SISSETON-WAHPETON OYATE

SISSETON-WAHPETON OYATE

OF THE LAKE TRAVERSE RESERVATION

CHAPTER 58 GAMING ORDINANCE

TITLE ONE: GENERAL PROVISIONS .............0-000:eeeeeereetees vette 1

§8-01-01 = Title. wl

58-01-02 Purpose and Pollicy...........0..00..0. ccc cseece cee c eee ere cnet teeeeeneennes wl

58-01-03 Effect of Headings. ..........0 0. ec ceerec ee eben tes ens eaeeeeneenenes wl

58-01-04 Liberal Interpretation. wl

58-01-05 Severability... cece cece ree eects ese cn eeenenecrensneeccasceeeneeeeercneenteeeae 1

58-01-06 Citation or Use of Language From Other Laws. ............0000..0. cst 2

58-01-07 Effective Date. 0.0.0.0... ccc eteeete renee

58-01-08 Conflicting Laws. .

58-01-09 Agent for Service.

58-01-10 Use of Gaming Revenue and Per Capita Payments.. 2

58-01-11 Dispute Resolution........................ 3

58-01-12 Ownership of Gaming........... 3

58-01-13 Individually Owned Gaming. 0.00.0... cece cece cee rene nee tete tere eet teeentneenes 3

58-01-14 Audit and Contracts Exceeding $25,000.00 Annually. 0... 3

58-01-15 No Limitation on the Number of Gaming Operations. .......... =

58-01-16 Protection of the Environment and Public Health and Safety. 00.00.00... 3

TITLE TWO: DEFINITIONS 000.0000... ccc ce ce ces cece ec setecenee ere cceectenseeecaenaenesenesgeenesiecaeeneerecnecserseres 4

§8-02-01 Purpose and Interpretation............... A

TITLE THREE: GAMING REGULATORY AUTHORITY ... 5

58-03-01 Gaming Regulatory Authority. ...... 5

58-03-02 Qualification and Restrictions.......0...0.0. ccc ce cece reer ree eens ert ttnentenet 5

58-03-03 Selection and Composition of the Regulatory Authority. ..........00000000.085 5

58-03-04 Other Regulatory Authority Employees. ................0.... 6

58-03-05 Terms and Vacancies. ...........0. 0.0 ce cece ese ce cena eases neces neeesscsteesteeieeesenees

58-03-06 Removal Procedure

58-03-07 Conflict of Interest and Gift Prohibition. ....... ay)

58-03-08 Powers and Duties of the Regulatory Authority. wT

§8-03-09 «= Violation. 2.00.00... eet cece cee erence ett 9

§8-03-10 Hearings. 0.0... cece cece ences een seeseesssssenenessesessaesseenesseresiecaeineeseeneieees 9

TITLE FOUR: LICENSING 0000.0. eee cece cee cscs cc cac te teecneneetnnereete rr eterteneteeesnesnecienesneneats 9

58-04-01 License Required for Gaming Operations and Distribution of Gaming

Equipment. 2... ccc ccc eee ceecseeesnecsecsesesseaenecssuerecseacieetneessenecesueanessurersescerssesententees 9

58-04-02 Application Forms For Primary Management Officials And Key Employees 9

58-04-03 Background Investigations. 0.00.00... ee eect teeter teenies 10

58-04-04 Eligibility Determination. .............

58-04-05 Procedures For Forwarding Applications and Reports for Key Employees

and Primary Management Officials to the NIGC. 0.0... cette ners 12

58-04-06. Report to the National Indian Gaming Commission

58-04-07

58-04-08

58-04-09

58-04-10

58-04-11

58-04-12

58-04-13

Granting a Gaming License. 0.00.00... cece cece cece ce ees cece eeeeecneneeeneenenenes 13

License Suspension. 0.000.000... 00. eee ees

Emergency Action, Suspension Without Hearing. ...............0-.0.000: eee 14

License Required For Distributors of Gaming Equipment... 14

Reimbursement for Costs of License Investigations. ............0.00.0.. 14

Fraud on Application.

License as a Revocable Privilege. .....0...00..0. 0c cece cette tree reece cee ceeeenenes 14

ii

TITLE ONE

GENERAL PROVISIONS

58-01-01 Title.

This Ordinance shall be known and cited as the Gaming Ordinance of the Sisseton-Wahpeton

Oyate of the Lake Traverse Reservation (the ASisseton-Wahpeton Oyate@).

58-01-02 Purpose and Policy.

