TITLE 4: SAC AND FOX NATION (2018)
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TITLE 4
GAMING
TITLE 4: SAC AND FOX NATION
GAMING ORDINANCE OF 2018
Table of Contents
Section 1-1.
Section 1-2.
FINDINGS AND DECLARATIONS ......................................................................................... 1
REPEAL OF PRIOR ORDINANCE.......................................................................................... 1
Chapter One—PRELIMINARY PROVISIONS AND DEFINITIONS .................................................................................... 2
Section 1-101.
Section 1-102.
Section 1-103.
Section 1-104.
Purpose ............................................................................................................................ 2
Jurisdiction ....................................................................................................................... 2
Definitions ........................................................................................................................ 3
Gaming Authorized .......................................................................................................... 7
Chapter Two—PROVISIONS REQUIRED BY PUBLIC LAW 100-497 .............................................................................. 8
Section 2-201.
Section 2-202.
Section 2-203.
Section 2-204.
Section 2-205.
Section 2-206.
Section 2-207.
Section 2-208.
Ownership of Gaming ...................................................................................................... 8
Use of Gaming Revenue ................................................................................................... 8
Per Capita Payments ........................................................................................................ 8
Independent Audits Required .......................................................................................... 9
Environment, Public Health, and Safety ........................................................................ 10
Internal Control Standards ............................................................................................. 11
Agent for Service of Process .......................................................................................... 11
Payment of Taxes and Regulatory Fees to the Nation ................................................... 12
Chapter Three—GENERAL PROVISIONS ............................................................................................................. 12
Section 3-301.
Section 3-302.
Section 3-303.
Section 3-304.
Section 3-305.
Section 3-306.
Section 3-307.
Section 3-308.
Section 3-309.
Complimentary Items .................................................................................................... 12
Compliance with Federal Law ........................................................................................ 12
Ethical Conduct Respecting Gaming .............................................................................. 13
Violations ....................................................................................................................... 14
Sovereign Immunity ....................................................................................................... 18
Patron Dispute Resolution by Gaming Operation .......................................................... 18
Prize Claims .................................................................................................................... 19
Tort Claims ..................................................................................................................... 21
Right of Appeal & Finality of Decisions .......................................................................... 23
Chapter Four—GAMING COMMISSIONER POWERS & DUTIES ................................................................................. 23
Section 4-401.
Section 4-402.
Section 4-403.
Section 4-404.
Section 4-405.
Gaming Commission ...................................................................................................... 23
Buildings and Equipment ............................................................................................... 29
Personnel ....................................................................................................................... 30
Reasonable Assistance ................................................................................................... 30
Enforcement Authority .................................................................................................. 31
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Section 4-406.
Section 4-407.
Section 4-408.
Section 4-409.
Section 4-410.
GAMING
License Fee Schedule ..................................................................................................... 31
Reporting Requirements ................................................................................................ 31
Record Keeping System ................................................................................................. 32
Reporting NIGC Actions ................................................................................................. 32
Auditing Insurance Compliance ..................................................................................... 33
Subchapter A—ADMINISTRATIVE HEARINGS ................................................................................................ 33
Section 4-421. Authority to Conduct Hearings ...................................................................................... 33
Subchapter B—ENFORCEMENT – CIVIL FINES AND PENALTIES ..................................................................... 33
Section 4-431. Enforcement Actions...................................................................................................... 33
Section 4-432. Citations to be Issued ..................................................................................................... 34
Section 4-433. Right to a Hearing .......................................................................................................... 34
Section 4-434. Civil Fine and Penalties Are Debts.................................................................................. 35
Section 4-435. Record of Final Assessments .......................................................................................... 36
Section 4-436. Deposit of Fines and Penalties Collected ....................................................................... 36
Section 4-437. Personal Jurisdiction ...................................................................................................... 36
Section 4-438. Failure to Comply ........................................................................................................... 36
Chapter Five—LICENSING ............................................................................................................................... 37
Section 5-501.
Section 5-502.
Section 5-503.
Licenses Required .......................................................................................................... 37
Licenses to Be Displayed ................................................................................................ 37
Jurisdictional Consent Required .................................................................................... 37
Subchapter A—KEY EMPLOYEE AND PRIMARY MANAGEMENT OFFICIAL LICENSING ................................... 37
Section 5-511. Licenses Required .......................................................................................................... 38
Section 5-512. License Application Forms ............................................................................................. 38
Section 5-513. Fingerprints .................................................................................................................... 39
Section 5-514. Background investigations ............................................................................................. 39
Section 5-515. Background Check Procedures ...................................................................................... 40
Section 5-516. Eligibility Determination ................................................................................................ 41
Section 5-517. Notice of Results of Background Investigations............................................................. 42
Section 5-518. Investigative Reports ..................................................................................................... 42
Section 5-519. Granting a Gaming License ............................................................................................ 43
Section 5-520. Denying Gaming Licenses .............................................................................................. 43
Section 5-521. License Term .................................................................................................................. 44
Section 5-522. License Suspension or Revocation ................................................................................. 44
Section 5-523. Records Retention.......................................................................................................... 44
Subchapter B—NON-KEY EMPLOYEE LICENSING ........................................................................................... 44
Section 5-531. Licenses for Non-Key Employees ................................................................................... 45
Section 5-532. Applicant Investigations ................................................................................................. 45
Section 5-533. Licensing Standard ......................................................................................................... 45
Section 5-534. Eligibility Determination ................................................................................................ 45
Section 5-535. License Term .................................................................................................................. 45
Section 5-536. Fingerprints .................................................................................................................... 46
Subchapter C—VENDOR LICENSING .............................................................................................................. 46
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Section 5-541.
Section 5-542.
Section 5-543.
Section 5-544.
Section 5-545.
Section 5-546.
Section 5-547.
GAMING
Vendor Licenses ............................................................................................................. 46
Submission of Gaming Vendor Application.................................................................... 47
Contents of the Gaming Vendor Application ................................................................. 47
Gaming Vendor Background Investigation .................................................................... 48
Gaming Vendor Background Investigation Report ........................................................ 49
Monitoring & Audits ...................................................................................................... 49
Vendor License Terms, Suspension, Revocation ............................................................ 49
Subchapter D—MANAGEMENT CONTRACTOR LICENSING ............................................................................ 50
Section 5-551. Management Contractor License................................................................................... 50
Section 5-552. Licenses Required .......................................................................................................... 50
Section 5-553. Investigatory Fee ............................................................................................................ 50
Section 5-554. License Term .................................................................................................................. 51
Section 5-555. License Suspension or Revocation ................................................................................. 51
Section 5-556. Final NIGC Approval Required........................................................................................ 51
Subchapter E—FACILITY LICENSES ................................................................................................................. 51
Section 5-561. Facility Licenses Required .............................................................................................. 51
Section 5-562. Forfeiture; Restraint....................................................................................................... 52
Section 5-563. Communications by the Commission ............................................................................ 53
Section 5-564. Calculation of Time ........................................................................................................ 53
Subchapter F—LICENSING OF GAMING FINANCIERS ..................................................................................... 53
Section 5-571. Licensing of Qualified Gaming Financiers ...................................................................... 53
Section 5-572. Standards and Procedures ............................................................................................. 54
Section 5-573. Scope of License ............................................................................................................. 54
Section 5-574. Obligations of Qualified Gaming Financiers ................................................................... 54
Section 5-575. Term of Qualified Gaming Financier Licenses ................................................................ 54
Section 5-576. Background Investigations ............................................................................................. 55
Chapter Six—APPLICABLE LAWS ....................................................................................................................... 55
Section 6-601.
Section 6-602.
Law Applicable to Tort Claims ........................................................................................ 55
Law Applicable to Contracts .......................................................................................... 55
Chapter Seven—MISCELLANEOUS PROVISIONS ................................................................................................... 56
Section 7-701.
Section 7-702.
Section 7-703.
Section 7-704.
Effect of Repeal .............................................................................................................. 56
Savings Provision............................................................................................................ 56
Effective Date ................................................................................................................. 56
Reserved ........................................................................................................................ 56
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GAMING
SAC AND FOX NATION
GAMING ORDINANCE OF 2018
Section 1-1.
(A)
FINDINGS AND DECLARATIONS
The Sac and Fox Nation finds and declares that:
(1)
Gaming on the Indian lands of the Sac and Fox Nation provides
economic development opportunities and a source of revenue for the Sac and Fox
Nation and its political and business subdivisions which is needed to promote a strong
tribal government, economic self-sufficiency, employment, job training, and to fund
essential social programs and services to its members and other persons associated
with the Nation;
(2)
The continued growth and success of Indian gaming is dependent upon
public confidence and trust that Indian gaming is conducted honestly and is free from
criminal and corrupt elements;
(3)
Public confidence and trust can only be maintained by strict and fair
regulation of all persons, practices, and activities related to the operation of Indian
gaming;
(4)
It is essential to the health, safety, and general welfare of the citizens
of the Sac and Fox Nation that standards and regulations to govern the conduct of
gaming activities be established and promulgated;
(5)
The Nation has the sole proprietary interest in and responsibility for the
conduct of gaming activities on the Indian lands of the Sac and Fox Nation; and
(6)
The Indian Gaming Regulatory Act of 1988, 25 U.S.C. § 2701 et seq.,
recognizes the authority of the Sac and Fox Nation to regulate gaming on the Indian
lands of the Sac and Fox Nation.
(B)
Therefore, the Business Committee enacts this Ordinance to protect and
promote the political integrity, economic security, health, safety, and welfare of the Nation, its
members and all persons living in or visiting the Nation.
Section 1-2.
REPEAL OF PRIOR ORDINANCE
This Ordinance shall become effective as a replacement for Sac and Fox Gaming
Ordinance of 2008, as amended, which was approved by Resolution No. SF-11-14 of the Sac
and Fox Nation Business Committee, immediately upon its approval by the Chair of the
National Indian Gaming Commission. Upon such approval, this Title shall revoke, supersede,
and replace the prior 2008 Gaming Ordinance, as amended, in its entirety. All other laws of
the Tribe inconsistent with the provisions of this Title and existing as of the effective date of
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this Title are hereby repealed, including all inconsistent laws, codes, ordinances, and
resolutions. Repeal by this Title of any law, code, ordinance, or resolution shall not have the
effect of reviving any prior law, code, ordinance, Title, or resolution heretofore repealed or
suspended by such repealed code.
The Sac and Fox Nation retains continuing authority to amend this Title, or to enact
and promulgate additional statutory or regulatory provisions relating to the conduct of gaming
within the jurisdiction of the Sac and Fox Nation to protect the public health and safety,
provided, that:
(A)
Amendment of any provision of this Title shall be effective only if such
provision(s) is/are approved by the Chairman of the National Indian Gaming Commission as
provided in 25 U.S.C. § 2701 et seq.; and
(B)
No subsequent enactment or amendment of any Nation Law, Ordinance,
Resolution, or Regulation shall conflict with or be interpreted to conflict with any provision of
this Title and/or the regulations issued pursuant thereto unless the same be approved by the
Chairman of the NIGC as provided in 25 U.S.C. § 2710.
(C)
The regulations of the Commission current on the effective date of this Title
may remain in full force and effect for up to fourteen (14) months unless inconsistent with any
provision of this Title or earlier superseded by duly adopted regulations pursuant to this Title.
Chapter One—PRELIMINARY PROVISIONS AND DEFINITIONS
Section 1-101.
Purpose
This Title governs all Gaming Operations on the Sac and Fox Nation’s Indian Lands.
Section 1-102.
Jurisdiction
(A)
As a sovereign nation, the Nation possesses and exercises its governmental
authority, powers, and jurisdiction to the fullest extent permitted under law over all of its Indian
country, all gaming activities and Gaming Operations and other activities conducted on its
Indian Lands.
(B)
The act of entry by any person or entity upon the premises of any Gaming
Facility subject to this Title, the act of transacting business with any Tribal governmental
instrumentality, agency, component, enterprise, authority, or other Tribal entity subject to this
Title, the act of applying or accepting employment with a Gaming Operation, or the act of
applying for any license, permit, or registration required by this Title shall constitute consent
to the civil and/or, where applicable, criminal jurisdiction of the Nation, including consent to
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the jurisdiction of the courts and the governmental bodies and agencies of the Nation with
respect to any civil or regulatory matter arising out of such consensual relationship with the
Nation.
(C)
The act of entry into the jurisdiction of the Nation by an extraterritorial seller or
merchant or other person engaged in commerce, or by its/their agent, shall be deemed to be
consent by such person or entity to the jurisdiction of the Nation, including the jurisdiction of
the courts, governmental bodies, taxing authorities, and other regulatory agencies of the
Nation, for any dispute or other matter arising out of such transaction, regardless of where
the sale or transaction was made or took place.
(D)
All Gaming Operation Patrons, licensees, applicants for such licenses,
Management Contractors, and employees of all Gaming Operations, whether permanent or
temporary, and whether of Indian or non-Indian blood, descent, or tribal membership, shall
be deemed to have voluntarily submitted themselves, or the entities which employ them in
the case of Management Contractors, to the jurisdiction of the Nation, the Commission, and
courts and to the provisions of this subsection and to the provisions of this Title and to the
provisions of any other gaming laws, rules or regulations of the Nation by virtue of such
participation in gaming, employment, contracts, licenses, and applications relating to gaming
within the jurisdiction of the Nation and the Nation's authority to regulate such gaming.
Section 1-103.
Definitions
(A)
“Ancillary Activity” means an economic activity owned, operated, or managed
by a Gaming Operation to support gaming activities or to provide amenities for Patrons as a
means of encouraging or promoting patronage of the Gaming Facility, including, for example,
lodging, food and beverage, retail, and other economic activities or operations.
(B)
“Business Committee” means the Business Committee of the Sac and Fox
Nation as provided in Article Ill of the Constitution of the Nation.
(C)
“Chairperson” means the Chairperson of the Sac and Fox Nation Gaming
Commission.
(D)
“Class I Gaming” means social games solely for prizes of minimal value or
traditional forms of Indian gaming engaged in by individuals as a part of, or in connection with,
tribal ceremonies or celebrations.
(E)
“Class II Gaming” means Class II Gaming as defined at 25 U.S.C.
§ 2703(7)(A), and any regulations promulgated thereunder.
(F)
“Class III Gaming” means all forms of gaming that are not Class I Gaming or
Class II Gaming.
