558. The Commission shall specify by promulgation of Regulations the licensing requirements for cach

position. Such:requirements'shall include the following, together with such other requirements as may be

necessary for the effective regulation of gaming: : .

(b) All Applicants must:

(1) Beat least eighteen (18);

(2) Not have been convicted, within the last ten (10) ycars, of a gambling-related offense, an

offense involving fraud, misrepresentation or deception, a drug-related offense or any felony. Ifa

conviction for any of these offenses occurred more than ten (10) years prior to the date of the

application, the Commission may issue a License if the Commission determines that sufficient

evidence of rehabilitation exists. The Commission shall temporarily deny a License and shall Suspend

an existing License if charges are pending against an Applicant which, if resulting in a conviction,

would disqualify the Applicant from receiving or holding a License;

(3) Not have been denied a gaming License by the State of Iowa, or currently have a gaming

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OMAHA TRIBAL CODE (2013)

License which has been Suspended by the State of lowa or have had a gaming License Revoked by the

State of lowa;

(4) Not be employed in any part-time or full-time employment with a government or private

employer in any capacity which would create a conflict of interest between the Applicant's

employment and the interests and objectives of the licensed employment,

(5) Be of good moral character;

(6) Be trainable or qualified (by experience or otherwise) to perform the duties required,

(7) Agree to comply with the Regulations, this Code, the Compact and with all other applicable

laws and submit to the jurisdiction of the Commission and the civil jurisdiction of the Tribal Court;

(8) Be eligible to hold a License under the standards set forth in Section 29-1-6 (f) (32); and

(9) Agree that the License shall be nontransferable thus prohibiting the Licensec from

transferring any of its rights or duties relating to the License either directly or indirectly.

conduct or cause background investigations to be conducted on Applicants to verify the truthfulness of the

information provided by the Applicant to the Commission and to ensure that persons and entities licensed

by the Commission are eligible for licensure. However, upon payment of the appropriate fees and the

completion of such forms as the Commission deems appropriate, temporary Licenses for all occupations

may be issued pending completion of background investigations and approval by the NIGC. During the

first 180 days following the enactment of this Code, a person or entity which holds a gaming License issucd

by the states of lowa, New Jersey, South Dakota or Nevada, upon showing proof of such License, shall be

deemed to have a temporary License under this Code.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

».(d) Revocation, Suspension or Cancellation of License. The Commission shall Revokc, Suspend or

Cancel an existing License upon a violation of this Code, the Compact, the Regulations or the happening of

any event which would have made the Licensee incligible for a License if the event had occurred prior to

the issuance of a License. : : :

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

that the policies and procedures sct out in this section are implemented with respect to Key Employees and

Primary Management Officials employed at any Class HI Gaming enterprise operated on Indian Lands.

(1) Application Forms.

(A) The following notice shall be placed on the application form for a Key Employee ora

Primary Management Official before that form, is filled out by an Applicant:

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

information on this form is authorized by 25 U.S.C. 2701 et seq. The purpose of the requested information

is to determine the eligibility of individuals to be employed in a gaming operation. The information will be

used by National Indian Gaming Commission members and staff who have need for the information in the

performance of their official duties. The information may be disclosed to appropriate Federal, Tribal, State,

local, or foreign law enforcement and regulatory agencics when relevant to civil, criminal or regulatory

investigations or prosecutions or when pursuant to a requirement by a tribe or the National Indian Gaming

Commission in connection with the hiring or firing of an employee, the issuance or revocation of a gaming

license, or investigations of activities while associated with a tribe or a gaming operation. Failure to

consent to the disclosures indicated in this notice will result ina tribe's being unable to hire you in a

primary management official or key employce position.

The disclosure of your Social Security Number (SSN) is voluntary. However, failure to supply a SSN

may result in crrors in processing your application.

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OMAHA TRIBAL CODE (2013)

(B) Existing Key Employees and Primary Management Officials shall be notified in writing

that they shall, either:

() Complete a new application form that contains a Privacy Act Notice; or

(ii) Sign a statement that contains the Privacy Act Notice and consent to the routine

uses described in that Notice... =...