The purpose of this Gaming Ordinance is to authorize and regulate Class II and Class III gaming

within the Sisseton- Wahpeton Oyate=s jurisdiction. The Gaming Ordinance shall assist the

Sisseton-Wahpeton Oyate in generating revenue for tribal government, promote economic

development and self government, shield gaming activities from crime, and ensure that gaming is

conducted fairly and honestly by both the gaming operation, the licensees, and the players. It shall

be the policy of the Sisseton-Wahpeton Oyate to fully comply with ail applicable federal law,

including applicable Internal Revenue Code provisions concerning reporting and withholding of

taxes with respect to the winnings from gaming, and to comply with all applicable State

requirements when established by a Tribal-State Compact.

58-01-03 Effect of Headings.

Title and section headings are provided for reference purposes only and shall not be deemed to

govern, limit, or modify the provisions of this Ordinance.

58-01-04 Liberal Interpretation.

This Ordinance shall be liberally construed to benefit the welfare of the Sisseton-Wahpeton Oyate

in a manner consistent with its overall purpose and the provisions of the Indian Gaming

Regulatory Act (the AIGRA@) and the Sisseton-Wahpeton Oyate=s Gaming Compacts.

§8-01-05 Severability.

The provisions of this Ordinance are severable. Should any provision, or the application of any

provision to any person or circumstance, be held invalid, such a holding shall not affect the

remainder of its provisions or the application of its provisions to another person or circumstance,

and shall not require subsequent re-approval of the Ordinance by the Tribal Council.

58-01-06 Citation or Use of Language From Other Laws.

Citation to statutory or administrative language, definitions, procedure, or provisions of Federal

or State law in this Ordinance does not establish jurisdiction, which otherwise does not exist, in

such Federal or State government. Nothing in this Ordinance may be deemed a waiver of the

Sisseton-Wahpeton Oyate's sovereign immunity, and if any Court of competent jurisdiction

construes this provision as conflicting with any other provision in this Ordinance, then this express

retention of sovereign immunity shall control and prevail.

58-01-07 Effective Date.

This Ordinance shall be in full force and effect on the date of formal approval and adoption by the

Tribal Council, and shall remain in effect pending approval from the National Indian Gaming

Commission (the ANIGCe).

58-01-08 Conflicting Laws.

Should any Tribal law, Ordinance, Resolution or action conflict with this Ordinance, the

provisions of this Ordinance shall control and prevail. On the effective date, all prior Gaming

Ordinances are repealed. Should a provision of a Gaming Compact, the IGRA or the NIGC=s

regulations, conflict with this Ordinance, the provisions of the Compact, the IGRA or the

NIGC=s regulations, as the case may be, shall control and prevail.

58-01-09 Agent for Service.

Unless otherwise designated by Resolution of the Tribal Council, the Chairman shall serve as the

agent for service of any official determination, order or notice of violation.

58-01-10 Use of Gaming Revenue and Per Capita Payments.

A. Net revenues from Class II and Class III gaming shall be used only for the following

purposes:

1. to fund tribal government operations and programs,

2. provide for the general welfare of the Sisseton-Wahpeton Oyate and its members,

3. promote tribal economic development;

4. donate to charitable organizations; or

5. help fund operations of local government agencies.

B. If the Sisseton-Wahpeton Oyate elects to make per capita payments to its members, it

shall authorize such payments only upon approval of a plan submitted to the Secretary

of the Interior as required by the IGRA.

§8-01-11 Dispute Resolution.

A gaming operation shall seek to immediately resolve any dispute between any member of the

gaming public and the gaming operation or its licensees. Any patron who is dissatisfied with the

dispute resolution proposed by a gaming operation may present such dispute for final resolution

either to the Tribe=s Court or the Regulatory Authority acting within the regulatory jurisdiction

conferred by this Ordinance. Provided that any such dispute that involves the Tribe’s gaming

laws, rules, regulation or gaming compact provision must first be brought to the Regulatory

Authority, which is subject to appeal to the Tribe’s Court. The Regulatory Authority shall

provide the Tribal Council with an annual report of gaming disputes under this Section.

58-01-12 Ownership of Gaming.

The Sisseton- Wahpeton Oyate shall have the sole proprietary interest in and responsibility for the

conduct of any gaming operation authorized by this Ordinance.

58-01-13 Individually Owned Gaming.

No licenses may be issued to allow the operation of individually owned gaming operations.

58-01-14 Audit and Contracts Exceeding $25,000.00 Annually.

A. The Sisseton-Wahpeton Oyate shall cause to be conducted an annual, independent audit of

gaming operations and shall submit the resulting audit reports to the NIGC.