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(G)
“Collateral Agreement” means any contract, whether or not in writing, that is
related, either directly or indirectly, to a Management Contract, or to any rights, duties or
obligations created between the Nation (or any of its members, subdivisions, entities, or
organizations) and a management contractor or subcontractor (or any person or entity related
to a management contractor or subcontractor).
(H)
“Commission” or “Gaming Commission” means the Sac and Fox Nation
Gaming Commission, an independent regulatory agency and governmental subdivision of the
Sac and Fox Nation established to regulate the Nation’s Gaming Operations pursuant to this
Title, IGRA, the Compact, and all other Nation and/or federal laws and regulations applicable
to the Nation’s Gaming Operations.
(I)
"Commissioner” means any member of the Gaming Commission.
(J)
“Compact” means the Tribal-State compact concerning Class III Gaming
approved by Business Committee Resolution No. SF-05-74 (2005) and Oklahoma State
Question 712 (2004), as approved by the Secretary of the Interior and published in the
Federal Register pursuant to 25 U.S.C. § 2710(d) on June 1, 2005 (70 Fed. Reg. 31,499),
and any successor or additional Class III Tribal-State compacts entered into by the Nation
and approved pursuant to federal law.
(K)
“Complimentary” means a service or item provided to a Patron by a gaming
facility or by a third party on behalf of the Gaming Operation at no cost, or at a reduced cost.
(L)
“Confidential Information” means all private, confidential, and/or proprietary
information of the Nation or any political or business subdivision thereof, including personal
information and data regarding licensees, license applicants, Patrons, and vendors, as well
as non-public information concerning the Nation’s Gaming Operations.
(M)
“Person Directly Related to” means a spouse, domestic partner, child, parent,
sibling, or any person living in the same household.
(N)
“Executive Director” means the regulatory official employed by the Gaming
Commission and supervised by the Commission Chairperson to direct the day-to-day affairs
of the Commission and to carry out all regulatory functions delegated by the Commission or
as otherwise set forth in this Title.
(O)
“Firearm” means air guns which are capable of discharging dangerous
projectiles or gases, including but not limited to “B.B.’s” or CO2 guns, rifles, shotguns, pistols,
or revolvers.
(P)
“Gaming Facility” means each location or structure in which authorized gaming
is licensed, promoted, performed, conducted, or operated pursuant to this Title.
(Q)
“Gaming Financier” means, unless otherwise provided herein or in a compact
in effect with the State of Oklahoma, any provider of financing to a Gaming Operation.
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(R)
“Gaming Operation” means an economic entity of the Nation licensed to
manage and operate the Nation’s Class II and/or Class III Gaming activities and Ancillary
Activities thereto, including: (1) any federally chartered entity of the Nation; (2) any
subdivision of the Nation; (3) any economic entity established by the Nation under Nation law;
and/or any gaming management contractor, but only when the Management Contract has
been properly approved by the Nation and the Chairman of the NIGC.
(S)
“Gaming Vendor” means any person or entity that provides gaming or gamingrelated goods and services, including, for example, cash-related services, player
tracking/rewards systems, accounting software, ticket redemption systems, kiosks, back-ofhouse software systems, currency processing equipment, or any equipment, device, or
service directly or indirectly supporting gaming activities.
(T)
“Grievance Committee” means the Grievance Committee of the Sac and Fox
Nation.
(U)
"Indian Land" or "Indian Lands" means all lands of the Sac and Fox Nation that
meet the definition of Indian lands as defined in 25 U.S.C. § 2703(4).
(V)
“Key Employee” means:
(1)
A person who performs one or more of the following functions:
(a)
Bingo caller;
(b)
Counting room supervisor;
(c)
Chief of security;
(d)
Custodian of gaming supplies or cash;
(e)
Floor manager;
(f)
Pit boss;
(g)
Dealer;
(h)
Croupier;
(i)
Approver of credit; or
(j)
Custodian of gambling devices including persons with access to
cash and accounting records within such devices;
(2)
If not otherwise included, any other person whose total cash
compensation exceeds $50,000 per year;
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(3)
If not otherwise included, the four most highly compensated persons
in the Gaming Operation; or
(4)
Any other persons designated by the Commission as a key employee.
(W)
"Management Contract" means any contract, subcontract, or Collateral
Agreement between the Nation or a subdivision of the Nation and a contractor, or between a
contractor and a subcontractor if such contract, subcontract, or Collateral Agreement provides
for the management of all or part of a gaming facility operated within the Nation.
(X)
“Nation,” as well as the terms “Tribe” and “Tribal,” means the Sac and Fox
(Y)
“Net Revenues" means gross gaming revenues of a Gaming Operation less:
Nation.
(1)
Amounts paid out as, or paid for prizes; and
(2)
Total gaming-related operating expenses, including all those expenses
of the Gaming Operation commonly known as operating expenses and non-operating
expenses consistent with professional accounting pronouncements, excluding
management fees;
(Z)
“NIGC” means the National Indian Gaming Commission as established by the
Act of October 17, 1988, Pub. L. 100-497, 25 U.S.C. §§ 2701, et. seq.
(AA) “Non-Gaming Vendor” means a vendor who provides services or goods that
do not have the ability to impact the integrity of gaming operations, such as media advertising,
facility maintenance workers, linen and laundry services, and food and beverage suppliers.
(BB) “Patron” means any person who is on the premises of a Gaming Facility, for
the purpose of participating in any gaming, promotional, or Ancillary Activity; or, for purposes
of a tort claim, means any person who is on-premises for the purpose of playing covered, or
Class III, games as provided in the Compact.
(CC) “Per Capita Payment” means a distribution of money or other thing(s) of value
to all members of the Nation or to identified groups of members paid directly from the Net
Revenues in accordance with the Nation's Revenue Allocation Plan as approved by the
Secretary of the Interior.
(DD) “Premises” means all interior and exterior areas of a gaming facility, including
parking areas and ancillary structures located on the property.
(EE)
"Primary Management Official" means:
(1)
Contract;
The person(s) having management responsibility for a Management
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(2)
Any person who has authority:
(a)
To hire and fire employees;
(b)
To set up working policy for a Gaming Operation; or
(c)
The chief financial officer or other person who has financial
management responsibility.
(3)
Any other person designated by the Commission as a primary
management official.
(FF) "Prize Claim” means a Patron's claim arising from: (1) the play of any
authorized game of chance; (2) the amount of any prize which has been awarded; (3) the
failure to be awarded a prize; (4) or the right to receive a refund or other compensation
brought by a Patron against a Gaming Operation pursuant to the Compact and any
subsequent revisions or amendments to the Compact.
(GG) “Qualified Gaming Financier” means any Gaming Financier that is: a federally
or state-regulated bank, savings and loan, or trust, or other federally or state-regulated
lending institution, or other commercial lending institution; any agency of the federal, a state,
or a tribal or a local government, a broker-dealer registered under the Securities Exchange
Act of 1934, as amended; an investment company registered under the Investment Company
Act of 1940, as amended; an investment advisor registered under the Investment Advisors
Act of 1940, as amended; or an insurance company registered under any federal or state
insurance agency; or any person or entity, including but not limited to, an institutional investor
who, alone or in conjunction with others, lends money through publicly or commercially traded
bonds or instruments or their assignees or transferees, or which bonds or commercially
traded instruments are underwritten by any entity whose shares are publicly traded or which
underwriter, at the time of the underwriting, has assets in excess of One Hundred Million
Dollars ($100,000,000.00).
(HH) “Secretary” and “Secretarial” mean the Secretary of the Interior of the United
States, or his or her delegees.
(II)
“Tort Claim” means a Patron’s claim of bodily injury, personal injury, or
property damage arising out of, connected with, or relating to the operation of the Nation’s
Gaming Operation, Gaming Facility, gaming activities, or Ancillary Activities including but not
limited to injuries resulting from the entry onto the Nation’s land for purposes of patronizing
the Gaming Facility.
Section 1-104.
Gaming Authorized
(A)
Class I, Class II, and Class III Gaming are hereby authorized within the
jurisdiction of the Nation.
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(B)
Class I Gaming shall continue to be exercised and controlled in the traditional
manner and shall not be regulated by this Title.
(C) Class II Gaming on Indian lands of the Nation shall continue to be within the
jurisdiction of the Nation but shall be subject to the applicable provisions of the Act of October
17, 1988, Pub. L. 100-497, 102 Stat. 2467.
(D) Class III Gaming on Indian lands of the Nation shall continue to be within the
jurisdiction of the Nation but shall be subject to the provisions of any Compact which is in
effect, or any Secretarial procedures approved by the Secretary of the Interior in lieu of a
compact, and applicable provisions of the Act of October 17, 1988, P.L. 100-497, 102 Stat.
2467. In any conflict between this Title and the Compact or Secretarial procedures, the
relevant Compact provision(s) or Secretarial procedures shall govern.
Chapter Two—PROVISIONS REQUIRED BY PUBLIC LAW 100-497
Section 2-201.
Ownership of Gaming
(A)
The Nation shall have the sole proprietary interest in and responsibility for the
conduct of any Gaming Operation authorized by this Title. For purposes of this section, the
term “Nation” includes any political and business subdivisions of the Nation, and social or
charitable organizations of the Nation.
(B)
Privately owned gaming is prohibited within the jurisdiction of the Nation.
Section 2-202.
Use of Gaming Revenue
Net revenues from tribal gaming shall be used only for the following purposes:
(A)
To fund tribal government operations and programs;
(B)
To provide for the general welfare of the Nation and its members;
(C)
To promote tribal economic development;
(D)
To donate to charitable organizations; or
(E)
To help fund operations of local government agencies.
Section 2-203.
(A)
Per Capita Payments
The Revenue Allocation Plan adopted by Governing Council Resolution No.
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SF-GC-96-Q4, approved effective October 1, 1996, in accordance with the United States
Department of the Interior's "Guidelines to Govern the Review and Approval of Per Capita
Payments” dated December 21, 1992, or any amended and approved Revenue Allocation
Plan, shall continue to govern all Per Capita Payments made from net revenues.
(B)
If the Nation elects to make per capita payments to Tribal members from
revenues derived from its Gaming Operations, it shall ensure that the following requirements
of 25 C.F.R. Part 290 are met:
(1)
The Nation shall authorize and issue such payments only in accordance
with a revenue allocation plan submitted to and approved by the Secretary under 25
U.S.C. § 2710(b)(3).
(2)
The Nation shall ensure that the interests of minors and other legally
incompetent persons who are entitled to receive any per capita payments under a
Tribal per capita payment plan are protected and preserved. Per capita payments may
be disbursed to the parents or legal guardian of such minors or legal incompetents in
such amounts as may be necessary for the health, education, or welfare of the minor
or other legally incompetent person, pursuant to the approved Revenue Allocation
Plan.
(3)
Tribal members shall be notified of the tax liability for per capita
payments when such payments are made and how taxes will be withheld in
accordance with the approved revenue allocation plan.
(4)
The Nation shall designate or create a Tribal court system, forum, or
administrative process for resolution of disputes concerning the allocation of Net
Revenues and the distribution of per capita payments and will explain how it will
correct deficiencies.
(5)
The Nation shall ensure that the effective Tribal revenue allocation plan
reserves an adequate portion of Net Revenues from the Tribal Gaming activity to do
one or more of the following purposes: fund Tribal government operations or
programs; provide for the general welfare of the Tribe or its members; promote Tribal
economic development; donate to charitable organizations; or to help fund operations
of local government.
(6)
The Nation shall ensure that distributions of per capita payments are
made according to specific eligibility requirements.
Section 2-204.
Independent Audits Required
(A)
The Commission shall cause an annual outside independent audit of each
Gaming Operation to be conducted and shall submit the resulting audit reports to the Gaming
Commission and: (1) the governing body of the audited Gaming Operation; (2) the Business
Committee; and (3) the NIGC.
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(B)
All gaming related contracts that result in the purchase of supplies, services, or
concessions in excess of $25,000.00 annually, except contracts for professional legal and
accounting services, shall be specifically included within the scope of the audit that is
described in Subsection A of this Section.
Section 2-205.
Environment, Public Health, and Safety
(A)
Each Gaming Facility shall be constructed, maintained, and operated in a
manner that adequately protects the environment and the health and safety of the public. The
Commission, by regulation, shall prescribe standards designed to ensure gaming facilities
shall be constructed, maintained and operated in a manner that adequately protects the
environment and the health and safety of the public.
(B)
Each Gaming Operation shall adopt policies and procedures consistent with
the Commission’s environment, public health and safety regulations and subject to the
Commission’s review and approval that assure adequate protection of the environment and
the public health and safety at all gaming facilities,
(C) The policies and procedures adopted by each Gaming Operation shall
establish adequate standards for gaming facilities with regard to:
(1)
Construction;
(2)
Fire prevention, suppression, and alarm systems;
(3)
Emergency preparedness for natural and man-made disasters;
(4)
Food & water quality and safety;
(5)
Environmental and safety hazards relating to construction &
maintenance;
(6)
Handling and disposal of hazardous and waste materials;
(7)
Sanitation; and
(8)
Security
Each Gaming Operation shall consult with the professional staff of the Blackhawk Health
Center, the Sac and Fox Police Department, and the Sac and Fox Justice Department
regarding public health and safety issues mentioned in this Section and take their views into
account in the preparation of its policies and procedures.
(D) The Commission shall verify that an inspection of each gaming facility is
conducted annually by qualified inspectors and the Commission may compel the inspection
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of any gaming facility at such times as it deems necessary. Upon completion, a copy of the
inspection reports shall be provided to the Commission.
(E)
The Commission may bring any enforcement action necessary to enforce
compliance with applicable environment, public health and safety laws, regulations, as well
as the policies and procedures issued pursuant to this Section.
(F)
The Commission shall take immediate notice of inspection reports indicating
conditions that pose a clear and imminent threat: (1) to the environment, which, if uncorrected,
could result in actual harm to life or destruction of property; or (2) to human health and wellbeing, which, if uncorrected, could result in serious illness or death. The Commission may
order the immediate closure of all or part of any gaming facility, or such lesser remedy in the
event of the presence of a condition creating actual and imminent jeopardy to public health
and safety, which order may extend only so long as may be required to abate such condition
in the judgment of the Commission.
Section 2-206.