Primary Management Official before that form is filled out by an Applicant:

A false statement on any part of your application may be grounds for not hiring you, or for firing you

after you begin work. Also, you may be punished by fine or imprisonment. (U.S. Code; title 18, section

1001.) ©. a . ve a

ee (D) The Commission shall notify in writing existing Key Employees and Primary

Management Officials that they shall cither: :

@) ~~ Complete.a new. application form that contains a notice regarding false

statements; .or . _ o : : . : :

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

(2) Background Investigations,

(A) Background investigations for Primary Management Officials and Key Employees

performed for the Commission or required by.any federal agency must be completed prior to the

issuance of a permanent license. Background investigations performed for the Commission may

be performed by Tribal law enforcement authorities, provided that such authorities have access to

the law enforcement records of the Federal Bureau of Investigation and such authorities are

certified graduates of the federal law enforcement academy or the Nebraska or Iowa law

enforcement academy, the Federal Bureau of Investigation or another entity mutually agreeable to

the Tribe andthe Director, :

(B) — The Commission shall request from.cach Primary Management Official and from each

Key Employce all of the following information: - a

(i) Full name, other names used (oral or. written), social security number(s), birth

date; place of birth, citizenship, gender, all languages (spoken or written); .

oe (i) Currently and for the previous 5 years: business and employment positions held,

ownership interests in those businesses, business.and residence addresses and drivers license

numbers; Pe AB -—toe es a

(iii) ~~. The names and current addresses of at Ieast three personal references, including

one personal reference who was acquainted with the Applicant during each period residence

listed under paragraph (B) (ii) of this section:

(iv) Current business and residence telephone numbers;

(vy) A description of any existing and previous business relationships with Indian

tribes, including ownership interests in those businesses;

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Source:

OMAHA TRIBAL CODE (2013)

(vi) A description of any existing and previous business relationships with the

gaming industry generally, including ownership interests in those businesses;

(vil) The name and address of any licensing or regulatory agency with which the

person has filed an application for a license or permit related to gaming, whether or not such

license or permit was granted;

(viii) | For cach felony for which there is an ongoing prosecution or a conviction, the

charge, the name and address of the court involved, and the date and disposition ifany;

(ix) For cach misdemeanor conviction or ongoing misdemeanor prosecution

(excluding minor traffic violations), within 10 years of the date of the application, the name

and address of the court involved and the date and disposition;

(x) For cach criminal charge (excluding minor traffic charges), whether or not there

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

not otherwise listed pursuant to paragraph (b) (viii) or (b) (ix) of this section, the criminal

charge, the name and address of the court involved and the date and disposition;

(xi) The name and address of any licensing or regulatory agency with which the

person has filed an application for an occupational license or permit, whether or not such

license or permit was granted;

(xii) A current photograph;

(xiii) Any other information the Commission deems relevant: and

: (xiv) Fingerprints consistent with procedures adopted by the Commission according:

to25C.F.R. §522.2(h). : ; ee

sufficient number of knowledgeable people, such as previous employers, personal references and

any other person who may provide the Commission with a knowledgeable basis for making its

eligibility determination. The Commission or its agent shall promise to keep confidential the

identity of each person interviewed in the course of the investigation.

Omaha Tribal Council Resolution No. 95-143 (9/15/95).

(D) Upon completion of the background investigation and prior to submitting its report fo the

NIGC, as provided in Subsections (4) and (5) of this Section, the Commission shall review and

approve all background investigations performed by Tribal law enforcement authorities, the

Federal Burcau of Investigation, DCI and any other entity handling such background

investigations.

Omaha Tribal Council Resolution No. 95-143 (9/15/95).

(E) The results of all background investigations must be documented in an investigative

report to be submitted to the NIGC, pursuant to Subsection (5) hereof. All problem areas must be

clearly documented with procedures for resolving such problems. The inability to resolve such

problems shall effect the Commissions cligibility determination as provided below

Omaha Tribal Council Resolution No. 95-143 (9/15/95).