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

concessions for a in excess of $25,000.00 annually, except contracts for professional legal

or accounting services, shall be specifically included within the scope of the annual

independent audit.

58-01-15 No Limitation on the Number of Gaming Operations.

Nothing in this Ordinance shall limit the number of gaming operations the Regulatory Authority

can license to conduct gaming on the Lake Traverse Reservation or lands subject to the

governmental control of the Sisseton-Wahpeton Oyate, pursuant to the provisions of this

Ordinance and IGRA, but in all cases, each separate facility, place, or location shall require a

separate license, issued specifically for that place, facility, or location.

58-01-16 Protection of the Environment and Public Health and Safety.

Class II and Class III gaming facilities shall be constructed, maintained and operated in a manner

that adequately protects the environment and public health and safety.

ioe)

TITLE Two

DEFINITIONS

58-02-01 Purpose and Interpretation.

Unless specifically defined, words or phrases used in this Ordinance shall be interpreted to give

them the meaning they have in common usage, to be consistent with the IGRA, and to give this

Ordinance its most reasonable application. The following words and phrases when used in this

Ordinance shall have the meanings respectively ascribed to them in this section:

A. "Applicant" shall mean any person who is required to be licensed by this Ordinance, and

who submits a request for the grant or renewal of such license;

B. ADistributor@ shall mean a person or entity that sells, leases, markets or otherwise

distributes gambling devices, equipment, games or implements of gambling which are

usable in the lawful conduct of gaming under this Ordinance;

C. "Gaming" shall mean the act of paying money for the opportunity to participate in a game,

the outcome of the game is decided by chance or chance is a material element, and the

winner of the game is entitled to a pre-determined prize. Gaming does not include games

played in private homes or residences, or Class I games;

D. "Gaming Compact” shall mean any agreement, as amended or renegotiated, concerning

Class III Gaming between the Sisseton-Wahpeton Oyate and the State of North Dakota or

the State of South Dakota;

E. "Gaming equipment" shall mean bingo cards or sheets, devices for selecting bingo

numbers, pull-tabs, jar tickets, paddlewheels, tipboards, electronic video equipment, slot

machines, video games of chance, equipment employed to conduct the game of blackjack,

or any other equipment used to operate a game of chance;

F. "Gaming Operation" shall mean any entity wholly owned by the Sisseton-Wahpeton Oyate

which operates Class II or Class II] gaming, as those terms are defined in the IGRA;

G. "Key Employees" shall mean the following persons: (1) bingo caller; (2) counting room

supervisor; (3) chief of security; (4) custodian of gaming supplies or cash; (5) floor

manager; (6) pit boss; (7) dealer; (8) croupier; (9) approver of credit; (10) custodian of

gaming equipment including persons with access to cash and accounting records within

such devices; (11) if not otherwise included, any other person whose total cash

compensation is in excess of $50,000 per year, and (12) if not otherwise included, the four

most highly compensated persons in the Gaming Operation;

H. "License" shall mean the permission of the Regulatory Authority to do an act, which shall

be illegal without such license. With respect to real property of the Sisseton-Wahpeton

Oyate, a License is a privilege to go on the premises for a certain purpose, but does not

operate to confer, vest, or grant any title, interest, or estate in such property;

I. "Licensee" shall mean a key employee, primary management official or other person

granted a License under this Ordinance;

J. "Person" shall mean any individual, partnership, corporation, association, or public or

private organization; and

K. "Primary Management Officials" shall mean: (1) the person having management

responsibility for a management contract; (2) any person who has authority to (a) hire and

fire employees, or (b) set up working policy for the Gaming Operation; or (3) the chief

financial officer or other person who has financial management responsibility.

TITLE THREE

GAMING REGULATORY AUTHORITY

58-03-01 Gaming Regulatory Authority.

The Sisseton-Wahpeton Oyate establishes the Gaming Regulatory Authority (the ARegulatory

Authority@), to regulate this Ordinance and the Tribal-State Gaming Compacts as they affect

Tribal Gaming Operations. The Regulatory Authority shall consist of a three member Gaming

Commission, an Executive Director and their staff. All members of the Regulatory Authority shall

be restricted from gaming in a gaming operation, which is subject to this Ordinance. The Tribal

Council may require each member of the Gaming Commission and the Executive Director to be

bonded. The Tribal Council retains the right to audit the Regulatory Authority.

58-03-02 Qualification and Restrictions.