Internal Control Standards
(A)
The Commission by regulation shall adopt, implement, and enforce Tribal
Internal Control Standards (“TICS”) to govern the operation of all gaming facilities and gaming
activities in accordance with applicable provisions of the Compact and the regulations of the
NIGC, with such enhancements and additions as may be useful or necessary to further
protect the government of the Nation, the gaming facilities and Ancillary Activities, and the
public interest. The Commission shall provide public notice of proposed TICS and other
Commission rules prior to formal adoption and afford a reasonable opportunity for the Nation’s
citizens and other interested persons, including the Nation’s Gaming Operations, to provide
comments. Any TICS, as adopted by the Commission, shall not become effective until an
official copy is filed with the Secretary of the Nation, and also provided to the Attorney General
of the Nation.
(B)
The TICS shall be compliant with the NIGC’s Minimum Internal Control
Standards and all applicable standards set forth in the Compact. The Tribal Internal Control
Standards so approved shall thereafter govern all Class II and Class III Gaming within the
jurisdiction of the Nation, until and unless they are amended by the Commission in the same
manner in which they were adopted.
(C) Pursuant to the standards set forth in the TICS and subject to review and
approval of the Commission, each Gaming Operation shall adopt and operate in accordance
with internal control policies and procedures, setting forth in detail the requisite procedures
governing each controlled activity.
Section 2-207.
Agent for Service of Process
The Nation hereby designates the Principal Chief as agent for service of process, who
may be contacted at:
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Office of the Principal Chief
Sac and Fox Nation
920883 S. Highway 99
Stroud, Oklahoma 74079
Section 2-208.
Payment of Taxes and Regulatory Fees to the Nation
Each Gaming Facility shall pay all Tribal taxes due, and its fair share of the regulatory
fees imposed by law to reimburse the Nation for the cost of regulating gaming within its Indian
lands.
Chapter Three—GENERAL PROVISIONS
Section 3-301.
Complimentary Items
(A)
The issuance, tracking, and reporting of complimentary items in a Gaming
Facility shall be governed by the Tribal Internal Control Standards regulations established by
the Commission and in accordance with policies and procedures adopted by the Gaming
Operation and approved by the Commission.
(B)
Complimentary items may be distributed solely for the purpose of inducing
patronage of the Gaming Operation. Key Employees, Primary Management Officials,
members of the governing body of the Nation’s Gaming Operations, Commissioners,
employees of the Commission, and elected officials of the Nation, including judicial officers,
and their spouses, domestic partners, and household members shall not be eligible to receive
complimentary items; provided, however, that food and beverages reasonably and
appropriately provided and received in the normal course of business, such as business
meetings, seminars, and other business functions are not prohibited by this provision; and
provided further, that at public events held at a gaming facility, such as trade fairs,
conferences, or similar public activities, free food and beverages and other items offered to
all attending members of the general public may be equally offered to, and received by, such
persons.
(C) Complimentary Items shall be included in the annual budget for each gaming
facility, within maximum limits specified and approved by, the governing body of the Gaming
Operation.
Section 3-302.
Compliance with Federal Law
In addition to its authority to enforce compliance with this Title and regulations issued
hereunder, the Commission is hereby delegated the authority to monitor, enforce, and
sanction violations of all federal laws and regulations applicable to the Nation’s gaming
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activities including, without limitation, the pertinent provisions of Title 25 of the United States
Code and the Code of Federal Regulations, Title 26 of the United States Code and the Code
of Federal Regulations, and Title 31 of the U.S. Code and Code of Federal Regulations,
among others that are or may become applicable.
Section 3-303.
Ethical Conduct Respecting Gaming
(A)
The Nation recognizes that the duties of the governing body of each Gaming
Operation and the Commission include making important and difficult decisions on highly
sensitive issues. Accordingly, the Nation has determined that the members of the governing
body of each Gaming Operation and the Gaming Commissioners shall be held to extremely
high ethical standards. Prior to taking their positions, the Commissioners, governing members
of each Gaming Operation, and Primary Management Officials of each Gaming Operation
shall agree in writing to support, protect, and defend the Constitution, Charter, and laws of
the Nation, to be bound by the principles of the Business Ethics and Conflict of Interest Policy
of the Nation, and to refrain from conduct defined as Misconduct in Office by the Code of
Laws of the Nation.
(B)
The following constitute examples of the principles of the Business Ethics and
Conflict of Interest Policy and definitions of Misconduct in Office that are especially applicable
in the gaming context:
(1)
Neither Commissioners, governing members of a Gaming Operation
nor casino managers or employees of a Gaming Operation shall hold financial
interests that conflict with the conscientious performance of their respective duties Per
Capita distributions are not considered financial interests that would conflict with the
conscientious performance of duty by a tribal member holding any of the positions
described in this Section 1-303.
(2)
Commissioners, governing members of a Gaming Operation and/or
casino managers or employees of a Gaming Operation shall not engage in financial
transactions using nonpublic information or allow the improper use of such information
by others on their behalf to further any private interest.
(3)
Commissioners, governing members of a Gaming Operation and/or
casino managers or employees of a Gaming Operation shall not solicit or accept any
gift or other item of monetary value, including complimentary items or services, from
any person or entity seeking official action or inaction from the Commission, a Gaming
Operation, or a gaming facility nor doing business with, or conducting activities
conducted by the entity, or whose interests may be substantially affected by the
performance or nonperformance of the entity’s duties except as specifically authorized
by law.
(4)
Commissioners, governing members of a Gaming Operation and/or
casino managers or employees of a Gaming Operation shall make no unauthorized
commitments or promises of any kind purporting to bind the Nation or any of its
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agencies or subordinate entities.
(5)
Commissioners, governing members of a Gaming Operation and/or
casino managers or employees of a Gaming Operation shall not use their positions
for private gain.
(6)
Commissioners, governing members of a Gaming Operation and/or
casino managers or employees of a Gaming Operation shall act impartially, in
accordance with all relevant laws, and shall not give preferential treatment to any
person, nor wrongfully withhold action to which any person is entitled on account of
any matter personal to the individual.
(7)
Commissioners, governing members of a Gaming Operation and/or
casino managers or employees of a Gaming Operation shall ensure that the property
and assets of gaming facilities are properly segregated and safeguarded, and that
such property and assets are not used for unauthorized activities.
(8)
Commissioners and casino managers and employees shall not engage
in outside employment or activities, including seeking or negotiating for future
employment, which conflict with their official duties and responsibilities.
(9)
Commissioners, governing members of a Gaming Operation and/or
casino managers or employees of a Gaming Operation shall disclose waste, fraud,
abuse, and corruption to appropriate authorities.
(10) Commissioners, governing members of a Gaming Operation and/or
casino managers or employees of a Gaming Operation shall endeavor to avoid any
actions creating the appearance that they are violating the law or the ethical standards
applicable to the individual.
(11) Commissioners, governing members of a Gaming Operation and/or
casino managers or employees of a Gaming Operation shall disclose any real or
apparent financial or personal conflicts. If there is an actual conflict or the appearance
of one, the individual shall not take part in any decision related to the conflict.
(C)
The Gaming Commissioners shall determine by regulation whether any
additional employees of the Commission, shall be required to be bound by these principles.
(D)
In the event of a conflict of interest, the conflicted Commissioner governing
members of a Gaming Operation and/or casino managers or employees of a Gaming
Operation shall recuse him or herself from the matter. Should the need for recusal arise, the
conflicted individual shall so notify the other members of the body in which such person serves
in order that an alternate may be selected to carry out the duties of the conflicted individual
in relation to the matter.
Section 3-304.
Violations
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In addition to any other civil and/or criminal acts that may be regulated or prohibited
by this Title, other Laws of the Sac and Fox Nation, or applicable federal or state law, the
following prohibited activities shall constitute civil violations under this Title and may subject
any person or entity to the enforcement authority of the Gaming Commission as provided in
this Title.
(A)
Gaming license. No person shall operate or conduct Gaming or Ancillary
Activities in a Gaming Facility without a gaming license issued by the Commission under this
Title.
(B)
Falsifying information. No licensee or license applicant shall intentionally omit
or provide false information to the Commission, the Nation, of any of its governmental
agencies in connection with any document, statement, or proceeding under this Title.
(C)
Accounting and Inspection.
No management contractor or Primary
Management Official shall fail to account fully for all monies received or collected in
connection with the Gaming Operation and/or gaming or gaming related activities nor omit
the filing of any report required under a management contract, the laws or regulations of the
Nation, or pursuant to an order, directive, or inquiry of the Commission. No Gaming Operation
nor any manager, employee, or agent of the Gaming Facility shall obstruct or refuse to allow
an authorized representative of the NIGC or an authorized Commission official to enter upon
the premises of a Gaming Facility to carry out inspections or other regulatory functions nor
refuse to provide such officials with any documents, books, records, materials or surveillance
recordings requested by such officials.
(D)
Age Limit. No person under the age of eighteen (18) shall participate in
gaming activities. In the event a person who has not attained the age of eighteen participates
in any gaming facility and wins a prize, the prize shall not be awarded, but instead shall be
forfeited to the Nation and the consideration wagered shall be returned to the underage
participant.
(E)
Cheating. No person shall engage in cheating in any gaming activity.
(F)
Possession of a Firearm. No person, other than a law enforcement officer duly
authorized by the Nation or invited by the Nation to be on the premises or duly authorized
security officer, may enter or remain in or on the premises of a Nation Gaming Operation
while in possession of a firearm.
(G)
Violation of any provision, rule, regulation, or order. No person shall violate
any provision of this Title, or any rule, order or regulation that the Commission may
promulgate or issue, including any internal control procedure.
(H)
Fraudulent scheme or techniques. No person participating in or conducting
any gaming activity authorized under this Title shall:
(1)
Use bogus or counterfeit cards or dice, or substitutes, or use any
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game cards or dice that have been tampered with, altered, or marked;
(2)
Employ or have on one’s person any device which may be used to
facilitate cheating in a gaming activity;
(3)
Use any fraudulent scheme or technique; including the disclosure or
receipt of inside information concerning a gaming or promotional activity for the
benefit of any person; or
(4)
Knowingly cause, aid, abet, or conspire with another person to steal,
cheat, or violate any provision of this Title or any regulation adopted under this Title.
(I)
Failure to Maintain Suitability. It shall be a substantial violation for any
licensee to fail or cease to meet the suitability standard established by this Title.
(J)
Fraudulent Conduct. It shall be a substantial violation of this Title for any
person or entity to engage in fraudulent conduct, which includes:
(1)
Defrauding the Nation, the Gaming Operation, any Ancillary Activity,
any Gaming Operation licensee, or any participant in any gaming activity or
promotion;
(2)
Providing false, misleading, or materially inaccurate information in
relation to any official inquiry of the Commission or any license application or vendor
registration program established by Gaming Commission;
(3)
Claiming, collecting, taking, or attempting to claim, collect or take
money or anything of value in or from a Gaming Facility to which one is not entitled;
or claiming, collecting, or taking an amount greater than the amount actually won in
a game or promotion;
(4)
Falsifying, destroying, wrongfully altering, or failing to produce any
books, data, records, or other information relating to the Gaming Operation and/or its
Ancillary Activities required to be produced under applicable laws or regulations;
(5)
Offering or attempting to offer anything of value, to a licensee in an act
that is an attempt to induce, or may be perceived as an attempt to induce, the licensee
to act in a manner contrary to the official duties of that licensee;
(6)
Acceptance by licensee of anything of value with the expectation that
the receipt of value is intended, or may be perceived as intended, to induce the
licensee to act in a manner contrary to their official duties; and
(7)
Entering into any contract or making payment on any contract for the
delivery of goods or services to the Gaming Operation, when such contract results in
the acquisition of goods or services for less than fair value.
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(K)
Unlawful conversion of gaming revenue. It shall be a substantial violation of
this Title for any person or entity to convert gaming or gaming operation revenues for
personal gain or for any purpose not authorized by the Nation, the Gaming Operation, or
applicable law.
(L)
Failure to comply with regulations. It shall be a violation of this Title for any
person or entity subject to the Nation’s jurisdiction to:
(1)
Handle cash or cash equivalents in a manner inconsistent with the
Nation’s regulations or the Gaming Operation’s internal control procedures;
(2)
Carry out the installation of gaming machines in a manner that is
inconsistent with Federal and Nation rules and regulations;
(3)
Fail to respond to or comply with any lawful order, directive, inquiry, or
demand of the Gaming Commission; or
(4)
Impede, hinder, delay, interfere, misdirect, misinform, harass, or
otherwise obstruct a Commissioner, employee of the Commission, or agent of the
Commission in the carrying out of their duties.
(M)
Gaming Management, Employees, and other Licensees. It shall be a violation
of this Title for any gaming manager, employee, licensee, or other responsible person or
official to:
(1)
Fail to keep appropriate books and records sufficient to substantiate
income and expenses and to verify the propriety of all expenditures and
disbursements by any component of the Gaming Operation;
(2)
Falsify any books or financial records related to any transaction
connected with holding, operating, or conducting Gaming Activity, Gaming
Promotions, or Ancillary Activities;
(3)
Falsify, destroy, erase, hide, intentionally lose, alter without
authorization, or otherwise misrepresent any records, documents, reports, books,
data, metadata, or other information relating to a gaming corporation, operation,
activity, facility, or the administration or accounting thereof;
(4)
Make any unauthorized payments or disbursements related to the
operation of Gaming or Ancillary Activities;
(5)
Convert for one’s personal use any funds, property, or other financial
assets of the gaming operation;
(6)
Place unlicensed or unauthorized gaming equipment on the gaming
floor or permit the play of unauthorized games;
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(7)
Fail to report any matter so required to be reported to the Commission
by this Title; or
(8)
Obstruct, impede, hinder, delay, misdirect, misinform, harass,
interfere with or otherwise fail to accommodate the request or directive of a
Commissioner, employee of the Commission, or agent of the Commission in the
carrying out of their duties.
(N)
Facility Compliance. The management of each Gaming Facility is responsible
for ensuring that all primary management officials and key employees assisting in the
operation of any gaming activity comply with this Title, the gaming Compact, and all
provisions of any Nation or federal law applicable to the Nation’s gaming activities. A violation
by any such primary management officials or key employees shall be deemed a violation by
management and may subject both the licensee and the Gaming Operation to sanctions.