(F) The results of all background investigations must also be documented in an investigative

report to be submitted to the NIGC, pursuant to Subsection (5) hereof. All problem areas must be

TITLE 29. CLASS Ll GAMING

OMAHA TRIBAL CODE (2013)

clearly documented with procedures for resolving such problems. The inability to resolve such

problems shall effect the Commissions eligibility determination as provided below.

(3) Eligibility Determination. The Commission shall review a person's prior activities, criminal

record, if any, and reputation, habits and associations to make a finding concerning the eligibility of a

Key Employee or Primary Management Official for employment in a gaming operation. If the

Commission determines that employment of the person poses a threat to the public interest or to the

effective regulation of gaming, or creates or enhances dangers of unsuitable, unfair, or illegal practices

and methods and activities in the-conduct-of gaming, a tribal gaming operation shall. not employ that

person in a Key Employee or Primary Management Official position.

(4) Procedures for F orwarding Applications.and Reports for Key Employees and Primary

Management Officials to the NIGC. = . ce 7

(A) When a Key Employee or Primary Management Official begins work at a gaming

operation authorized by this Code, the Commission shall forward.to the NIGC a completed

_- application for employment and conduct the background investigation:and make the determination

“referred to.in Subsections (1), (2) and (3) of this Section. Mee 7

(B) The Commission shall forward the report referred to in Subsection (5) of this Section to

the NIGC within 60 days after an employee begins work or within 60, days of the approval of this

Code by the Chairman of the NIGC. A cE be we o

- Official a person who does not have a license after 90 days.

(5) Report to the NIGC. - :

(A) Pursuant to the procedures set out in Subsection (d) of this Section, the Commission shall

prepare and forward to the N IGC an investigative report on each background investigation. An

investigative report shall include all of the following: a i

@ Steps taken in conducting a background investigation;

(ii) Results obtained, .

(iii) Conclusions reached; and |

(iv) The bases for those conclusions.

(B),..» The Commission shall submit, with the report, a copy of the eligibility determination

__ made under Subsection (3) of this Section. oe

—- @ Shall notify the NIGC: and ;

(i). May forward copies of its eligibility determination and investigative report, if

any, to the NIGC for inclusion in the Indian gaming individuals records system.

(D) With respect to Key Employees and Primary Management Officials, the Commission

shall retain applications for employment and reports (if any) of background investigations for

inspection by the Chairman of the NIGC or his or her designee for no less than three (3) years

from the date of termination of employment.

(6) Granting a Gaming License.

(A) If, within a thirty (30) day period after the NIGC receives the report, the NIGC notifies

the Commission that it has no objection to the issuance of a license pursuant to a license

TITLE 29. CLASS Ill GAMING

OMASHA TRIBAL CODE (2013)

application filed by a Key Employee or a Primary Management Official for whom the

Commission has provided an application and investigative report to the NIGC, the Commission

may issuc a license to such Applicant.

(B) The Commission shall respond to a request for additional information from the Chairman

of the NIGC concerning a Key Employee or a Primary Management Official who is the subject of

a report. Such a request shall suspend the 30-day period under paragraph (6)(a) of this Section

until the Chairman of the NIGC receives the additional information.

with a statement itemizing objections to the issuance of a license to a Key Employce or toa

Primary Management Official for whom the Commission has provided an application and

investigative report to the NIGC, the Commission shall reconsider the application, taking into

account the objections itemized by the NIGC. The Commission shall make the final decision

whether to issue a license to such Applicant.