To be considered qualified for appointment as a Gaming Commission member or as the Executive

Director, the potential appointee may not be a Tribal Council member, tribal executive, or district

officer, nor be engaged in any gambling related business or employed by a tribal gaming

operation. No member of the Regulatory Authority, including its staff, shall have been convicted

of a felony within 10 years prior to taking office, or convicted of any charge involving theft, fraud

or gambling.

58-03-03 Selection and Composition of the Regulatory Authority.

The Tribal Council shall appoint the Executive Director and the members of the Gaming

Commission. Appointment to the Regulatory Authority does not vest any rights in the appointee.

To determine the qualification and suitability of each appointee to serve on the Regulatory

Authority, the potential appointee must successfully complete a background investigation, which

is as stringent as that required of a primary management official.

58-03-04 Other Regulatory Authority Employees.

The Tribal Council retains the authority to hire and terminate the employees working for the

Gaming Commission and Director. All potential employees must successfully complete a

background investigation, which is as stringent as that required of a key employee, prior to

working for the Gaming Commission and Director. All employees of the Regulatory Authority,

including members of the Gaming Commission and the Director, shall follow and be subject to the

Tribe’s personnel policies. The Tribal Chairman shall exercise administrative authority over the

Gaming Commission and Director.

58-03-05 Terms and Vacancies.

Members of the Gaming Commission shall serve a four year term. The Tribal Council may

stagger the terms to avoid simultaneous turnover. Upon completion of a term, the Tribal Council

may re-appoint such member or appoint a new person. Ifa member of the Gaming Commission

or the Executive Director should die, resign, or be removed, the Tribal Council shali appoint

another qualified person to fill the position, provided that the potential appointee successfully

completes a background investigation, which is as stringent as that required of a primary

management official.

58-03-06 Removal Procedure.

The Tribal Council may suspend a member of the Gaming Commission for Acause,@ as that term

is defined below. Within twenty-four hours of such a suspension, the Tribal Council shall provide

written notice to the suspended member of the Gaming Commission, which sets forth the

reason(s) supporting suspension. Within fifteen days the Tribal Council shall hold a hearing to

determine whether the charges serving as the basis for suspension are substantiated, and whether

the person should be removed. At the hearing, the Tribal Council shall consider evidence

supporting the charges and any evidence offered by the suspended member of the Gaming

Commission. The suspended member shall have the opportunity to present evidence, question

witnesses and cross-examine adverse witnesses. If the Tribal Council determines the charges are

supported by the evidence, the Tribal Council may remove the member of the Gaming

Commission.

Cause for removal shall consist of: (1) any gross, Class 1, or Class A misdemeanor or felony

conviction, or the discovery of any previous gross, Class 1, or Class A misdemeanor or felony

conviction not disclosed at the time of employment; (2) any criminal act involving Tribe funds; (3)

misconduct, nonfeasance or negligence during the performance of duties; (4) failure to comply

with any tribal gaming law, rule, regulation, Compact requirement, federal law requirement,

policy, or direction as may be established from time to time by the Tribal Council; (5) unethical

conduct, including, without limitation, self dealing; (6) misconduct that harms the business

reputation of Tribe, its services or product; (7) commission of any act of fraud or dishonesty; or

(8) unexcused failure to attend at least three consecutive Commission meetings. A Regulatory

Authority member who complies with the provisions of this Ordinance shall not be removed

during their term.

58-03-07 Conflict of Interest and Gift Prohibition.

No member of the Regulatory Authority or their immediate family may have any financial interest

in any business or enterprise providing any gaming equipment, goods or services to a gaming

operation or its licensees. Such a financial interest does not include the financial interest resulting

solely from their status as a tribal member. No member of the Regulatory Authority may accept

any gift or thing of value from a distributor, contractor, vendor or any person providing any

gaming equipment, goods or services to a gaming operation or its licensees.

58-03-08 Powers and Duties of the Regulatory Authority.

The Regulatory Authority shall have the authority to regulate this Ordinance and to regulate all

gambling operations, licensees and applicants governed by this Ordinance. The Regulatory

Authority shall have the following specific powers and duties:

A. To receive, investigate and process all license applications related to the conduct of Class

II and Class III gaming activities on lands within the jurisdiction of the Sisseton- Wahpeton

Oyate. To conduct the requisite background check. To issue licenses to all qualified

gaming operations, persons and distributors who are required to be licensed by this

Ordinance. To notify the NIGC that a license has been issued, when required by this

Ordinance or federal law,

B. To limit, condition, suspend, restrict, or revoke any license it may issue and assess fines

for violations of this Ordinance or the rules or regulations promulgated by the Regulatory

Authority;

