Honorable Mitchell Parker Chairman, Ornaha Tribe of Nebraska in Iowa 200 Main Street P.O. Box 368 Macy, Nebmka 68039 JAN 1 9 2007 Dear Chairman Parker: On December 6,2006, we received the Compact between the Sovereign Indian Nation of the Omaha Tribe of Nebraska (Tribe) and the Sovereign State of Iowa (State), executed on November 27,2006. We have completed our review of this Compact and conclude that it does not violate the Jmdian Gaming Regulatory Act (IGFLA), any other provision of Federal law that does not relate to jutisdiction over gaming on Indian lands, or the trust obligations of the United States to Indians. Therefore, pursuant to my delegated authority and Section 11 of ERA, we approve the Compact. This Compact shall take effect when the notice of our approval, pursuant to Section 1 l(d)(3HB) of IGRA, 25 U.S.C. (d)(3)@), is published in the FEDERAL REGISTER. Although the parties to the Compact can agree to the modification of appendices or addition of appendices, such as those discussed in Section 19, we consider that if these modifications are substantive, they are subject to the review and approval authority of the Secretary under IGM. However, substantive modifications of the terms of the compact must be approved by the Secretary. It is our view that a substantive modification is one that potentially implicates any of the three statutory reasons available to the Secretary to disapprove a compact in the first instance, i.e., whether the provision violates IGRA, any other provision of Federal law, or the trust obligation of the United States to Indians, See 25 U.S.C. $2710(d)(8)fB). For example the addition of Class IT1 games under Section 2.3 would trigger Secretarial review and approvaI under IGRA. We wish the Tribe and State success in their economic venture. Sincerely, 1J George T. Skibine Acting Deputy Assistant Sec~etary - Policy and Economic DeveIopment Identical letter sent to Steve K. Young, Director Iowa Department of Inspections & Appeals
Transcript
Honorable Mitchell Parker Chairman, Ornaha Tribe of Nebraska in Iowa 200 Main Street P.O. Box 368 Macy, Nebmka 68039
JAN 1 9 2007
Dear Chairman Parker:
On December 6,2006, we received the Compact between the Sovereign Indian Nation of the Omaha Tribe of Nebraska (Tribe) and the Sovereign State of Iowa (State), executed on November 27,2006. We have completed our review of this Compact and conclude that it does not violate the Jmdian Gaming Regulatory Act (IGFLA), any other provision of Federal law that does not relate to jutisdiction over gaming on Indian lands, or the trust obligations of the United States to Indians. Therefore, pursuant to my delegated authority and Section 11 of ERA, we approve the Compact. This Compact shall take effect when the notice of our approval, pursuant to Section 1 l(d)(3HB) of IGRA, 25 U.S.C. (d)(3)@), is published in the FEDERAL REGISTER.
Although the parties to the Compact can agree to the modification of appendices or addition of appendices, such as those discussed in Section 19, we consider that if these modifications are substantive, they are subject to the review and approval authority of the Secretary under I G M . However, substantive modifications of the terms of the compact must be approved by the Secretary. It is our view that a substantive modification is one that potentially implicates any of the three statutory reasons available to the Secretary to disapprove a compact in the first instance, i.e., whether the provision violates IGRA, any other provision of Federal law, or the trust obligation of the United States to Indians, See 25 U.S.C. $2710(d)(8)fB). For example the addition of Class IT1 games under Section 2.3 would trigger Secretarial review and approvaI under IGRA.
We wish the Tribe and State success in their economic venture.
Sincerely,
1J George T. Skibine
Acting Deputy Assistant Sec~etary - Policy and Economic DeveIopment
Identical letter sent to Steve K. Young, Director Iowa Department o f Inspections & Appeals
Federd Register, k'd: 72, 1611y.*yI
nday, March 19, %0[r7 i Noticrs f 2813 -- -- . - --- . - - .- - - - . - - - * - - -. - A-
19. *4 h~!: ~ r i t ~ l F 1 DEPARTkIEr IMTERIOR L2-w IOU-497. 2; U.S.C. 271 [l,
7," Sccrptaq: of ~ . ~ r ! & r ~b,.; ps5ish rn + n i b 2, tiw i s p u t l i h e d in Bureau of 11r 5
+!I-. Federiit A~gi;iSter ! S ~ ~ C R of approved accdrdanca Pu5l$c i a w i 0 7 3 7:' / *: l ~ b a :-State compsctk S>r the cu:pw,e of
acd is ir, #ht exercise p f autha:ity !ad~an earn cn~aging in Class 111 hminF zc-jviti*s 6clegarec? to the Principal Depufy
AGEMCY: Bweatr of Indian Affairs, n r Tndiim lartris. TI$ mlr.paic .9ssiat,zl: Scc~fzry-r; i d i ~ ~ 7 Aftajr s by 1,: le7iOT nsta'nlishcs ~ ~ g l l 2 i ~ ,I, ove~?rsipht sand i O 9 i;;,.: -:
Compact.
J A C ~ O ~ : xotice of ~ ~ ~ ~ ~ ~ , ~ d ~ ~ i h ~ l - ~ ~ ~ ~ ~ rnonxt3r~ng mf 1:s b ,, S ' U P P I ~ tfle T X $ ~ ~ S .