(O)
Discretion of the Gaming Commission. Any person found to be in violation of
any of the foregoing by the Gaming Commission may be permanently excluded from the
Gaming Facility, have his or her license suspended or revoked, or be subject to such lesser
sanction as may be imposed by the Commission pursuant to Section 1-430. The Gaming
Commission shall have the discretion to bring an enforcement action against any person or
entity whose actions or inactions present an actual or imminent threat or danger to the public
health and safety of the facility or its Patrons or to the integrity of gaming. Actions taken by
the Commission under this provision shall at all times be reasonable and prudent and the
specific grounds for such action must be documented.
Section 3-305.
Sovereign Immunity
(A)
Nothing contained in this Title shall be construed to be a waiver of the sovereign
immunity of the Nation or the Sac and Fox Tribe, Inc., or the officers, employees, agents, or
business or political subdivisions thereof (the “Nation”), nor to be a consent to any suit beyond
the limits specifically authorized by the laws of the Nation. All such authorizations shall be
strictly construed.
(B)
Persons who are not employees of the Nation, but who are performing
substantial, necessary, or useful services to the Nation on a voluntary basis, who are acting
under the supervision, or with the approval of an officer, agent, or employee of the Nation,
and who would be immune from suit were the acts in which they were engaged done by any
officer, agent or employee of the Nation, shall enjoy the protection of the sovereign immunity
of the Nation to the same extent as a paid agent or employee.
Section 3-306.
Patron Dispute Resolution by Gaming Operation
(A)
All disputes between members of the gaming public and operators or
employees of licensed gaming facilities must be promptly and, to the extent practicable,
amicably reconciled by an authorized agent of the Gaming Operation or his or her authorized
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representative and in accordance with the requirements and limitations established in this
Section.
(B)
In cases where the dispute cannot be promptly and amicably resolved or settled
between an authorized agent and a Patron, the regulations adopted by the Commission
and/or applicable internal control standards and procedures approved by the Commission
must be followed.
(C)
In no event shall the Gaming Operation ever settle a prize claim in a monetary
award of an amount in excess of the available prize for the subject gaming activities or
promotional prize.
(D)
Except in relation to the Gaming Operation up to the limits of its liability
insurance policy, no liability of any kind or nature shall ever attach to the property or assets
of the Nation as a result of any settlement, award, or judgment in any claim asserted against
a Gaming Operation of the Nation. The sovereign immunity of the Nation with respect to
lawsuit against its officials, acting in their official capacities, is expressly reserved in any and
all instances.
(E)
The Commission shall verify that a brochure containing the procedures for the
filing of prize and tort claims in accordance with this section is prepared by casino
management and conspicuously posted at the cage and other appropriate areas of the casino
at all times.
(F)
Each gaming facility shall secure and maintain public liability insurance with
liability limits not less than the amount required by regulation of the Commission and/or,
where applicable, the Compact, for the express purposes of covering and satisfying Patron
tort claims against that facility. This requirement for the maintenance of public liability
insurance shall in no way be construed as a waiver of the Nation’s sovereign immunity from
suit or that of any of its entities or instrumentalities, including any agent, official or employee,
provided that the insurer shall not assert the Nation’s’ sovereign immunity to avoid litigation
or defeat any legitimate claim up to the limits of the policy.
(G)
The Gaming Operation shall create and maintain a permanent record of all
Patron disputes, including the name of the Patron; the date time, and location where the
dispute arose; the name and badge number of the management official that settled the
dispute, and the result of any settlement, including the amount.
(H)
The Gaming Operation shall notify the Commission within forty-eight (48) hours
of the lodging of a Patron dispute. Any related settlement shall also be communicated to the
Commission within forty-eight (48) hours.
Section 3-307.
Prize Claims
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(A)
In the event of a dispute between a Patron and the Gaming Facility regarding
the payment of a wager; distribution of winnings; or award of a promotional prize, the Patron
may make a claim against the Gaming Operation by filing a written prize claim notice with the
Gaming Operation within ten (10) days of the event which is the basis of the prize claim.
Failure to file the prize claim within such 10-day period shall forever bar such prize claim.
(B)
information:
The written notice of the prize claim shall state, at a minimum, the following
(1)
Time;
(2)
Date;
(3)
Place;
(4)
Circumstances of the claim;
(5)
Identity of tribal or gaming employees, and witnesses, as applicable;
(6)
Amount of the relief demanded; and
(7)
The name, address, and telephone number of the claimant.
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(C)
If the Gaming Operation denies the prize claim, the claimant shall have fortyeight (48) hours from the date the claim was denied to file the prize claim with the
Commission. Failure to file the prize claim during such 48-hour period shall forever bar such
prize claim.
(D)
Upon receipt of the prize claim notice, the Commission shall promptly review,
investigate, and make a determination regarding the prize claim based on the claimant’s
written submission. Alternatively, the Commission may conduct a hearing and receive
evidence with regard to such claim if it deems an evidentiary proceeding useful in the
resolution of the prize claim. If a hearing is granted and the Patron having been given with
notice of the hearing fails to appear without notice and good cause the Commission may
dismiss such claim by default.
(E)
Any portion of the prize claim which remains unresolved after thirty (30) days
from the date of filing with the Commission shall be deemed denied if the Commission fails
to notify the claimant in writing of its approval within such 30-day period.
(F)
To appeal the Commission’s decision, the claimant must file an appeal with
the District Court of the Nation not later than thirty (30) days after the Commission’s decision
or constructive denial.
(G)
In no event shall a prize claim ever result in a monetary award of an amount
in excess of the available prize for the subject gaming activities or promotional prize.
(H)
The Commission is hereby authorized to promulgate regulations consistent
with the provisions set forth in this Section and the Compact to further clarify the requisite
procedures for the filing and disposition of prize claims.
Section 3-308.
Tort Claims
(A)
Any Patron having a claim against the Gaming Operation for personal injury
or property damage must present that claim to the Gaming Operation on the date of the
alleged incident and prior to leaving the gaming facility premises. If, due to the circumstances,
the Patron is unable to file such claim on the date of the alleged incident, the Patron or the
Patron’s representative must file the claim within ninety (90) days of the date of the alleged
injury or damage. In the event a claim is not filed within ninety (90) days after the date of the
alleged injury or damage, but within one (1) year, any judgment arising from the act which is
the subject of the claim shall be reduced by ten percent (10%).
(B)
The Gaming Operation shall forward the Commission the notice of tort claim
within forty-eight (48) hours of its receipt by the Gaming Operation. If the Patron or the
Patron’s representative should file the notice with the Commission, the Commission shall
forward the notice of claim to the Gaming Operation within forty-eight (48) hours of its receipt.
(C)
The tort claim notice shall state the following:
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(1)
Date;
(2)
Time;
(3)
Place;
(4)
Circumstances of the claim;
(5)
applicable;
The identities of tribal or gaming employees, and witnesses, as
(6)
The amount of compensation or other relief demanded;
(7)
The name, address, and telephone number of the claimant; and
(8)
The name, address, and telephone number of any representative
authorized to settle the claim.
(D)
The Gaming Operation shall promptly review, investigate, and make a
determination regarding the tort claim within ninety (90) days from the filing date. Failure to
notify the claimant of a decision within the specified ninety-day (90-day) period shall be
deemed a denial of the claim.
(E)
To appeal the Gaming Operation’s decision, the claimant must file an appeal
with the District Court of the Nation not later than thirty (30) days after the Gaming Operation’s
decision or constructive denial.
(F)
The District Court of the Nation shall have exclusive jurisdiction to adjudicate
a claim by a gaming Patron for personal injury or property damage provided for herein, but
only if:
(1)
The purported injury occurred on the premises of a gaming facility
licensed under this Title;
(2)
The claimant has filed a timely and valid tort claim notice as provided
herein;
(3)
The claimant has followed all required procedures pursuant to the
Nation’s laws, including the pertinent terms of any Compact relating to tort claims;
(4)
The Gaming Operation has denied the claim; and
(5)
The claimant has filed an appeal with the District Court of the Nation
no later than on the thirtieth (30th) day after the date on which the claim was denied
by the Gaming Operation.
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(G)
Failure to file a tort claim notice within one (1) year of the date of the alleged
injury or damage shall deprive the District Court of the Nation of jurisdiction over the matter
and forever bar such tort claim against the Gaming Operation.
(H)
The Nation’s laws shall govern every tort claim brought pursuant to this Title,
provided that the District Court of the Nation may assimilate and apply the laws of the State
of Oklahoma in adjudicating tort claims. Such assimilation and application of the laws of the
State of Oklahoma by the District Court of the Nation shall under no circumstances be
construed as conferring any jurisdiction or authority on the State of Oklahoma or any
department, agency, or subdivision of the State of Oklahoma.
(I)
The maximum amount of damages payable for any tort claim for personal
injury or property damage shall be limited to liability insurance coverage maintained by the
Gaming Operation which shall, at a minimum, be consistent with any applicable requirements
under the Compact in effect at the time the claim was filed.
(J)
Nothing in this Section shall be construed to diminish or deprive the
Commission of authority to independently investigate the circumstances pertaining to any
alleged tort claim for purposes of carrying out the Commission’s regulatory duties or functions.
Section 3-309.
Right of Appeal & Finality of Decisions
The parties to an authorized judicial proceeding before the District Court of the Nation
in which a prize claim or tort claim is in dispute shall have the right to appeal to the Supreme
Court of the Nation as provided by law. A decision of the Sac and Fox District Court that is
not appealed, or a decision of the Supreme Court of the Nation shall be final and not subject
to further appeal.
Chapter Four—GAMING COMMISSIONER POWERS & DUTIES
Section 4-401.
Gaming Commission
(A)
The Commission, having been previously established under prior Nation law,
is hereby re-confirmed as the independent gaming regulatory body of the Nation charged with
regulating the Nation’s Gaming Operations. The Commission shall have full and complete
jurisdiction over all gaming matters arising under this Title, the Compact, and all other laws
and regulations applicable to the Nation’s Gaming and Ancillary Activities and shall have
independent authority to regulate and supervise all Gaming, Promotional, and Ancillary
Activities and to administer the provisions of this Title.
(B)
The Commission shall consist of three members, at least two of whom must be
enrolled members of the Sac and Fox Nation. There shall be among them a Chairperson,
Vice Chairperson, and at least one additional Commissioner. Each member serving on the
Commission on the effective date of this title shall serve the remainder of his or her current
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term.
(C)
The Commission shall employ an individual to serve as Executive Director of
the Commission to administer the responsibilities of the Commission and to direct and
oversee the Commission’s staff.
(D)
The purpose of the Gaming Commission is regulatory, not managerial, but it
shall have full authority to review the actions and decision of the Gaming Operations,
including its Gaming and Ancillary Activities to verify compliance with all applicable tribal,
federal, and, if applicable by Compact, and applicable state laws and regulations.
(E)
The Commission will serve as the licensing authority for individuals employed
in the Gaming Operation and will administer background investigations as part of the licensing
process. The Executive Director shall be authorized to make eligibility determinations
pursuant to Section 1-516 and grant or deny applications for new and renewal licenses.
(F)
The Commission will serve as the licensing and regulatory authority in relation
to Ancillary Activities operated by the Gaming Operation and may by regulation establish an
alternate licensing or permit program for employees of Ancillary Activities and may establish
a regulatory framework for the conduct of such Ancillary Activities.
(G)
The Commission will monitor and enforce compliance with the internal controls
for the Gaming Operation, including, but not limited to, activities involving the tracking of
Gaming Revenues and revenue from Ancillary Activities. The Gaming Commission will also
monitor all Gaming Operations through clandestine surveillance of all areas of each Gaming
Facility and will administer and supervise the surveillance function, provided that the funds
generated by the Gaming Operations shall cover the cost of the surveillance function, as
determined by the Business Committee.
(H)
In order to carry out its regulatory duties, the Commission shall have
immediate, unrestricted, and unfettered access to all areas of the Gaming Facility and all
areas where Ancillary Activities are conducted, including accounting, information technology,
storage, and administrative support areas, as well as unfettered access to all meetings of the
governing body of the Gaming Operation, including meetings conducted in executive session,
and records of the Gaming Operation wherever conducted or maintained, which it may
exercise directly or through such agents or employees as determined by the Commission.
(I)
The Commission shall have authority to take enforcement actions, including
issuing notices of violation, closure orders, civil fine assessments, orders to compel, orders
to cure, settlement agreements in lieu of enforcement actions, reopen orders, preopening
agreements, and suspending or revoking any gaming license when appropriate; as well as
the authority to order any licensee to appear and show cause before the Commission for
violations or suspected violations of applicable laws or regulations.
(J)
The Nation recognizes the importance of an independent Gaming Commission
in maintaining a well-regulated Gaming Operation. The Commission shall be and shall act
independently and autonomously from the Business Committee and Governing Council, in all
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matters within its purview. No prior or subsequent review by the Business Committee or the
Governing Council of any actions of the Commission shall be required or permitted except as
otherwise explicitly provided in this Title. To avoid potential conflicts of interest between the
operation and regulation of the Gaming Facility, the Nation hereby finds that, at a minimum:
(1)
No elected officer of the Sac and Fox Nation, any member of the
Business Committee, Judges or Justices of the Nation’s courts, Attorney General,
Board members or employees of Sac and Fox Tribe, Inc., Sauk Business Enterprises
members, employees of any of the Nation's gaming facilities, gaming contractors
(including any principal of a management or other contracting company), persons
ineligible to be key employees or primary management officials, or any person who
has management responsibilities for any Gaming Operation may serve on the Gaming
Commission;
(2)
No member directly related to any Business Committee member,
Judges, or Justices of the Nation's courts, Attorney General, Board members or
employees of Sac and Fox Tribe, Inc., or Sauk Business Enterprises member may
serve on the Commission;
(3)
All persons employed by, or who are members of the Commission are
prohibited from gambling in any of the Nation's Gaming Facilities; and
(K)
Vacancies in the Commission membership shall be filled through appointment
by the Principal Chief subject to confirmation by the Business Committee. If a vacancy occurs
for any reason during an appointed term by any member of the Commission, the Principal
Chief shall, upon recommendation from the remaining Commissioners, make a temporary
appointment for the remainder of that term, provided that during the pendency of any vacancy
or if a member is recused from hearing any matter properly before the Commission, the
Commission may appoint a qualified individual to serve as Commissioner on a pro tem basis
until such matter is concluded. The following categories of persons shall be deemed qualified
to serve as Commissioner Pro Tem for purposes of this Section:
(1)
Former Commissioners that left the Commission in good standing;
(2)
An attorney actively licensed or admitted to practice law in the courts
of the Nation; or in any state or tribal court; or in any district or territory of the United
States, provided that such attorney’s license or admission is in good standing;
(3)
A retired judge or magistrate from any Nation, state, or federal court;
(4)
A sitting member of any tribal gaming commission.
and
(L)
Nominees for positions of Commissioner must satisfy the eligibility standards
set forth for key employees and primary management officials, found in Section 1-516 et seq.
of this Title. Such background investigations shall be performed by licensing officials of the
Commission applying the eligibility standard as set forth in this Title.