C. To adopt reasonable standards consistent with the size and scope of the gaming operation,

including games rules, security and surveillance operations, and the prize and wagering

structure. Such standards shall be consistent with the provisions and requirement, if any,

of the Sisseton-Wahpeton Gaming Compacts;

D. To inspect all gaming equipment and supplies in a gaming operation, or stored outside of a

gaming operation, which will be used or may have been used in the gaming operation,

E. To seize, remove and impound equipment and supplies from a gaming operation for the

purpose of examination, inspection, evidence, or forfeiture, provided that the Regulatory

Authority has reasonable cause to believe that a gaming violation has occurred and that

such property is securely held pending a hearing and final determination,

To enter, inspect and examine the gaming operation or licensee=s work area to determine

compliance with this Ordinance. Provided that the gaming operation or licensee maintains

the right to have security personnel accompany the Regulatory Authority for the purpose

of witnessing and facilitating such access;

. To carry out the audit provisions of Section 58-01-14 of this Ordinance and to select the

auditor for such purposes;

. To access, inspect, examine, copy and audit all papers, books, and records of applicants,

licensees and gaming operations when necessary to enforce this Ordinance;

To require verification of a gaming operation=s daily gross revenues and income of any

gaming activity;

To seize and impound any patron=s winnings, provided the Regulatory Authority has

reason to believe such winnings were obtained in violation of this Ordinance or any other

applicable law. Such winnings shall be securely held pending the outcome of a civil

forfeiture hearing or a criminal proceeding;

. To investigate alleged violations of this Ordinance, the Regulatory Authority rules,

regulations, orders, or final decisions, any Gaming Compact, and any other applicable

laws, and to take appropriate disciplinary actions. Such disciplinary action may include

license suspension and/or revocation, the imposition of civil fines against a gaming

operation or any licensee, and/or institute appropriate legal action for enforcement;

. To hold hearings, and to require licensees or license applicants to appear and testify under

oath regarding matters related to this Ordinance. To issue subpoenas for the attendance

of witnesses and subpoenas duces tecum for the production of books, records and other

pertinent document;

. To consult with legal counsel as needed;

. To hear and consider a dispute between members of the gaming public and the Sisseton-

Wahpeton Oyate with regard to gaming activities licensed under this Ordinance;

. To propose an annual budget for the Regulatory Authority to the Tribal Council, including

salaries;

. To recommend to Tribal Council for approval a schedule of fines to guide the Regulatory

Authority=s discretion, which includes maximum fine limits;

Q. The Commission shall adopt and publish such rules and regulations as may be necessary to

carry out and assure compliance with the provisions of this Ordinance. Such rules and

regulations may include the responsibilities of the Sisseton-Wahpeton Oyate to comply

with any applicable federal law and any Class IIIT Gaming Compact. Such rules and

regulations may also include any Tribal Minimum Internal Control Standards that meet the

requirements established by the NIGC and/or the Gaming Compacts; the Regulatory

Authority shall submit all proposed rules and regulations to the Sisseton-Wahpeton Oyate

and all licensed gaming operations for comment at least 30 days prior to adoption. All

regulations, standards and fine schedules must be approved by the Tribal Council prior to

taking effect; and

R. To take any other actions as may be reasonable and appropriate to enforce this Ordinance

and the Regulatory Authority=s rules and regulations.

58-03-09 Violation.

No person may violate the provisions of this Ordinance, any mules or regulations promulgated by

the Regulatory Authority, an order or determination issued by the Regulatory Authority, the terms

of a license, or the terms of any gaming compact. Any person or licensee guilty of such a

violation may be subject to license suspension, limitation or revocation, a civil fine and/or any

other sanction authorized by this Ordinance or the rules and regulations of the Regulatory

Authority.

58-03-10 Hearings.

The Regulatory Authority shall afford a licensee or any person(s) subject to this Ordinance, the

opportunity for a hearing prior to revoking, suspending, or limiting a license, or the imposition of

any other sanctions or fines. Such a hearing shall be conducted according to procedures adopted

by the Regulatory Authority.

TITLE Four

LICENSING

58-04-01 License Required for Gaming Operations and Distribution of Gaming

Equipment.

The gaming operation and all licensees shall be required to possess an appropriate and valid

gaming license. Any gaming being conducted within the jurisdiction of the Sisseton-Wahpeton

Oyate without the appropriate license is prohibited.

58-04-02 Application Forms for Primary Management Officials and Key Employees.