(D) Suspension or Revocation of License-Grounds Reprimand or Administrative Fine

Possible. Any license granted pursuant to this Code may be Suspended. or Revoked: for any cause

which may have prevented its issuance, or for violation by the licensce, or any officer, director,

agent, member or employec of the licensee of this Code, or for violation of any Regulations

adopted by the Commission or for conviction of a crime of moral turpitude or a felony. Such

Suspension or Revocation may occur only after notice to the licensce and an opportunity for a

hearing and only upon evidence determined adequate by the Commission. The Commission must

notify the NIGC of any Suspension or Revocation. In addition to Revocation or Suspension or im

licu of Revocation or Suspension, the Commission may impose a reprimand or an administrative

fine not to exceed the greater of twice the amount of any grand prize awarded or available to be

awarded in a gaming activity which is directly associated with the violation, or the following

amounts:

. (i) Ifa licensee is. an Primary Management Official, the amount of $50,000 foreach

violation; oo ee ee :

(ii) If a licensee is 4 Key Employee, the amount of $5,000 for each violation; and

(iii) If the licensee has any other license, the sum of $2,500 for each violation.

Any administrative fine received by the Commission shall be deposited in the Gaming Commission

fund.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

HISTORY: Omaha Tribal Council Resolution No. 95-143 (9/15/95), amending Sections | 1.4(2) (c),

11.4(2) (d), and 11.4(2) (c).

SECTION 29-1-13. Approval of Licenses; Submission to Jurisdiction.

The Commission may approve or disapprove any application for license, depending upon whether it

deems the Applicant a suitable person to hold the license under this Code and the Regulations and whether

it considers the proposed location suitable. All Applicants for licenses and all persons, firms, or entities

which have any contractual relationship with the Tribe or contractual relationship relating to any gaming

activities conducted pursuant to this Code shail be conclusively deemed to have voluntarily submitted to

the jurisdiction of the Tribe, the Commission and the civil jurisdiction of the Tribal Court unless such

contract is with the Tribe and contains provisions expressly to the contrary.

Source: Regulation No. 92-59 of the Omaha Tribal Council, April 13, 1992.

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OMAHA TRIBAL CODE (201 3)

SECTION 29-1-14. Conflict of Interest.

No officer, agent or employee of the Commission may hold a license under this Code if the duties of

such office, agency or employment have to do with the enforcement of the gaming laws and rules. This

prohibition applies to the Commission, all of its employees and all law enforcement officials and officers.

No licensee may employ any person in any capacity while that person is in the employment of a law

enforcement agency or the Commission except that certified police officers may be employed as security

personnel. Members of the Commission and its officers and agent, including its attorneys, and their

relatives who reside in the same household, may not have any interest, whether financial or proprietary,

direct or indirect, in any gaming activity conducted under this Code, except as a member of the Tribe

sharing in the benefits and revenues enjoyed equally by all Tribal Citizens.

Source: Resolution No, 92-59 of the Omaha Tribal Council, April 13, 1992.

SECTION 29-1-1 5. Application/License Fee; Resident Agent.

The Commission may establish an application fee which, at the option of the Commission, shall

include the cost of the background investigation. The fee may vary with the type of license for which

application is made and is nonrefundable. Any person who does not reside on the reservation or any

corporation, firm, partnership or other entity that does:not have an agent present:on the reservation shall

appoint the Secretary of the Tribal Council-as agent for the service of process and other documents under

‘this Code. The Commission shall maintain a list of all such nonresidents and when serving documents upon

‘the Secretary of the Tribal Council shall also provide the Secretary with an envelope addressed to such -

nonresident, first-class postage prepaid, and the Secretary shall mail the documents to the nonresident no

later than the first business day following receipt. Service upon the Secretary shall be made in the manner

specified for civil suits under Tribal law and shall be deemed complete upon such service, regardless of —

whether the papers or documents are ultimately received by the licensee or Applicant. It is the

responsibility of licensees and Applicants to keep their addresses listed: with the Commission current.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

SECTION 29-1-16. “Types of Licenses and Registrations; Issuance and Other Fees.

Aside from licenses for Primary Management Officials and Key Employees, the Commission, upon

receipt of the appropriate application fee, issuance fee and costs of any background investigations and upon

_ Satisfaction of the applicable requirements, may issue eleven (11) other types of licenses in a manner

consistent with 25 C.F.R. §§ 556 and 558. Such licenses shall include as follows:

(a) Slot Machine Operator. The initial issuance fee for such a license is $2,000 and thereafter an

annual fee of $2,000 renewable cach February Ist. This fee shall be levied per license regardléss of the

number of machines or locations operated. The holder of such a license shall be entitled to operate Slot

Machines and Progressive Slot Machines on the Reservation at the licensed premises subject to the codes

and the laws and regulations of the Tribe and the Commission. This issuance fec is in addition to the costs

of any background investigation and application fee, ae ce

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13,1992."