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(M)
In addition to such other powers as conferred it by this Title, the Commission
and/or its staff as appropriate shall have authority to:
(1)
Conduct or cause background investigations to be conducted on, at a
minimum, Primary Management Officials and Key Employees;
(2)
Review and approve all investigative work conducted;
(3)
Report notice of results of background investigations to the NIGC;
(4)
Obtain and process fingerprints, or designate a law enforcement
agency to obtain and process fingerprints;
(5)
Make licensing eligibility determinations, which shall be signed by the
Executive Director;
(6)
Issue gaming licenses to management officials and employees of the
operations, consistent with the Executive Director’s eligibility determination;
(7)
Deny any license application for cause and to revoke, cancel, condition,
or suspend for cause any license, permit, or registration issued by the Commission;
(8)
Conduct all hearings pertaining to adverse licensing actions and civil
violations of this Title, the IGRA, Compact, or other laws and regulations applicable to
the Nation’s Gaming and Ancillary Activities;
(9)
Establish standards for licensing the Nation’s Gaming Facilities within
the jurisdiction of the Commission;
(10) Issue facility gaming licenses to the Nation’s Gaming Facilities within
the jurisdiction of the Commission;
(11) Inspect, examine and monitor all gaming, promotional, and ancillary
activities through surveillance, compliance and internal audit activities, approve the
rules of various games, and authorize and inspect games, tables, equipment,
machines, cards, dice, and chips or tokens and other paraphernalia used in all
Gaming Operations to ensure compliance with applicable law;
(12) Temporarily impound gaming equipment for investigation or analysis
and shut down gaming equipment failing to conform to the standards required under
laws and regulations applicable to the Gaming Operation;
(13) Inspect, examine, and monitor the handling of all cash, cash
equivalents, and cash transaction and accounting systems, and to have immediate
access to review, inspect, examine, photocopy and audit all records of any Gaming
and Ancillary Activities of a Gaming Operation;
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(14) Ensure that all revenues and expenses of the Gaming Operation are
properly assigned and disbursed in a manner consistent with Tribal and applicable
federal law;
(15) Ensure compliance with all applicable laws, rules, and regulations
applicable to the Nation’s Gaming and Ancillary Activities, including those of the
Nation and the United States as well as all compact provisions and all other applicable
laws, regulations, and the terms of the Compact;
(16) Investigate any suspected wrongdoing associated with the Nation’s
Gaming Operations, including Gaming and Ancillary Activities and, where criminal
wrongdoing is suspected or identified, report such activities to appropriate law
enforcement agencies;
(17) Conduct hearings on Patron complaints and prize claims, in compliance
with procedures adopted by the Commission by regulation;
(18) Comply with all reporting requirements under the IGRA, the Compact,
and all other applicable laws and regulations;
(19) Promulgate and issue regulations establishing internal control
standards applicable to all of the Nation’s Gaming Operations and monitor and
enforce compliance with such standards by all Gaming Operations within the
jurisdiction of the Sac and Fox Nation, provided that all such regulations must meet
or exceed the Minimum Internal Control standards promulgated by the NIGC.
(20) Review, approve, and audit operational procedures governing the
Gaming Activities, Promotions, and Ancillary Activities of the Gaming Operation,
including security, accounting, game rules, cash control, game procedures, and other
matters, all of which, following approval, will have the force of law pursuant to this
Title;
(21) Promulgate and issue regulations on the levying of fees necessary to
defray the expenses of gaming license applications;
(22) Promulgate and issue regulations on the levying of civil fines or
forfeitures respecting any person who violates applicable gaming law and regulations
within the jurisdiction of the Sac and Fox Nation, and/or suspension or revocation of
gaming licenses for violations of the gaming laws, rules, or any other applicable
gaming law or regulations from state or federal jurisdictions; provided, that said
regulations may not authorize the levy of a civil fine in excess of the amount which the
NIGC is authorized to levy by statute;
(23) To issue orders of exclusion and maintain a list of persons not allowed
to enter the premises of the Nation's gaming facilities to maintain the integrity of the
gaming and/or ensure the public health and safety of Patrons and employees;
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(24) Establish a list of persons who have voluntarily asked to be excluded
from the Nation's gaming facilities and create regulations for enforcing this exclusion;
(25) Provide referrals and information to the appropriate law enforcement
officials when such information indicates a violation of tribal, federal, or state
applicable laws, statutes, regulations, or resolutions as well as exchange information
with other gaming regulatory agencies;
(26) To delegate the Commissions duties, responsibilities and functions as
appropriate to the Commission’s Executive Director, who shall be authorized to further
delegate such duties, responsibilities, and functions to Commission staff.
(27) Select and retain professional services, including legal counsel, to
assist in any of the issues over which the Commission exercises jurisdiction;
(28) Establish such video and audio surveillance standards as may be
necessary, and conduct or approve such video and audio surveillance of gaming
facilities as may be necessary to provide security and to enforce the standards
applicable to gaming within the jurisdiction of the Nation;
(29)
(30)
with IGRA;
Review and approve the rules of gaming and marketing promotions;
To classify and license Class I, II, and III gaming activities consistent
(31) To adopt an operating budget for the Commission, which shall set forth
monthly expenditures, and submit such budget annually to the Business Committee
for approval;
(32)
of this Title;
Develop and administer forms as necessary to carry out the provisions
(33) Perform such other duties the Commission deems appropriate for the
proper regulation of the tribal Gaming Operations within the jurisdiction of the Nation;
(34) Promulgate regulations and guidelines as it deems appropriate to
implement the provisions of this law.
(N)
The Commission shall ensure that all records and information obtained as a
result of an employee background investigation remains confidential and limited to only those
persons who have a legitimate work-related need to access the information. This
confidentiality provision does not apply to requests for such information or records from any
tribal, federal or state law enforcement or regulatory agency, or for the use of such information
or records by the Commission and staff in the performance of their official duties.
(O)
Gaming Commissioners shall serve a term of four (4) years. Each
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Commissioner may continue to serve beyond the expiration of his or her term until the
successor to such Commissioner has been appointed and confirmed.
(P)
No person with a felony conviction for an offense an element of which involves
dishonesty or violence may be considered for appointment to the Commission.
(Q)
The independence of the Commission is essential to a well-regulated Gaming
Operation. For that reason, Commissioners may only be removed from office by the Business
Committee prior to the expiration of their respective terms for neglect of duty, misconduct,
malfeasance, misfeasance, or other acts that would render a Commissioner unqualified for
his/her position.
(R)
Any allegations of neglect of duty, misconduct, malfeasance, misfeasance, or
other acts that would render a Commissioner unqualified for his/her position must be
substantiated by a preponderance of the evidence.
(S)
Any Commissioner subject to removal hereunder shall be given notice in
writing of the specific grounds for a pending removal and an opportunity at a hearing before
the Business Committee, which hearing shall be held not less than thirty (30) days after the
Commissioner’s receipt of the Notice of Removal hereunder, to appear and present evidence
rebutting the grounds for his or her removal. Notice required hereunder may be made by
personal service or by certified mail with return receipt requested.
(T)
While a removal proceeding is underway pursuant to this section, the Business
Committee may, in its discretion, order immediate suspension, pending a final determination
concerning removal of a Commissioner who is subject to such proceeding.
(U) A final determination of the Business Committee removing a Commissioner
shall be subject to review by the Nation’s courts solely with respect to errors of law, and all
findings of fact made by the Business Committee may be overturned only if clearly erroneous.
(V)
A majority of the Commission shall constitute a quorum. A quorum shall be
required for a final determination by the Commission. The Commission may act in its official
capacity even if there is an absence.
(W) Gaming Commissioners shall be compensated at a level determined by the
Business Committee, provided that once established, compensation shall not be reduced
during a Commissioner’s term. Commissioner compensation shall not be based on a
percentage of gaming revenue to ensure the Commission is not improperly influenced.
(X)
Commissioners shall be reimbursed from Commission budgeted funds for all
necessary and reasonable travel and other reasonable and 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 Nation generally.
Section 4-402.
Buildings and Equipment
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All Gaming Facilities shall, at no cost to the Commission or Nation, provide adequate
workspace for Commission staff commensurate with the size of the facility. The Commission
will use such buildings and equipment in the performance of its duties and responsibilities as
may be authorized by the Business Committee. The Commission shall present its equipment
needs in its budget.
Section 4-403.
Personnel
(A)
The Commission is hereby authorized to hire, fire, promote, demote, suspend,
direct, supervise, train, manage, and appropriately delegate responsibilities and duties to
such supervisory employees, accountants, investigators, secretaries, clerks, directors,
administrators and other necessary personnel needed by the Commission to perform its
duties and responsibilities.
(B)
The Commission shall employ an Executive Director, to direct the day-to day
affairs of the Commission; carry out regulatory duties, functions, and responsibilities; and
supervise the Commission staff. The Executive Director will report directly to the
Commission’s Chairperson.
(C) The Executive Director shall have the power, in the name of the Commission,
to make eligibility determinations, grant and deny licenses, conduct any investigation or
inquiry, issue citations, compel the production of any information or documents, or otherwise
exercise the licensing, investigatory and enforcement powers of the Commission, which the
Commission may exercise under this Title.
(D) All Commission employees, and all matters relating to the hiring, promotion,
discipline, and discharge of such employees shall be subject to the provisions of the Nation's
Personnel Manual and in accord with the Commission's approved budget, and any
amendments thereto.
(E)
Any license applicant, licensee, person, or entity aggrieved by an action or
decision of the Executive Director may appeal such action or decision to the full Commission,
which may sustain, set-aside, remand, or take such other action as the Commission deems
appropriate under the circumstances.
Section 4-404.
Reasonable Assistance
The Commission may seek from, and shall render to, any department or agency of
the Nation's government, cooperating agencies of the federal government including the
National Indian Gaming Commission, any state or municipality, any foreign state or law
enforcement agency, other tribal or state gaming regulatory bodies or law enforcement
agencies, all reasonable, necessary, and lawful assistance that may be required or allowed
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by law to protect the public, enforce the laws, and secure the integrity of the gaming industry.
Section 4-405.
Enforcement Authority
(A)
In the performance of its duties and responsibilities, the Commission shall
exercise due diligence and professional judgment in all legal and enforcement matters arising
before it for decision and may seek the advice of or be represented by its legal counsel. It
may also seek advice from the Business Committee, and/or any other offices or agents of the
Nation before making important decisions, if appropriate.
(B)
The Commission shall bring or defend any lawful action in any court or before
any agency or tribunal in order to enforce subpoenas, civil fines, civil penalties, or other lawful
orders issued by the Commission, and defend the Commission, its officers, agents, and
employees in the due execution of their authority.
(C)
In both its administrative operations and hearings, and in legal actions brought
by or against it, the Commission is authorized to compromise and settle any claims or matters
relevant to its duties when such compromise or settlement is consistent with the purposes of
this Title and the effective regulation of the Nation’s Gaming Operations.
Section 4-406.
License Fee Schedule
The Commission shall establish a schedule of fees to be paid by each proponent or
applicant for a gaming license to assist in covering its expenses in investigating and licensing
gaming facilities, all employees of a Gaming Facility, vendors, management contractors, and
others who are required to be licensed to participate in gaming within the Sac and Fox Nation.
Section 4-407.
Reporting Requirements
The Commission shall:
(A)
Ensure that all Gaming Operations and facilities are current in their reports and
payments due to the National Indian Gaming Commission under federal law; and
(B)
Ensure that all Gaming Operations and facilities are current in any reports and
payments required by a Compact which is in effect; and
(C)
Ensure that all Gaming Operations and facilities are current in any reports and
payments required by the laws of the Sac and Fox Nation; and
(D)
Ensure that all Gaming Operations and facilities are current in any reports and
payments that may be required by the Internal Revenue Service, the United States
Department of Justice, or any other department or agency of the United States; and
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(E)
Provide written annual reports to the Business Committee and Governing
Council on the status of the Nation's Gaming Operations no later than June 1st of each
calendar year.
Section 4-408.
Record Keeping System
(A)
Each Gaming Operation shall keep and maintain sufficient books and records
to substantiate the receipts, expenses, and uses of revenues relating to the conduct of
Gaming and Ancillary Activities.
(B)
All books and records relating to the gaming and Ancillary activities, including
the records of any Primary Management Official, the Nation, and the Commission, must be
maintained separately from each other to facilitate auditing of these books and records to
ensure compliance with applicable gaming laws and regulations.
(C)
All records shall be maintained for a period of five (5) years pursuant to
generally accepted accounting principles and shall be suitable for audit pursuant to the
standards of the American Institute of Certified Public Accountant (AICPA).
(D)
The Commission shall establish a complete record keeping system and
procedures necessary to ensure efficient record keeping and secure administrative control of
the record keeping system. At a minimum, this record keeping system will:
(1)
Maintain all records concerning licenses issued, persons denied
licenses, persons prohibited from engaging in gaming activities, persons who have
voluntarily requested that they not be allowed to participate in gaming within the
Nation's jurisdiction, and all other official activities of the Gaming Commission.
(2)
Upon request, furnish such information as may be in its possession to
the Principal Chief, the Business Committee, the Governing Council, or any relevant
committee or department thereof, concerning: (1) proposed management contracts
and the principals of any entity proposing such management contract; (2) proposed
gaming sites or locations; or, (3) transactions for the purchase or lease of gaming
machines, equipment, supplies, and the manufacturers and/or suppliers thereof.
(3)
Maintain an administrative record for actions taken by the Commission.
(4)
Provide adequate safeguards to protect confidential information and
guard against its disclosure other than as may be authorized or required by law.
(5)
Unless otherwise specified in this Title, the record retention period for
Commission records shall be five (5) years.
Section 4-409.
Reporting NIGC Actions
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The Commission shall immediately advise the Business Committee and the Attorney
General when any actions of the NIGC may adversely affect the Nation, its Gaming
Operations, or any Gaming Facility licensed by the Nation.