A. The license application form for a primary management official or a key employee shall

contain the following statement:

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

Solicitation of the information on this form is authorized by 25 U.S.C. 2701, et

seq. The purpose of the requested information is to determine the eligibility of

individuals to be employed in a gaming operation. The information will be used by

National Indian Gaming Commission members and staff who have need for the

information in the performance of their official duties. The information may be

disclosed to appropriate Federal, Tribal, State, local, or foreign law enforcement

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

or prosecution or when pursuant to a requirement by the Sisseton-Wahpeton

Tribal Regulatory Authority or the National Indian Gaming Commission in

comnection with the hiring or firing of an employee, the issuance or revocation of a

gaming license, or investigations of activities while associated with the Sisseton-

Wahpeton Tribal Regulatory Authority or a gaming operation. Failure to consent

to the disclosures indicated in this notice will result in the Sisseton-Wahpeton

Oyate being unable to hire you in a primary management official or key employee

position.

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

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

A false statement on any part of your application may be grounds for not hiring

you, or for firing you after you begin work. Also, you may be punished by fine or

imprisonment in accordance with U.S. Code, Title 18, Section 1001.

B. Any existing key employees or primary management officials who have not signed

application forms with the Privacy Act notice or notice of false statements shall sign a

statement that contains the Privacy Act and false statement notices, and consent to the

routine uses described in those notices.

58-04-03 Background Investigations.

The Regulatory Authority will perform background investigations and issues licenses according to

requirements at least as stringent as those established by the NIGC. In conducting a background

investigation, the Regulatory Authority shall keep confidential the identity of each person

interviewed in the course of the investigation. The Regulatory Authority shall conduct an

investigation sufficient to make an eligibility determination. The Regulatory Authority shall

request the following information from each primary management official and from each key

employee:

10

L.

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

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

Currently and for the five previous years: business and employment positions held,

ownership interests in those businesses and residence addresses and driver=s license

numbers;

The names and current addresses of at least three personal references, including one

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

listed in paragraph B above;

Current telephone numbers for business and residence;

A description of any existing and previous business relationships with Indian tribes,

including ownership interests in those businesses;

A description of any existing and previous business relationships with the gaming industry

generally, including ownership interests in those businesses;

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;

For each felony for which there is any ongoing prosecution or a conviction, the charge, the

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

For each misdemeanor conviction or ongoing misdemeanor prosecution (excluding minor

traffic violations), within 10 years of the date of the application, the name and address of

the court involved and the date and disposition;

For each criminal charge (excluding minor traffic violations), whether or not there is a

conviction, if such criminal charge is within ten years of the date of the application, an is

not otherwise listed pursuant to paragraph H and I above, the criminal charge, the name

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

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;

A current photograph;

M. Any other information the Regulatory Authority deems relevant; and

i]

N. The Regulatory Authority shall conduct a criminal history check of the state and local

records, as well as records and information maintained by the Federal Bureau of

Investigation. The Regulatory Authority may take an applicant's fingerprints provided its

designated official has received adequate training from the Sisseton-Wahpeton Tribal

Police or the County or State law enforcement agency.

58-04-04 Eligibility Determination.

The Regulatory Authority shall review a person=s prior activities, any criminal record, and

reputation, habits and associations in order to make a finding concerning the eligibility of a key

employee or primary management official for employment in a gaming operation. The Regulatory

Authority will interview a sufficient number of knowledgeable people, such as former employers

and personal references of the applicant, to provide a basis for making an eligibility determination.

The Regulatory Authority will document all potential problem areas noted and disqualifying

information. If the Regulatory Authority determines the employment of the person poses a threat

to the public interest or to the effective regulation of gaming or creates or enhances dangers of

unsuitable, unfair or illegal practices and methods and activities in the conduct of gaming, such

person shall not be employed in a key employee or primary management official position.

58-04-05 Procedures for Forwarding Applications and Reports for Key Employees and

Primary Management Officials to the NIGC.

When a key employee or primary management official begins work at a gaming operation

authorized by this ordinance, the Regulatory Authority shall forward to the NIGC a completed

application for employment and conduct the background investigation and make the eligibility

determination. The Regulatory Authority shall forward background investigation reports to the

NIGC within 60 days after an employee begins work. The gaming operation shall not employ as a

key employee or primary management official a person who does not have a license after 90 days.

58-04-06. Report to the National Indian Gaming Commission.