(b) Card Game Operator. The initial issiiance fee for such a license is $2,000 and thereafter an annual

fee of $2,000 renewable each February Ist. This issuance fee shall be levied per license regardless of the

number of tables or locations. The holder of such a license shall be entitled to operate card games on the

Reservation at the licensed premises subject to the codes and laws and regulations of the Tribe and the

Commission. This issuance fee is in addition to the costs of any background investigation and application

fee.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

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OMAHA TRIBAL CODE (2013)

thereafter an annual fee of $2,000 renewable cach February Ist. This fee shall be levied per license

regardless of the number of machines operated. The holder of such a license shall be entitled to operate

Video Games of Chance on the Reservation at the licensed premises subject to the codes and the laws and

regulations of the Tribe and the Commission. This issuance fee is in addition to the cost of any background

investigation and application fee.

Source. Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

(d) Simulcasting Operator. The initial issuance fee for such a license is $2,000 and thereafter an

annual fee of $2,000 renewable each February Ist. This issuance fee shall be levied per license regardless

of the number of locations where simulcasting is conducted. The holder of such a license shall be entitled to

conduct simulcasting on the Reservation at the licensed premises subject to the codes and the laws and

regulations of the Tribe and the Commission. This issuance fee is in addition to costs of any background

investigation and application fee.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

(e) Sports Betting Operator. The initial issuance fee for such a license is $2,000 and thereafter an

annual fee of $2,000 renewable each February Ist. This issuance fee shall bé levied per license regardless

of the number of locations where Sports Betting is conducted. The holder of such license shall be entitled to

conduct Sports Betting on the Reservation at the licensed premises subject to the codes and the laws and

regulations of the Tribe and the Commission, This issuance fee is in addition to the costs of any

background investigation and application fee.

Source: Resolution No. 92-59 of the Omaha Tribal Council, Aprif 13, 1992.

(f) Sports Betting Pools Operator. The initial issuance fee for such a license is $2,000 and thereafter

an annual fee of $2,000 renewable each February Ist. This issuance fee shall be levied per license

regardless of the number of locations where Sports Betting Pools are operated. Such license shall be

renewable each February Ist. The holder of such a license shall be entitled to operate Sports Betting Pools.

on the Reservation at the licensed premises subject to the codes and the laws and regulations of the Tribe.

and the Commission. This issuance fee is in addition to the costs of any background investigation and

application fee... : 7

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

(g) Party-in-interest License. Any Party-in-interest must hold such a license. The issuance fee is $300

and thereafter an annual fee of $300 renewable February Ist. This issuance fee is in addition to the costs of

any background investigation and application fec.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 3, 1992.

(h) Employee License. All persons employed to work directly with the gaming portion of a gaming

operation must hold an employee license. The issuance fee is $25 and thereafter an annual fee of $25

renewable February Ist. This issuance fee is in addition to the costs of any background investigation and

application fee.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

(i) Class HI Gaming Equipment Vendor. Vendors of Class In Gaming Equipment must, as a

condition precedent to any sale of property to any Primary Management Official ofa facility licensed

pursuant to this Gaming Code, first obtain a license from the Commission. The issuance fee for such a

license is $1,000 and thereafter an annual fee of $1,000 renewable cach February Ist. This issuance fee ts in

TITLE 29. CLASS Ill GAMING

OMAHA TRIBAL CODE (2013)

addition to the cost of any background investigation and application fee. Applicants for such a license shall

be entitled to the issuance of a temporary license if they have completed the application, filed the

application with the Commission and paid the required fees and if the results of the preliminary background

checks are acceptable to the Commission and they hold a license for similar activity issued by the States of

South Dakota, Iowa, Nevada or New Jersey.