Section 4-410.
Auditing Insurance Compliance
The Commission shall monitor the bonding and insurance coverage of all gaming
facilities to insure that the Nation is a named insured against property losses including
buildings and equipment owned, rented or leased by the Nation which are used by any
Gaming Operation; against statutory, common law, and constitutional tort claims, and against
such claims which may arise pursuant to a Compact which is in effect; against thefts and
burglaries involving property or funds, misapplications or misappropriations of property or
funds by agents, servants or employees of the Gaming Facility (including any management
contractor), and against any other peril or hazard which the Commission may direct, including,
but not limited to, fidelity and fiduciary bonds or insurance covering the employees of Gaming
Operations, as is determined to be prudent and necessary.
Subchapter A—ADMINISTRATIVE HEARINGS
Section 4-421.
Authority to Conduct Hearings
The Commission is hereby authorized to issue subpoenas, take testimony, administer
oaths, and conduct hearings on all regulatory matters, including matters related to the
licensing of Key Employees, Primary Management Officials, and others as provided in this
Title. The Commission shall exercise appellate jurisdiction over all actions and decisions of
the Executive Director and/or subordinate staff decision-makers. The conduct of Commission
Hearings shall be according to the rules and regulations promulgated by the Gaming
Commission.
Subchapter B—ENFORCEMENT – CIVIL FINES AND PENALTIES
Section 4-431.
Enforcement Actions
(A)
The Commission may take any or a combination of the following actions with
respect to any person or entity who violates any provision of this Title:
(1)
Impose civil fines and civil penalties for each separate material violation
of the provisions of the gaming laws of the Nation, upon any licensee or employee of
a Gaming Operation, upon any management contractor or employee thereof, or upon
any applicant for such a license or contract, or other person involved in any way with
a Gaming Operation or Gaming Facility;
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(2)
Suspend, deny, condition, or revoke any gaming or gaming-related
license and de-register any registered vendor;
(3)
Temporarily or permanently exclude, bar, or deny admission from or to
the Gaming Facility, provided that the sanction shall be commensurate with the
seriousness of the violation; and/or
(4)
Issue, as appropriate, orders to cease and desist, compel, cure, or such
other orders as may be appropriate under the circumstances.
(B)
In determining whether to levy an administrative fine and the amount of the
fine, a standard of reasonableness shall apply, taking into consideration the seriousness of
the violation, history of violations, and amount of financial gain, if any, as a result of the
violation. The Commission may establish by regulation a schedule of minimum and maximum
civil fines or civil penalties to be imposed for particular violations.
(C)
Licensees shall be prohibited from seeking indemnification by the Gaming
Operation or the Nation for any action in which they have been adjudged to be liable for
malfeasance, misfeasance, or misconduct; accused and/or convicted of a violation of criminal
law; or a party to an enforcement action or proceeding commenced by the Commission that
resulted in a fine or sanction for violation of applicable gaming laws and/or regulations.
Section 4-432.
Citations to be Issued
(A)
The Executive Director shall be authorized to issue written citations notifying
an individual or entity of the Commission’s preliminary decision to commence an enforcement
action pursuant to Section 1-430 of this Ordinance.
(B)
Prior to the Commission’s proposed enforcement action becoming final, every
individual or entity to whom a citation is issued shall have the right to a hearing before the
Commissioners, unless the individual or entity voluntarily waives the right to a hearing or has
been deemed in default for failure to appear at the date, time, and place set for the hearing.
(C)
Commission decisions entered by default due to an individual’s failure to
appear shall be deemed final and not subject to further appeal, provided, that upon timely
petition of the subject of a default action or decision¸ the Commissioners in their sole
discretion vacate a default action or decision upon good cause shown.
Section 4-433.
Right to a Hearing
(A)
The Commissioners shall afford an applicant an opportunity for a hearing prior
to any final action by the Commission denying an application for licensure or license renewal,
provided that no applicant for a gaming license shall be permitted to be employed by the
Gaming Operation where a preliminary denial of the application is pending.
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(B)
The Commissioners shall afford a licensee subject to a preliminary notice of
order of revocation an opportunity for a hearing prior to any final action by the Commission
revoking a license, provided that no licensee subject to a proposed order of license revocation
shall be permitted to be work in the Gaming Operation while a proposed order of revocation
is pending.
(C)
No action of the Commission to impose an enforcement action pursuant to
Section 1-430 shall become final unless the person affected is given notice of the proposed
action and the opportunity to appear and be heard before the Commissioners, either in person
or through a representative or legal counsel, and to submit such evidence as the
Commissioners deem relevant to the matter at issue; provided, that in the event of the
presence of a condition creating actual and imminent jeopardy to the integrity of gaming, the
security of the Nation’s assets, or the health and safety of the public, the Commission may
take such action with immediate effect as it deems required, and shall thereupon provide
notice and an opportunity to be heard to the affected person or entity as soon as it is
reasonably practicable following such action.
(D)
All hearings will be conducted by the Commissioners in accordance with this
Title and such rules and regulations as may be promulgated by the Commission.
(E)
The Commissioners shall determine by a preponderance of the evidence
presented at such hearings whether the proposed licensing action, civil fine, or civil penalty
should be assessed, which determination shall constitute a final action of the Commission.
(F)
Any person or entity aggrieved by a final action of the Commission other than
licensing actions or decisions may file a petition for appeal with the District Court of the Nation,
provided that such appeal is filed within thirty (30) days from the date the Commission notified
the subject of its final action. Failure to timely file an appeal with the District Court of the
Nation shall deprive the court of jurisdiction over the matter and the action or decision of the
Commission shall be final and not subject to further judicial review.
(G)
Upon hearing of the appeal, the District Court of the Nation shall give deference
to the administrative expertise of the Commission. The District Court of the Nation shall not
set aside, modify, or remand any final action or decision of the Commission unless it finds
such action or decision to be arbitrary and capricious; unsupported by a preponderance of
the evidence; or contrary to law.
(H)
The Supreme Court of the Nation shall have appellate jurisdiction over
decisions of the District Court of the Nation as provided by law and in accordance with its
rules, deadlines, and fees.
Section 4-434.
Civil Fine and Penalties Are Debts
All such civil fines and civil penalties which have become final shall be deemed to
constitute a lawful indebtedness of the offender to the Nation, which debt may be sued upon
and recovered in any proper form of action in the name of the Commission in either the
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Nation’s Court or any other court of competent jurisdiction.
Section 4-435.
Record of Final Assessments
The Commission shall keep a continuing record of all civil fines and civil penalties
owing to the Nation and shall include a summary thereof in its annual report. The Commission
may recommend charge offs of such civil fines and civil penalties which, in the judgment of
the Commission, are uncollectible, and upon formal resolution of the Business Committee
these fines may be charged off as uncollectible, and all records shall be properly amended to
reflect such charge offs.
Section 4-436.
Deposit of Fines and Penalties Collected
All income from the collection of civil fines and civil penalties shall be deposited into
the Treasury Account of the Nation and may be appropriated by the Business Committee for
the same purposes for which general revenues from taxation may be used.
Section 4-437.
(A)
Personal Jurisdiction
Any person who:
(1)
Applies for and/or is granted a license under this Title;
(2)
Applies for employment in any Gaming Facility licensed and/or
regulated under this Title;
(3)
Enters into any contract, engagement, or agreement with a Gaming
Operation, Gaming Facility; or Ancillary Activity of a Gaming Operation; or enters into
a management contract with the Nation; or
(4)
Participates in any Gaming Activity authorized by this Title or enters
onto the premises of any Gaming Facility licensed under this Code – is subject to the
civil jurisdiction of the Nation, Commission, and the Nation’s Courts and a person’s
performance of any of these acts shall constitute consent to the Nation’s exercise of
such jurisdiction.
(B)
Limitation. Nothing in this Section shall limit the jurisdiction of the Nation, the
Commission, or the Nation’s Court under any circumstances not explicitly contemplated in
this Title, nor shall this Title be construed to waive, in whole or in part, the Nation’s or
Operator’s sovereign immunity from unconsented suit.
Section 4-438.
Failure to Comply
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The failure to pay any civil fine or adhere to the terms of any civil penalty which has
become final shall constitute grounds and cause for the revocation of licenses, termination of
employment of any employee of a licensed Gaming Operation, and/or a prohibition upon such
person entering any Gaming Facility under the jurisdiction of the Nation. Notwithstanding any
inconsistent provisions which may be contained in the Nation’s Personnel Manual, grievance
procedures contained therein shall not be available to Gaming Operation employees with
respect to the imposition or assessment of civil fines and civil penalties by final orders of the
Commission.
Chapter Five—LICENSING
Section 5-501.
Licenses Required
A separate license shall be issued to every employee of every Gaming Facility,
including all employees of management contractors licensed by the Commission who have
any responsibilities at a gaming facility within the jurisdiction of the Nation.
Section 5-502.
Licenses to Be Displayed
The authorized holder of any gaming license shall promptly exhibit such license to any
member of the public, any Commission employee, any agent or employee of the NIGC, or to
any law enforcement officer when requested to do so. Individual licenses shall be carried
upon the person of all employees of all Gaming Operations at all times that they are on duty.
Section 5-503.
Jurisdictional Consent Required
The Commission shall require all applicants for licenses to sign the following
statement:
I hereby consent to the personal and subject matter jurisdiction of the Sac and
Fox Gaming Commission, to the jurisdiction of the Sac and Fox Nation Courts,
and to all orders and decisions thereof concerning all activities of every kind
and nature in which I may be involved as a gaming participant, vendor,
contractor, licensee, employee, or otherwise within the jurisdiction of the Sac
and Fox Nation, and I hereby waive all jurisdictional defenses to any and all
actions, hearings, orders, decisions, civil fines or civil penalties which may be
imposed by either of such adjudicatory bodies or tribunals or any other courts
of competent jurisdiction to enforce the same.
Subchapter A—KEY EMPLOYEE AND PRIMARY MANAGEMENT OFFICIAL
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LICENSING
Section 5-511.
Licenses Required
The policies and procedures set out in this Subchapter shall be implemented with
respect to Key Employees and Primary Management Officials employed at any Gaming
Operation operated on Indian lands of the Nation. The Gaming Commission will issue
licenses and perform background investigations according to requirements at least as
stringent as those contained in the applicable provisions of 25 C.F.R. Parts 556 and 558, and
the Compact, if applicable.
Section 5-512.
License Application Forms
(A)
The following notice shall be placed on the Nation’s license application form for
a Key Employee or a Primary Management Official before it is filled out by an applicant:
“In compliance with the Privacy Act of 1974, the following information is
provided:
Solicitation of the information on this form is authorized by 25 U.S.C. § 2701 et
seq. The purpose of the requested information is to determine the eligibility of
individuals to be granted a gaming license. The information will be used by the
Nation’s gaming regulatory authority and by the National Indian Gaming
Commission (NIGC) members and staff who have need for the information in
the performance of their official duties. The information may be disclosed by
the Nation or the NIGC to appropriate Federal, Tribal, State, local, or foreign
law enforcement and regulatory agencies when relevant to civil, criminal or
regulatory investigations or prosecutions or when pursuant to a requirement by
the Nation or the NIGC in connection with the issuance, denial, or revocation
of a gaming license, or investigations of activities while associated with the
Nation or a Gaming Operation of the Nation. Failure to consent to the
disclosures indicated in this notice will result in the Nation being unable to
license you for a Primary Management Official or Key Employee position.
The disclosure of your Social Security Number (SSN) is voluntary. However,
failure to supply an SSN may result in errors in processing your application.”
(B)
The following additional notice shall be placed on the application form for a Key
Employee or a Primary Management Official before it is filled out by an applicant:
A false statement on any part of your license application may be grounds for
denying a license or the suspension or revocation of a license. Also, you may
be punished by fine or imprisonment. (U.S. Code, Title 18, Section 1001).
(C)
The Commission shall notify in writing existing Key Employees and Primary
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Management Officials who have not completed an application containing the notices set forth
above that they shall either:
(1)
Complete a new application form that contains both the Privacy Act and
False Statement notices; or
(2)
Sign a statement that contains the Privacy Act and False Statement
notices and consent to the routine uses described in that notice.
Section 5-513.
Fingerprints
Each applicant for a Key Employee or Primary Management Official license shall be
required to have fingerprints taken as part of the license application procedure. Fingerprints
shall be taken by the Commission or designee and forwarded to the NIGC for processing
through the FBI to determine the applicant’s criminal history, if any.
Section 5-514.
Background investigations
(A)
The Tribe shall perform a background investigation for each Primary
Management Official and each Key Employee in its Gaming Operations. The investigation
must be sufficient to allow the Commission to make an eligibility determination under Section
1-516 of this Ordinance. The Commission shall conduct or cause to be conducted the
background investigations of Primary Management Officials and Key Employees. The
background investigation shall include a check of criminal history records information
maintained by the Federal Bureau of Investigations.
(B)
The Commission shall request from each Primary Management Official and
from each Key Employee all of the following information:
(1)
Full name, other names used (oral or written), social security number,
birth date, place of birth, citizenship, gender, all languages (spoken and/or written);
(2)
Currently and for the previous five (5) years: business and employment
positions held, ownership interests in those businesses, business and residence
addresses, and drivers’ license numbers;
(3)
The names and current addresses of at least three (3) personal
references, including one (1) personal reference who was acquainted with the
applicant during each period of residence listed under paragraph (B)(2) of this section;
(4)
numbers;
Current business and residence telephone numbers, and all cell phone
(5)
A description of any existing and previous business relationships with
other Indian tribes, including ownership interests in those businesses;
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(6)
A description of any existing and previous business relationships with
the gaming industry generally, including ownership interests in those businesses;
(7)
The name and address of any licensing or regulatory agency with which
the person has filed an application for a license or permit related to gaming, whether
or not such license or permit was granted;
(8)
For each felony for which there is an ongoing prosecution or a
conviction, the charge, the name and address of the court involved, and the date of
disposition and final disposition, if any;
(9)
For each misdemeanor conviction or ongoing misdemeanor prosecution
(excluding minor traffic violations), within 10 years of the date of the application, the
name and address of the court involved and the date of disposition and final
disposition, if any;
(10) For each criminal charge (excluding minor traffic charges), whether or
not there is a conviction, if such criminal charge is within 10 years of the date of the
application and is not otherwise listed pursuant to paragraph (B)(8) or (B)(9) of this
section, the criminal charge, the name and address of the court involved and the date
of disposition and final disposition, if any;
(11) The name and address of any licensing or regulatory agency with which
the person has filed an application for an occupational license or permit, whether or
not such license or permit was granted;
(12)
A photograph taken within the last year;
(13)
Any other information the Gaming Commission deems relevant; and
(14) Fingerprints obtained in accordance with procedures adopted by the
Commission.