A. The Regulatory Authority shall prepare and forward to the National Indian Gaming

Commission an investigative report on each background investigation. The Regulatory Authority

shall submit, with the report, a copy of the eligibility determination made in accordance with this

Ordinance. An investigative report shall include all of the following:

1. Steps taken in conducting a background investigation;

2. Results obtained;

3. Conclusions reached; and

4. The basis for those conclusions.

12

B. Ifa license is not issued to an applicant, the Regulatory Authority shall notify the NIGC

and may forward copies of its eligibility determination and investigative report to the NIGC for

inclusion into the Indian Gaming Individuals Records System. The Regulatory Authority shall

retain key employee and primary management official applications for employment and any

background investigation reports for inspection by the Chairman of the NIGC, the Chairman=s

designee, for no less than three years from the date of termination of employment.

58-04-07 Granting a Gaming License.

A. If, within a thirty day period after the NIGC receives a report, the NIGC notifies the

Regulatory Authority that it has no objection to the issuance of a license pursuant to a

license application filed by a key employee or a primary management official for whom the

Regulatory Authority has provided an application and investigative report to the NIGC,

the Regulatory Authority may issue a license to the applicant.

B. The Regulatory Authority shall respond to a request for additional information from

the Chairman of the NIGC concerning a key employee or a primary management official

who is the subject of a report. Such a request shall suspend the 30-day period under

paragraph (A) of this section, until the Chairman of the NIGC receives the additional

information.

C. If within the thirty (30) day period described above, the NIGC provides the

Regulatory Authority with a statement itemizing objections to the issuance of a license to

a key employee or primary management official for whom the Regulatory Authority has

provided an application and investigative report to the NIGC, the Regulatory Authority

shall reconsider the application, taking into account the objections itemized by the NIGC.

The Regulatory Authority shall make the final decision whether to issue a license to such

applicant.

58-04-08 License Suspension.

If after the issuance of a gaming license, the Regulatory Authority receives reliable information

through their own investigations or from the NIGC that indicates that a key employee or a

primary management official is not eligible for employment under this Ordinance, the Regulatory

Authority shall notify the licensee and the affected gaming operation in writing. The Regulatory

Authority shall notify the licensee of the time and the place for any hearing on the proposed

revocation of the employee=s license, as provided in Section 58-03-10 of this Ordinance. After a

revocation hearing, the Regulatory Authority shall decide to revoke or to reinstate a gaming

license. The Regulatory Authority shall notify the NIGC in writing of its decision.

13

58-04-09 Emergency Action, Suspension Without Hearing.

To respond to, or avoid an emergency, the Regulatory Authority may temporarily suspend a

license for up to fifteen days without a hearing when such extraordinary action is essential to

protect the public safety or the integrity of gaming conducted on the Lake Traverse Reservation.

The Regulatory Authority may extend such a temporary suspension for an additional seven days.

58-04-10 License Required For Distributors of Gaming Equipment.

Any person, organization or entity wishing to sell, lease or otherwise distribute gaming equipment

must first apply for and obtain a license from the Regulatory Authority. Such person,

organization, or entity selling, leasing, or otherwise distributing gambling equipment to the

Sisseton-Wahpeton Oyate shall be required to possess and display, or display upon request, an

appropriate and valid gaming license. The form of the application and the license fees shall be

established by the Regulatory Authority.

58-04-11 Reimbursement for Costs of License Investigations.

Any applicant for a license under this Ordinance shall pay the Regulatory Authority a reasonable

license fee at the time of application. If additional extraordinary investigation is necessary to

determine whether the applicant is properly qualified for a license, the Regulatory Authority may

require an additional fee, not to exceed the amount of the original fee.

58-04-12 Fraud on Application.

It shall be unlawful for any applicant to provide false information to the Regulatory Authority

when applying for a license. The penalty for providing false information is revocation of the

license and cost reimbursement.

58-04-13 License as a Revocable Privilege.

Every gaming license is a revocable privilege, and no license holder shall be deemed to have a

vested interest in the license. The burden of proving qualifications to hold any license rests at all

times on the applicant or licensee. Acceptance of a license constitutes agreement on the part of

the licensee to be bound by this Ordinance, the rules and regulations and any order or

determination of the Regulatory Authority. It is the responsibility of the licensee to be informed

of the contents of this Ordinance, the rules and regulations and any order or determination of the

Regulatory Authority. Ignorance of such laws, rules, regulations, orders or determination will not

excuse any violation.