Source: Resolution No. 92-59 of the Omaha Tribal.Council, April 13, 1992.

(j) Class III Gaming Supplies Vendor. Vendors of Class III Gaming Supplies must, as a condition

precedent to any sale of property to any Primary Management Official of a facility licensed pursuant to this

Code, first obtain a license from the Commission. The issuance fee for such a license is $300 and thereafter

an annual fee of $300 renewable each February Ist. This issuance fee is in addition to the costs of any

background investigation and application fee. Upon the filing of an application required by the Commission

and payment of the required fees, the Commission may issue a temporary. Class UJ Gaming Supplies

license, provided that the Vendor holds a license issued by the States of South Dakota, Iowa, New Jersey or

Nevada. : :

Source: Resolution No. 92-59 of the Omaha Tribal Council, April13, 1992.

(k).. Vendor's Registration. All persons or firms that sell any property to a gaming operation licensed

under this Code shall be registered with the Commission. :

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992,

_ SECTION 29-1-17. Licensee Ownership Rights.

- (a) License as a Privilege, Nontransferability of License. Any license that is issued under this Code is

a revocable privilege and no person holding a license acquires any vested rights or other property rights in

it. Any Applicant for a license has the burden of proof of his, hers or its qualification as regards to his past

conduct, as may be required by the Commission. No license issued pursuant to this Code may be

_ transferred.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

(b). Notification of Disciplinary Action to Licensees. A person holding:a license shall'be notified that

disciplinary action of his license is being considered by the Commission, The license holder, may, upon

such notice, request an informal hearing before the Commission within 10 days following such notice. Any

disciplinary action, including the Suspension or Revocation of a gaming license, shall comply with the

appropriate provisions of the Regulations and this Code.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

together with appeals from any decision of the Commission shall be conducted in accordance with Exhibit

G of this Gaming Code. (7 weg on

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

SECTION 29-1-18, Notice.

(a) Notice, when required by this Code, shall be given by registered or certified mail and shall be

considered to be complete upon placing the properly addressed notice in the U.S. mail, postage prepaid,

regardless of whether such notice is actually received. The burden shall be on licensees and Applicants to

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OMAHA TRIBAL CODE (2013)

keep the Commission advised of their current mailing address. In all contested cases, papers shall, be

served in the manner provided for in civil matters under the Tribal Codc.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

SECTION 29-1-19. Reimbursement to Commission for Investigations.

(a) Any Applicant for a license under this Code shall reimburse the Commission for the costs of all

investigations to determine if he/she is a suitable licensee under this Code which are over and above the

initial license fee charged at the time of application. By signing and filing an application, the Applicant

authorizes the Commission to obtain information from other states, Indian Tribes, the United States, and all

agencies and instrumentalities of the foregoing, regarding prior professional or gaming licenses, license

applications, conduct of the Applicant or such information regarding any of the Applicant's sharcholdcrs,

partners, agents or employees.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

SECTION 29-1-20. Minimum Standards for Inspection and Approval of Gambling Devices.

(a) Devices, Testing, Standards. Prior to the installation and use of a Gambling Device, the

Commission shall inspect, test and consider the Gambling Device for its approval. The Commission shall

not approve a Gambling Device unless the tests conducted indicate that such Gambling Device mects the

minimum standards set forth in Exhibit "A" of the Regulations, attached hereto, or unless an identical

Gambling Device is currently approved for use by the lowa Racing and Gaming Commission. If an

identical Gambling Device is currently approved for use by the lowa Racing and Gaming Commission, the

Commission may waive the inspection and testing requirements for such Gambling Device. The Director

andthe Tribe.shall agree upon the identity of the gaming test laboratories which can be utilized.under this.