(C)
When a Primary Management Official or Key Employee is employed by the
Gaming Operation, a complete application file, containing all of the information listed in
paragraph (B) of this section shall be maintained.
The Gaming Commission, its investigator and its agents shall keep confidential the
identity of each person interviewed in the course of conducting a background
investigation, unless disclosure is required: (1) under Federal law; (2) pursuant to an
order or subpoena issued by a court or tribunal of competent jurisdiction; or (3)
pursuant to the terms of an approved Tribal-State Gaming Compact
Section 5-515.
Background Check Procedures
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(A)
As part of its review procedure, the Gaming Commission, or its agent, shall
conduct a background investigation on each applicant sufficient to allow the Gaming
Commission to make an eligibility determination. The investigator shall:
(1)
Verify the applicant’s identity through items such as a social security
card, driver’s license, birth certificate, or passport;
(2)
Contact each personal and business reference provided in the License
Application, when possible;
(3)
Obtain a personal credit check, at the Commission's discretion;
(4)
Conduct a civil history check;
(5)
Conduct a criminal history check, and submit the applicant's fingerprints
to the NIGC for additional checking, and further obtain information from the
appropriate court regarding misdemeanor convictions and criminal charges within the
last ten (10) years and any past felony or felonies;
(6)
Inquire into any previous or existing business relationships with the
gaming industry and Indian tribes by contacting the entities or tribes;
(7)
Verify the applicant's history and status with any licensing agency by
contacting the agency; and
(8)
Take other appropriate steps to verify the accuracy of the information,
focusing on problem areas noted.
(B)
The assigned investigator shall create an investigative report noting the steps
taken, information gained, potential problem areas, and disqualifying information.
Section 5-516.
Eligibility Determination
(A)
Before a license is issued to a Primary Management Official or Key Employee,
the Commission shall review a person's prior activities, criminal record, if any, and reputation,
habits and associations and make a finding concerning the eligibility of a Key Employee or
Primary Management Official applicants for employment in a Gaming Operation. If the
Commission, in applying the standards adopted in this Title, determines that licensing the
person poses a threat to the public interest or to the effective regulation of gaming, or creates
or enhances the dangers of unsuitable, unfair, or illegal practices and methods and activities
in the conduct of gaming, the Commission shall not license that person in a Key Employee or
Primary Management Official position. Copies of the Eligibility Determination shall be
included with the notice of results that must be submitted to the NIGC before the licensing of
a Primary Management Official or Key Employee.
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(B)
This eligibility determination may include a statement describing how the
information submitted by the applicant was verified; a summary of results following an inquiry
into the applicant's prior activities, criminal record, if any, and reputation, habits and
associations; a statement showing the results of interviews of a sufficient number of
knowledgeable people (such as former employers, personal references, and others referred
to by the applicant) in order to provide a basis for the Commission to make a finding
concerning the eligibility for licensing required for employment in a Gaming Operation; and a
statement documenting the disposition of all potential problem areas noted and potential
disqualifying information obtained. A copy of the investigative report showing this information
may be attached to the Eligibility Determination submitted to the NIGC unless these matters
are restated in that instrument.
Section 5-517.
Notice of Results of Background Investigations
(A)
Before issuing a license to a Primary Management Official or Key Employee,
the Commission shall prepare a notice of results of the applicant’s background investigation
to submit to the NIGC. The notice of results must be submitted to the NIGC no later than 60
days after the applicant begins working for the Gaming Operation. The notice of results shall
include all of the following:
(1)
The applicant’s name, date of birth, and Social Security number (SSN);
(2)
The date on which the applicant began, or will begin, working as a
Primary Management Official or Key Employee;
(3)
A summary of the information presented in the investigative report,
including licenses that have previously been denied; gaming licenses that have been
revoked, even if subsequently reinstated; every known criminal charge brought
against the applicant within the last 10 years of the date of the application; and every
felony offense of which the applicant has been convicted or any ongoing prosecution;
and
(4)
A copy of the Eligibility Determination made in accordance with Section
1-516.
Section 5-518.
Investigative Reports
(A)
Before issuing a license to a Primary Management Official or Key Employee,
the Commission shall create and maintain an Investigative Report for each background
investigation of each Key Employee or Primary Management Official and provide a copy to
the NIGC. An Investigative Report shall include all of the following:
(1)
Steps taken in conducting a background investigation;
(2)
Results obtained;
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(3)
Conclusions reached; and
(4)
The bases for those conclusions.
Section 5-519.
Granting a Gaming License
(A)
All Primary Management Officials and Key Employees of the Gaming
Operation must have a gaming license issued by the Commission. The Executive Director of
the Commission is responsible for granting and issuing gaming licenses to Primary
Management Officials and Key Employees. The Executive Director may license a Primary
Management Official or Key Employee applicant after submitting a notice of results of the
applicant’s background investigation to the NIGC as required by Section 5-517.
(B)
The Commission shall notify the NIGC of the issuance of a license to a Primary
Management Official or Key Employee within thirty (30) days of issuance.
(C)
The Gaming Operation shall not employ an individual in a Primary
Management Official or Key Employee position who does not have a license after ninety (90)
days of beginning work at the Gaming Operation.
(D)
The Commission must reconsider a license application for a Primary
Management Official or Key Employee if it receives a statement of itemized objections to
issuing such a license from the NIGC, and those objections are received within thirty (30)
days of the NIGC receiving a notice of results of the applicant’s background investigation.
(E)
The Commission shall take the NIGC’s objections into account when
reconsidering a license application.
(F)
If the Commission has issued a license to a Primary Management Official or
Key Employee before receiving the NIGC’s statement of objections, notice and a hearing shall
be provided to the licensee.
(G) The Commission shall make the final decision whether to issue a license to an
applicant for a Primary Management Official or Key Employee position.
Section 5-520.
Denying Gaming Licenses
(A)
The Commission shall not license a Primary Management Official or Key
Employee if the Commission determines, in applying the eligibility standards in Section 1-516
for making eligibility determinations, that licensing the person poses a threat to the public
interest; poses a threat to the effective regulation of gaming; or creates or enhances the
dangers of unsuitable, unfair, or illegal practices, methods, and/or activities in the conduct of
gaming.
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(B)
When the Commission does not issue a license to an applicant for a Primary
Management Official or Key Employee position, or revokes a previously issued license after
reconsideration, it shall notify the NIGC and forward copies of its eligibility determination and
notice of results of the applicant’s background investigation to the NIGC for inclusion in the
Indian Gaming Individuals Record System.
Section 5-521.
License Term
The Key Employee or a Primary Management Official gaming license issued shall be
valid for a period of two (2) years from the date of issuance so long as the employee remains
employed within the gaming industry in the Nation and shall be renewable on such terms
and conditions as the Commission may establish by regulation.
Section 5-522.
License Suspension or Revocation
(A)
If, after the issuance of a gaming license, the Commission receives, from the
NIGC or any other source with reliable information indicating that a Key Employee or a
Primary Management Official is not eligible for employment, the Commission shall
immediately suspend such license and provide the licensee with written notice of the
suspension and proposed revocation.
(B)
The Commission shall notify the licensee of a time and a place for a hearing on
the proposed revocation of a license. The right to a hearing under this Section shall vest only
upon receipt of a license granted under this Title.
(C) After a revocation hearing, the Commission shall decide whether to revoke or
to reinstate a gaming license. The Commission shall notify the NIGC of its decision to revoke
or reinstate a license within forty-five (45) days of receiving notification from the NIGC that a
Primary Management Official or Key Employee is not eligible for employment.
Section 5-523.
Records Retention
(A)
The Commission shall retain, for no less than three (3) years from the date a
Primary Management Official or Key Employee is terminated from employment with the
Nation, the following documentation:
(1)
Application for licensing;
(2)
Investigative Reports; and
(3)
Eligibility Determinations.
Subchapter B—NON-KEY EMPLOYEE LICENSING
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Section 5-531.
Licenses for Non-Key Employees
(A)
The Gaming Commission is authorized to create and issue regulations
implementing a less stringent licensing process, which may entail a simpler due diligence
check rather than a full background investigation, for all employees of Gaming Operations or
facilities who are not Key Employees or Primary Management Officials. At its discretion, the
Gaming Commission may further investigate license applicants when appropriate and may
require or conduct a full background check and NIGC check when it determines that
circumstances either of the person or of the position applied for warrant such action.
Section 5-532.
Applicant Investigations
The Gaming Commission shall review such portion of the applicant's prior activities,
criminal record, if any, and reputation, habits and associations as the Commission determines
necessary to make a finding concerning the eligibility of such applicants for employment in a
Gaming Operation in the particular position or class of positions for which the license is
requested.
Section 5-533.
Licensing Standard
The standard for licensure shall be whether the employment of the license applicant
in the position or class of positions for which the license is requested, would pose a threat to
the public interest or to the effective regulation of gaming, or would create or enhance the
danger of unsuitable, unfair, or illegal practices and methods and activities in the conduct of
gaming.
Section 5-534.
Eligibility Determination
(A)
If the Commission determines that employment of the license applicant in the
position or class of positions for which the license is requested would not be inconsistent with
the licensing standard, the purpose of this Title, or the public interest then the license shall
be issued.
(B)
If the Commission determines that such employment would be inconsistent
with the licensing standard, the purpose of this Title, or the public interest, then that person
shall not be licensed, and shall not be employed at any gaming facility within the jurisdiction
of the Nation in such position or class of positions.
Section 5-535.
(A)
License Term
The non-key employee gaming license issued shall be valid for a period of two
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years from the date of issue so long as the employee remains employed within the gaming
industry in the Nation and shall be renewable on such terms and conditions as the
Commission may establish by regulation.
(B)
Such gaming licenses may be suspended or revoked in the same manner as
licenses for Key Employees and Primary Management Officials.
Section 5-536.
Fingerprints
Each applicant for a non-key employee license may be required to have fingerprints
taken as part of the license application procedure. Fingerprints shall be taken and be
forwarded to the NIGC for processing through the FBI to determine the applicant's criminal
history, if any.
Subchapter C—VENDOR LICENSING
Section 5-541.
Vendor Licenses
(A)
The Gaming Commission is authorized to create and issue regulations
implementing a licensing process for vendors providing gaming or gaming-related services
or supplies to the Gaming Operation. Such gaming vendors must have a vendor license from
the Commission prior to transacting business with any Gaming Operation and gaming facility
licensed by the Commission on behalf of the Nation. Vendors holding professional licenses
issued by a recognized professional association including, but not limited to legal and
accounting service providers, shall be excluded from the vendor licensing requirement,
provided that this exclusion shall not apply to any person or entity providing services to the
Gaming Operation not covered by such professional license.
(B)
The Gaming Commission is authorized to create and issue regulations
implementing a licensing or annual registration process for non-gaming vendors who provide
services that do not have the ability to impact the integrity of gaming operations, such as
media advertising, facility maintenance workers, linen and laundry services, and food and
beverage suppliers.
(C)
The Commission may exempt from the licensing or registration requirement
any vendor who:
(1)
Is a Tribal, Local, State, or Federal government agency;
(2)
Does not require access to the secured or controlled areas of the
Gaming Facility;
(3)
Has no continuing or ongoing relationship with the Gaming Operation;
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(4)
Provides goods or services used in the course of business travel;
(5)
Provides utilities or similar services essential to the conduct of business;
(6)
Is licensed, regulated, or certified by a State, a tribe, or the federal
government; or
(7)
quantities.
Section 5-542.
Will provide goods of insubstantial or insignificant amounts or
Submission of Gaming Vendor Application
To obtain a gaming vendor license, a vendor must complete a gaming vendor license
application and submit to background checks of itself and its principals. Principals of a
business include its officers, directors, management, owners, partners, non-institutional
stockholders that either own 10% or more of the stock or are the 10 largest stockholders, and
the on-site supervisor(s) or manager(s) under the agreement with the Gaming Operation, if
applicable. The Gaming Commission shall, by regulation, establish the scope of the
investigation which shall be conducted concerning different classes of gaming vendors to
protect the public interest.
Section 5-543.
Contents of the Gaming Vendor Application
(A) Applications for gaming vendor licenses must include the following:
(1)
Name of business, business address, business phone, federal tax ID
number (or SSN if a sole proprietorship), main office address if different from the
business address, any other names the applicant has done business under during the
preceding ten years, type of service applicant will provide;
(2)
Whether the applicant is a partnership, corporation, limited liability
company, sole proprietorship, or other entity;
(3)
If the applicant is a corporation, the place of incorporation, and the
qualification to do business within the jurisdiction of the Nation unless it be a domestic
corporation.
(4)
Trade name, other names ever used, names of any wholly owned
subsidiaries or other businesses owned by the vendor or its principals;
(5)
General description of the business and its activities;
(6)
Whether the applicant will be investing in or loaning money to the
Gaming Operation and, if so, how much;
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(7)
A description of any existing and previous business relationships with
the gaming industry generally, including ownership interests in those businesses;
(8)
A list of Indian tribes with which the vendor has an existing or previous
business relationship, including ownership, financial, or management interests in nongaming activities;
(9)
Names, addresses, and phone numbers of three business references
with whom the company had regularly done business for the last five years;
(10) The name and address of any licensing or regulatory agency with which
the business has filed an application for a license or permit related to gaming, whether
or not such license or permit was granted;
(11) If the business has ever had a license revoked for any reason, the
circumstances involved;
(12) A list of lawsuits to which the business has been a party, including the
name and address of the court involved, and the date and disposition if any;
(13) List the business' funding sources and any liabilities of $50,000 or more,
unless the business is publicly traded, or is willing to submit a certified financial
statement;
(14) A list of the principals of the business, their social security numbers,
addresses and telephone numbers, title, and percentage of ownership in the
company; and
(15)
Any further information the Gaming Commission deems relevant.
(B)
The following notice shall be placed on the application form for a gaming vendor
and its principals:
Inclusion of false or misleading information in the gaming vendor application
may be grounds for denial or revocation of the gaming vendor license.
Section 5-544.