14

x a Sisseton-Wahpeton Oyate

Xx LAKE TRAVERSE RESERVATION

P.O. Box 509

100 Veterans Memorial Drive

Agency Village, South Dakota 57262-0509

Phone: (605) 698-3911

A

TRIBAL COUNCIL RESOLUTION NO. SWO 08-096

Amendment to Gaming Ordinance Chapter 58, Section 58-03-04

WHEREAS, _ The Sisseton-Wahpeton Oyate is organized under a Revised Constitution

and By-Laws adopted by the members of the Tribe on November 15,

2006, by Motion No. 52; and,

WHEREAS, The Constitution and By-Laws mandates at ARTICLE !Ii, Section 1, that the

Tribe shall be governed by the Tribal Council, and that the Tribal Council

shall have the power to, among other things: (a) represent the Tribe in all

negotiations with federal, state and local governments and to advise and

consult with representatives of the Department of the Interior on all

matters affecting the Tribe; (c) engage in any business that will further the

economic development of the Tribe and its members, and to use tribal

funds or other resources for such purposes; (e) hire employees and

agents, including legal counsel, directly or as independent contractors,

and to compensate them for their services; (i) adopt resolutions regulating

the procedures of the Council, its officials and committees in the conduct

of tribal affairs; and (k) promulgate and enforce ordinance governing the

conduct of persons under the jurisdiction of the Sisseton-Wahpeton

Oyate; and,

WHEREAS, Gaming Ordinance, Chapter 58, of the Sisseton-Wahpeton Oyate Tribal

Code was last amended August 5, 2004 by Resolution No. SWO 04-081;

and,

WHEREAS, The current Gaming Ordinance, Chapter 58, is contrary to the Tribal

‘Couricil’s authority to hire and terminate the employees working for the

Gaming Commission and Director; and

WHEREAS, The Tribal Council retains the authority to hire and terminate the

employees working for the Gaming Commission and its employees,

including the Director or the Gaming Commission; and

WHEREAS, The Tribal Council finds it necessary to amend the Gaming Ordinance

Chapter 58, Section 58-03-04 to reflect its hiring and firing authority of the

Gaming Commission and its employees, including the Director; and

BIG COULEE * BUFFALO LAKE * ENEMY SWIM « HEIPA/VEBLEN * LAKE TRAVERSE * LONG HOLLOW » OLD AGENCY

(

TRIBAL COUNCIL RES -UTION NO. SWO-08-096 Page 2

Amendment to Gaming Ordinance Chapter 58, Section 58-03-04

THEREFORE BEIT RESOLVED, that the Tribal Council of the Sisseton-Wahpeton

Oyate hereby amends Section 58-03-04 of the Gaming Ordinance,

Chapter 58 as follows:

58-03-04 Other Regulatory Authority Employees

The Tribal Council retains the authority to hire and terminate the

employees working for the Gaming Commission and Director. All

potential employees must successfully complete a background

investigation, which is as stringent as that required of a key employee,

prior to working for the Gaming Commission and Director. All employees

of the Regulatory Authority, including members of the Gaming

Commission and the Director, shall follow and be subject to the Tribe’s

personnel policies. The Tribal Chairman shall exercise administrative

authority over the Gaming Commission and Director.

FURTHER BE IT FURTHER RESOLVED, The Tribal Council of the Sisseton-Wahpeton

Oyate of the Lake Traverse Reservation herby amends the Gaming

Ordinance, Chapter 58, of the Sisseton-Wahpeton Oyate Tribal Code;

and,

FINALLY, BE IT RESOLVED, The Tribal Council directs the Office of General Counsel

to forward the amended changes to the Gaming Ordinance, Chapter 58 to

the National Indian Gaming Commission for approval.

Certification

We, the Undersigned duly elected Chairman and Secretary of the

Sisseton-Wahpeton Oyate Tribal Council, do hereby certify that the above resolution

was duly adopted by the Sisseton-Wahpeton Oyate Tribal Council, which is composed of

10 members (representing a total of 15 Tribal Council weighted votes and two Executive

Committee votes for a total of 17 votes) of whom 9 constituting a quorum, were present

at a Tribal Council meeting, duly noticed, called, convened and held at the TiWakan Tio

Tipi, Agency Village, South Dakota, September 14 2008, by a vote of 15 for, 0 opposed,

0 abstained, 0 absent from vote, 1 not voting, and that said Resolution has not be

rescinded or amended in any way.

Dated this 11" day of September, 2008.

Bucket Sl:

Michael |. Selvage, Sr., Tribal Chairman

Sisseton-Wahpeton Oyate

Delbert Hopkins, Jr., Trival Secretary

Sisseton-Wahpeton Oyate

TRIBAL COUNCIL RES ~LUTION NO. SWO-08-096 ’ Page 3

Amendment to Gaming Ordinance Chapter 58, Section 58-03-04

Original copy to Nation Indian Gaming Commission

cc: SWO Gaming Commission

Tribal Court

Legal Counsel