Section 29-1-19.. 7 7 Be ee ee

Source:-Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

(b) Use of. Test Results From Other Jurisdictions, Manufacturers' Certifications. In the event a

particular Gambling Device has not been approved by the lowa Racing and Gaming Commission but has

been approved by a gaming regulatory body of the States of Nevada, South Dakota or New Jersey, and the

test results from such jurisdictions show that the Gambling Device meets the standards set forth in Exhibit

"A" of the Regulations, then the Gambling Device may be authorized for use by the Commission, provided

that a copy of the test results indicating that the device complies with Exhibit "A" of the Regulations is

obtained and received by the Commission and the manufacturer of the Gambling Device certifies to the

Commission and the Director that cach Gambling Device to be shipped complies in all respects with the

standards in Exhibit "A" of the Regulations.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

SECTION 29-1-21. Security and Surveillance.

The Commission shall require Primary Management Officials to provide and adhere to minimum

security and surveillance standards, at least as stringent as those described in Exhibit "B" of the

Regulations, attached hereto, as modified from time to time.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

SECTION 29-1-22. Accounting and Cash Control.

The Commission shall require all Primary Management Officials to adhere to accounting and cash

control procedures as least as stringent as those set forth in Exhibit "C" of the Regulations, attached hereto.

TITLE 29. CLASS Ill GAMING

OMAHA TRIBAL CODE (2013)

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

SECTION 29-1-23. Operational Procedures and Game Rules.

All Class IJ Gaming shall be conducted in conformance with the Compact, this Code and the

Regulations, including the operating restrictions set forth in Exhibit "E" of the Regulations and the game

rules set forth in Exhibit "D" of the Regulations, attached hereto.

Source: Resolution No. 92-59 of the Omaha Tribal Council, , April 13, 1992. Section 23. Audits

Inspections and Facility and Records Access.

SECTION 29-1-24,

(a) Semi-Annual Audits, Procedures. The Commission; at the expense of the licensed casino, shall

cause an independent certified public accountant approved by the Director to audit the books, records,

gaming and cash procedures and equipment of all authorized Class III Gaming activities at least twice in

each fiscal year. The Tribe and the Director shall mutually agree on the scope of the audits to be conducted

by the auditor. At a minimum, the audits shall include a review of all records necessary to determine

whether authorized gaming is being conducted in conformance with this Code, the Compact, the

Regulations and other applicable laws. Such audits shall also include a review of Class. I!I.Gaming -

Equipment and Supplies and an audit of casino procedures as necessary to ensure that equipment and :

-casino:personnel function as required by this Code, the Compact 3 and the Regulations. At least once each

year, an. audit shall be.conducted'on all contracts for supplies, services or concessions for a contract amount

in excess of $25,000.00 annually (except for contracts for professional, legal or accounting services)

relating to Class III Gaming. All audits shall be conducted pursuant to the American Institute of Certified

Public Accountant ("AICPA") standards for Audits of Casinos when applicable and shall be submitted to

the. NIGC and kept on file with the Commission. The Director may attend the entrance and exit conference

between the Commission and the auditors and shall be provided copies of the audits, including any audit

notes, within fifteen (15) days of receipt. In the event that the State has probable cause to believe that there

is a violation of this Code, the Compact, the Regulations or other applicable laws, the Director may notify

the Tribe and the Commission and may request.that the Tribe or thé Commission obtain an audit of the

books, records, equipment and procedures of any authorized gaming operation, including the records of any

Primary Management Official to ensure compliance with the Compact, this Code, the Regulations and

other applicable laws. In the event the Tribe or Commission choéses not to procure a requested audit; the

State may conduct such an audit and the Tribe and Commission shall cause the foregoing records to be

~ made available to the State during ordinary business hours. The State's audits may include:equipment

testing. The Tribe and/or Commission shall, within seventy (70) days from receipt of an itemized statement

from the State, reimburse the State for the actual cost of such audit up to twenty-five thousand dollars

($25,000.00) in any one fiscal year. The State shall provide copies of such audits to the Tribe and

Commission provided that disclosure of such audits would not compromise any law enforcement activities.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

(b) Conduct of Audits and Inspections by the State. ‘Authorities of the State may enter upon the

premises of an authorized gaming facility at any time during ordinary business hours for purposes of

conducting the audits specified in the Compact and this Code.or to conduct routine facility inspections.