Gaming Vendor Background Investigation
Subject to the regulations of the Gaming Commission, the Gaming Commission shall
complete a background investigation of the gaming vendor. This background investigation
shall contain, at a minimum, the following steps:
(A)
Verify the business’ incorporation status, if any, and qualification to do business
in the jurisdiction of the Nation;
(B)
Obtain a business credit report, if available, and/or conduct a Better Business
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Bureau check on the vendor,
(C)
Obtain and check at least three (3) of the references listed in the vendor
application; and
(D)
The Commission will conduct an appropriate investigation of the principals of
the business; said investigation may include, but is not limited to, items such as criminal
history check, a credit report, and interviews with the personal references listed.
Section 5-545.
Gaming Vendor Background Investigation Report
The Commission shall prepare an investigative report covering each of the steps
taken in the background investigation of the gaming vendor and its principals. The
Commission may deny the applicant a vendor license if the Commission concludes that the
applicant is not sufficiently stable and capitalized; is owned, operated, or managed by persons
who fail to meet the eligibility standards in this Title; or has a history of performance failure or
contentious business relationships.
Section 5-546.
Monitoring & Audits
The Gaming Commission may investigate, monitor, and audit the activities of any
licensed or registered vendor conducting business with the Gaming Operation.
Section 5-547.
Vendor License Terms, Suspension, Revocation
(A)
Vendor licenses shall be valid for a period of two (2) years from the date of
issue so long as the vendor’s business remains substantially unchanged, the ownership and
management of the vendor’s business does not significantly change, and the vendor routinely
supplies its products or services to the gaming industry within the jurisdiction of the Nation,
and shall be renewable on such terms and conditions as the Commission may establish by
regulation.
(B)
In the event of changes in the ownership or management of the vendor’s
business, the vendor shall promptly notify the Commission who shall conduct such
investigation as is proper under the circumstances, and issue a new or amended license if
necessary, unless the change creates an unacceptable risk to the public interest, the health,
welfare, and safety of the Nation or the public, or to the integrity of the gaming industry within
the jurisdiction of the Nation, in which case the Commission shall notify the vendor of its
concerns and demand that the vendor take specified corrective action. If the vendor fails to
take the necessary corrective action, the Executive Director may issue a citation to suspend
the vendor license and institute revocation proceedings, subject to the notice and hearing
requirements in Section 1-432.
(C)
Vendor licenses may be suspended or revoked in the same manner as gaming
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licenses for Key Employees and Primary Management Officials.
Subchapter D—MANAGEMENT CONTRACTOR LICENSING
Section 5-551.
Management Contractor License
(A)
In addition to the necessary license applications for each of its proposed Key
Employees or Primary Management Officials, every proponent of a Management Contract
shall submit to the Commission for its approval a copy of the draft contract, and all additional
documents required by, or to be submitted to, the NIGC including, but not limited to
background investigation applications and any supporting materials and documents.
(B)
The Commission shall thereupon perform an investigation of the prospective
candidate and its affiliates at least as stringent as the investigation conducted on applications
for a license as a Key Employee or Primary Management Official. The Commission shall
provide documents, analysis and recommendations to the Business Committee and the
Nation’s authorized entity having authority over the Gaming Operation which would be subject
to the Management Contract regarding whether a contract should be entered into with the
applicant. The Commission’s analysis and recommendations should take place before
application is submitted to the NIGC.
(C)
The Commission shall also cause its lawyer to review the proposed contract to
confirm that it is in compliance with all applicable laws and regulations.
(D)
If the Commission determines that the draft Management Contract is in
compliance with all applicable laws and regulations, and the proposed management
contractor is eligible for the position under the standards applicable to Key Employees and
Primary Management Officials, the Commission shall issue a conditional license to the
Management Contractor for the draft contract and authorize its submittal to the Chairman of
the NIGC for final approval. The conditional license shall automatically go into full force and
effect upon the approval of the proposed Management Contract by the Chairman of the NIGC.
Section 5-552.
Licenses Required
No proposed Management Contract shall be forwarded to the NIGC for approval until
the proposed management contractor has been licensed by the Commission.
Section 5-553.
Investigatory Fee
In addition to any management contractor license fee which may be due under the
Commission’s fee schedule, every person or entity who applies to the Commission for a
Management Contract shall deposit with the Commission an investigatory fee of $5,000
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dollars to cover the costs of necessary background investigations and the legal review.
Additional fees may be required if the initial fee proves to be inadequate to cover processing
and preliminary investigation costs. All remaining sums not expended or charged in the
processing procedure shall be returned to the applicant at the time the application is
disapproved by the Commission, or at the time it is finally approved by the Chairman of the
NIGC.
Section 5-554.
License Term
The management contractor gaming license shall be valid during the term of the
approved Management Contract and shall be renewable on such terms and conditions as the
Commission may establish by regulation if that Management Contract is extended or
renewed.
Section 5-555.
License Suspension or Revocation
(A)
If, after the issuance of a management contractor license, the Commission
receives from the NIGC, or any other source, reliable information indicating that a
management contractor is not eligible for employment or licensure, the Commission shall
suspend such license and shall notify the licensee in writing of the suspension and the
proposed revocation.
(B)
The Commission shall notify the licensee in writing of a time and a place for a
hearing on the proposed revocation of a license.
(C) After a revocation hearing, the Commission shall decide whether to revoke or
to reinstate the management contractor license. The Commission shall notify the NIGC of its
decision.
Section 5-556.
Final NIGC Approval Required
At the initiation of each application for a management contractor license and at all
material times thereafter, applicants shall be advised by the Commission that the final
approval of a Management Contract or Collateral Agreement is reserved to the Chairman of
the NIGC and that the approval and execution of such contracts and agreements, and the
issuance of the Commission’s conditional license, is only a preliminary step in the final
approval process. A Management Contract shall not be effective and shall be considered
unenforceable until approved by the Chairman of the NIGC.
Subchapter E—FACILITY LICENSES
Section 5-561.
Facility Licenses Required
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The Executive Director shall issue a separate license to each place, facility, or location
on Indian lands where Class II and/or Class III gaming is conducted under this Title, valid for
a period of three years, provided:
(1)
Documentation is provided demonstrating that the Gaming Facility is
located, or will be located if it is to be constructed, on the Nation’s Indian Lands;
(2)
The Gaming Facility is of sound, physical structure with adequate, safe,
and operational plumbing, electrical, heating, cooling, and ventilation systems in place;
(3)
The Gaming Operation has provided a complete description of the
premises and the name and address at which gaming will be conducted;
(4)
The Gaming Facility has been inspected and approved for safety by a
qualified building and fire inspector approved by the Commission;
(5)
The Gaming Facility is equipped with security and surveillance
equipment meeting or exceeding provisions set forth in regulations established by the
Commission;
(6)
The Gaming Operation has prepared, and the Gaming Facility is
subject to an emergency preparedness plan approved by the Commission;
(7)
The Gaming Operation has submitted all documentation required by
applicable regulations of the NIGC for a new facility or, for renewal of a license, such
information required for reissuing a license;
(8)
The Gaming Operation has provided such other information as the
Commission shall require by regulation;
(9)
The Gaming Operation has provided the Commission a copy of all
requisite insurance policies; and
(10)
The Gaming Operation has paid all applicable license and regulatory
fees and assessments.
(11)
The Commission shall specify the form, conditions and content for the
application for such licenses, which shall be submitted by the chief management official
or the proponent of the facility.
Section 5-562.
Forfeiture; Restraint
(A)
The Gaming Operation may withhold the award of any jackpot or promotional
prize from any person who has been voluntarily or involuntarily excluded and whose name is
on the exclusion list. Such person shall have five (5) days from the date of the incident to file
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an appeal with the Commission. If such person timely files an appeal, the Commissioners
shall afford the person a hearing and determine whether the award should be granted or
forfeited. If the person fails to timely file an appeal, the Commissioners shall issue an order
of forfeiture. In the event of forfeiture, the amount to which the person would otherwise have
been entitled shall be deposited into the Treasury Account of the Nation and may be
appropriated by the Business Committee for the same purposes for which general revenues
from taxation may be used.
(B)
Security employees of the Nation’s Gaming Operations shall have the
authority to remove any individual from the premises of a gaming facility whose behavior is
loud, obnoxious, inappropriate, disruptive, aggressive, offensive, or violent; and where such
behavior warrants the intervention of law enforcement officials, Security may restrain such
person for a reasonable amount of time for the sole purpose of transferring the person to the
custody of law enforcement officials. In no event shall any person be restrained by Security
for more than two (2) hours except upon the request of law enforcement officials.
Section 5-563.
Communications by the Commission
Communications within the Commission in relation to personnel, licensing,
investigations, enforcement, and hearing matters as well as lawful communications between
the Commission and its legal counsel, other regulatory agencies, and law enforcement
officials are privileged and confidential and do not require disclosure unless such disclosure
is required by an Order of the Tribal Court after in-camera inspection. Any member of the
Commission, the Executive Director, and the Commission staff may claim this privilege.
Section 5-564.
Calculation of Time
In computing any period of time prescribed or allowed by this Title or the Regulations
of the Commission, the day of the act, event or default from which the designated period of
time begins to run shall not be included. The last day of the period so computed shall be
included, unless the last day is a Saturday, a Sunday or a legal holiday under Tribal law or
federal law. If the act to be done is the filing of or providing access to any report or document,
and the last day of the period falls on a day in which the weather or other conditions have
made the offices in which the report or document is to be filed inaccessible, the designated
period shall extend until the end of the next day on which the office is accessible which is not
a Saturday, Sunday or legal holiday. When the period of time prescribed or allowed is less
than eleven (11) days, intermediate Saturdays, Sundays and legal holidays under Nation or
federal law shall be excluded from the computation period.
Subchapter F—LICENSING OF GAMING FINANCIERS
Section 5-571.
Licensing of Qualified Gaming Financiers
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Any Qualified Gaming Financier may be licensed as a gaming-related vendor under
this Ordinance upon receipt by the Commission of an application in the form required by the
Director, and upon payment of the required licensing fee, if any.
Section 5-572.
Standards and Procedures
The Commission shall promulgate standards and procedures for the issuance of a
Qualified Gaming Financier license consistent with this Title, subject to the approval of the
Commission.
Section 5-573.
Scope of License
(A)
A license granted to a Qualified Gaming Financier shall constitute a license to
the named applicant only and shall be effective only with respect to such applicant’s activities
as a Gaming Financier, and those activities necessary or incidental thereto, and no other
activity which would otherwise cause the applicant to constitute a gaming-related vendor.
(B)
Notwithstanding anything to the contrary in this law, none of the following
persons or entities, solely in their capacity as such, shall be deemed to be a Gaming Financier
or a gaming related vendor subject to licensing hereunder: (a) any person or entity holding
or owed any debt securities, notes, loans, obligations under letters of credit or relating to cash
or interest rate management, bonds, or other commercially traded instruments of a Gaming
Operation initially purchased from such Gaming Operation by a Qualified Gaming Financier;
and (b) any trustee, administrative agent, or entity performing similar functions, with respect
to any debt securities, notes, loans, obligations under letters of credit or relating to cash or
interest rate management, bonds or other commercially traded instruments of a Gaming
Operation; and (c) any assignee of the rights and obligations of a person identified in subparts
(a) or (b) of this paragraph.
Section 5-574.
Obligations of Qualified Gaming Financiers
Except as otherwise provided herein, applicants licensed as Qualified Gaming
Financiers hereunder will not be subject to regular reporting requirements, including such
reporting requirements applicable to other licensees, during the term of their licenses. If a
Qualified Gaming Financier’s license lapses or otherwise terminates as herein provided, the
recipient of such license shall not act as a Gaming Financier until it again duly files a
completed application for such license.
Section 5-575.
Term of Qualified Gaming Financier Licenses
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Each Qualified Gaming Financier License shall remain in effect until the earlier of
(i) the date upon which any loan obligations have been paid in full and all loan commitments
by any party have terminated or have been fully satisfied, or (ii) withdrawal of the application
by the applicant, or (iii) the expiration of any engagement letter or term sheet or loan
agreement or other financing or security agreement between the Qualified Gaming Financier
and the respective Gaming Operation.
Section 5-576.
Background Investigations
Except as otherwise required by the Executive Director within his or her discretion,
the background investigation of each executive officer of an applicant for a Qualified Gaming
Financier license will consist solely of a review of publicly available information contained in
filings with the Office of the Comptroller of the Currency, the Federal Deposit Insurance
Corporation, the Federal Reserve Board, the Securities and Exchange Commission, the
National Association of Securities Dealers, various stock exchanges, and other Tribal,
federal, and state agencies regulating Qualified Gaming Financiers, depending upon the
organization and the corporate charter of each such applicant.
Chapter Six—APPLICABLE LAWS
Section 6-601.
Law Applicable to Tort Claims
The law governing every tort claim brought pursuant to this Ordinance shall be the
laws of the Nation.
Section 6-602.
Law Applicable to Contracts
(A)
Every contract entered into by a Gaming Operation and the Commission with
any person or entity who is required to hold a license or registration issued pursuant to this
Ordinance, or that involves or relates to gaming, shall be subject to all applicable laws relating
to and regulating Tribal gaming, including, without limitation, the Indian Gaming Regulatory
Act, 25 U.S.C. § 2701 et seq., and the implementing regulations, 25 C.F.R. Chapter III, all
Tribal laws relating to and regulating gaming activities, including but not limited to this
Ordinance and the implementing regulations, any applicable Compact in force between the
Tribe and the State of Oklahoma, and any other applicable laws and regulations. Any
provision of any gaming or gaming-related contract contrary to this section shall be void as a
matter of law and policy and shall be unenforceable.
(B)
The parties to an agreement may expressly agree to choose a law governing
the interpretation and enforcement of a contract, subject to this section.
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Chapter Seven—MISCELLANEOUS PROVISIONS
Section 7-701.
Effect of Repeal
Subsequent repeal of this Ordinance or any portion thereof shall not have the effect
of reviving any prior law of the Nation theretofore repealed or suspended.
Section 7-702.
Savings Provision
If any provision of this Ordinance or the application thereof to any entity, or
circumstance is held invalid, the invalidity shall not affect other provisions or applications of
this Title which can be given effect. Any invalid provisions shall be severed without effect on
the remaining provisions of this law.
Section 7-703.
Effective Date
This Ordinance shall take effect immediately upon its approval by the NIGC Chair.
Section 7-704.
Reserved
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