Routine inspections may include random equipment testing on the premises and casino surveillance. Upon

the reasonable request of the State, the Tribe and the Commission shall provide the State with access to all

areas of Class II] Gaming facilities and their records and shall ensure that ail licensees make their records

and facilities available to State officials. The Tribe shall ensure that information requested by State is

provided by all persons possessing the requested information, and Primary Management Officials shall

assure that a suitable office is provided in which the State may review records and other information

provided by the Tribe. State officials may copy, remove from the premises and retain copies of materials

and documents related to Class II] Gaming. A reasonable amount of equipment may be removed from the

premises for a reasonable time to facilitate examination and testing.

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OMAHA TRIBAL CODE (2013)

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

including the records of any Primary Management Official, the Tribe and the Commission must be

maintained separately from cach other in order to facilitate auditing of these books and records to ensure

compliance with this Code, the Regulations and the Compact. All records shall be maintained for a period

of twelve (12) years pursuant to generally accepted accounting principles and shall be suitabic for audit

pursuant to the standards of the AICPA.

Source: Resolution No. 92-59 with the Omaha Tribal Council, April 13, 1992.

SECTION 29-1-25. Documents Provided by the Tribe to the State.

Within a reasonable time following request, the Tribe shall provide the Director with a copy of any

information reasonably related to Class II Gaming on Indian Lands. In addition, the Commission shall

routinely provide the Director with a copy of this Code, the Regulations, all subsequent amendments to this

Code and the Regulations, a copy of all audit reports, including auditor's notes, a copy of Class I] Gaming

activities prepared by the Tribe or independent auditors hired by the Tribe or the Commission, a copy of the

results of all equipment or program tests, all Management Contracts and all contracts or leases for gaming

equipment or services. The Commission shall routinely provide the DCI with a copy of all background

applications and the results of all background investigations, with information concerning any suspected or

proven violations of the terms of this Code, the Regulations. the Compact or other applicable laws and with

information describing the steps taken by the Tribe or the Commission to remedy such violations. All

copies shall be provided by the Tribe and the Commission as soon as is reasonably practical but no later

than ten (10) calendar days after the documents are received by the Tribe or the Commission or the Tribe

becomes aware of a suspected or proven violation of this Code, the Regulations, the Compact or other

applicable laws.

Source: Resolution No. 92-59.of the Omaha, Tribal. Council, April. 13, 1992.

- SECTION 29- 1-26. Location of Gaming,

(a) Gaming Conducted Solely on Indian Lands. Except as s indicated i in Section 29-1 -25(b), all

authorized Class III’: Gaming shall be conducted solely on Indian Lands. Pursuant to. the Act, licenses are

required for each place, facility or location on Indian Land where Class IIT Gaming occurs. Authorized

Class II Gaming is conducted solely on Indian Lands only if all consideration wagered is placed by players

physically located on Indian Lands at the time the wager is made, all activities performed by the player to

participate in the game physically occur on Indian Lands, and all activities related to determining and

validating winners occur on Indian Lands. The activities prohibited by this Section, include, without

limitation, placing bets or playing games by telephone or by mail unless calls both originate and terminate

on Indian Lands and unless correspondence is sent from an address on Indian Lands to an address on Indian

Lands. Winners may receive prize winnings outside the boundaries of Indian Lands without violating this

provision.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

(b) Inter-reservation Gaming; When Permissible. Nothing in this Section 29-1-25 shall prevent the

Tribe from conducting inter-reservation Class U1] Gaming by means of telecommunications, satellite or

technologic or computer enhancement, provided that the inter-reservation gaming conforms with the

requirements of federal law, including the Act and the Compact, and conforms with the laws, rules and

Regulations of all tribes involved in the gaming and further conforms with any terms of an effective

tribal/state compact which governs the gaming activities of cach tribe participating in the gaming. Interreservation gaming must, however, be conducted solely on "Indian Lands" (as that term is defined herein

and in Section 4(4) of the Act, 25 U.S.C. See. 2703(4), and as that term is limited by Section 20 of the Act,

25 U.S.C. Sec. 2719) which belongs to one of the participating tribes.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

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This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.