3a*73 . 'da;t:h 7,-in:t 7 The ision ion of re- . l e ; o ~ , fi73e7sigL~i ; hfichd~' TI. Olscn, --L
4 . and illoGitoring 70% I n + i s compact SUMMARY: This notice pubiiyhes reserve! for t h ~ tribe t i p p ~ m a r y W:'r:.>c? 1TL4puf;. ~ss i~ .rrf i~t Sccrefey -h $ion
AA-r- p s I appxcval of the compact hetwmn the respfinsibility ior 6eg~Jztinz Cia?.< :I: . ! Sn.r~rci$m Indim bNC3.l nf the Orneira ~ ~ m i n q on- !rib$ $md; however. ti.;; :
:7Z nod, F i ~ ~ 3 5 3 FL.4 ;b 5647; R -15 gmj , . . ir=b r.f Ne5raska and the ScvereiF r.nr+act pro:ir3~~ the State or 3regon. Srl l lNG t30E fi3-a-du 1 9 a t f nf Iowa. arrtinq &tt;onq> Olegon State ?:::ice, - - - - . - --LA--.--- r--- - -
D & ~ S : & ~ ~ C ~ D ~ ~ ~ : ~ ~ ~ ~ ] ~ I ~ . ~ ~ ~ ~ . ~ : t h h ~ u * ~ f . ~ . ~ ~ n d F9R FUilaiER lNFORMATlON CONTACT: cversizht respodsi'sibil:, rties to assurc the
DEFARTMEW OF TH + IMTER1CIP Geory ' Siribine, G;recfor, O%ce oi rairness;iniegri~y, secwity a r l hanesty
i Indran G h g , Clffic~ oft412 Deputy Cl a s UX i m i q Bureaxli cf Indian A33fs Assicant Secretary-Policy and Uafeted: M m t :$ 2007.
Endiar Gaming 3conor~u Development, Washb#on. m&ael D. OLSP;, zf I Dc 2C240;!202) 213-4086. Tn'nci,zol l 3 e p u t p A s s ~ s t ~ ~ f S P C ; P ~ C I ~ - I ~ ! ~ ~ ~ I I
ASEgCB: I!uxaarr of b+a;l A f k s SUPPLEMEhTRAY INFORMAY10H: TJnder .,l@Foirs / b
h[t,:1:,1. s~~ t i c ln I L of the hdrm G a m h ~ IT!?. DOC. E7-493 4 F:j~d s-?E-OT,5n45 P ? !
SifPZLEUEXTfiRY !N#~RMATK)H: -19~:. ~eui ion i 1 of &c Lr&m Gamin2 Xegxi,;lictciy.51;10!~58.3~Gw],?uhiic
Tribal-State C ' o ~ p ' d s fi- the pT!;looss of j7- ' t . engaging -i!i C!itw LI I W n g ac;lvi..:tiac nn Indian lands. %-:is ~rnmdrneni expands ?ds~?bui.inr: GI" t$e fufunds in i 5 ~ F ~ m d ~ , h i n & i a t i o n to t h s ~ e b e s ' . politicei s-chdivis\ns mri ~ l ~ f i r s that r loca: gcverarr~ent aodies i ~ c l - ~ d n s
I :!;Zrc;>? t.i!:t!-icrs L- ;F , xb dj:~iiuai r-t:Iic~ds.
r.;lit:d. E L X ~ ~ 7 ahoy. 7 v t i i h i c i 3. Olsen, i Prinrypd I W ~ , ? L . ~ ~ + j s i c n i Sec.:bfiy--1.:.d1ar! A f j ~ i z , 1 '?y c;qr ii4905 4 - d 3 -i5+7; ' -65 in!
RILL:HE C.3SF. .3 , f i4~-?
,4
Xesclatory f:t of I sa8 (TGRA), h b i i i . Lr:u- '100-497, 25 U.S.F. 2710, the Secretary of the lnterlor s ? d publish in tile Fer?eraJ Re,$sler n c t i r ~ of aplj,oved Tribd-State C:onpacts for &e purpose oE cn~zgiag in class IE gaming actimties on bdian lmds. Thj s compact d l ~ w s for the m-tmslon of f i e c>&enl compact md c l i~ i f i~ j : +he regulatnry r:cheme.
1 Indian Gaming - . I AGENCY: Bureau f h h a n A Eilks, In teriw. t ACTION: I\lotics o , Approved TriM-Staia Class ITI Gaming&~;omp&cf.
SUMMARY: ' T l b datice puhlishfis qn qp.-nsal nf the "$ribai-3tatc GacLing .Loq ; r r t for re&atlon of Class 31 g , d c g Pe:wen&%- CCW f ie& T?XI<F ?t
1:" Limpqua Tribs ;mdiacs w d the State o l Grogu:. DATES: G#ecti'& ) o : r Marrh 19, Z O O J . FOR FUFTHEFI INF RMATION CONTACT Georzf: T. SEbi k e , Director, Ofice of Indim Gimlng, ;Ifice of tbe Dsputy , " l s s i t t u Swmtiq-Policy and L c o m ~ i c I3eve?L1prnsnt, 'If11ask13$c.c. n - n uC, ~0240 . (292) $<: 3 4 0 6 s . SUPPLEMENTARY $JFoR?A&~IoK: 2 n d ~ - 5ecbion 1 I of the ~ I c d i w C,artlklg F. Kegdaloq Act c; l s R 8 rTG+Uj, 2:bli:;
S I I W R ~ of th~: )>ads d e s + ~ b e j Se:r>rr7 13 tho E M Mmi-' Qi .e OCSCB, i3ii!ings. 1"" - -"' 'Yiontan;, (Z0) r alis rorn tbe date 0": yubiicatlon iz h a Federa: Register. FOR FUWXER ih!'plh7RTWN COMAGT:
i-' M w i r Montcyj+, Cadastrzl Sr~n~eyor, Franch ::if Cadattral SFLVB y, Bureau-irf iand ~ a n a ~ ~ m d n * , 5oFl Scruthgc".tc Drive, Billings, 3Jontana 5 9 l C 1 4 b F G telephone (406\~qQ5-51%4 nr [405! 549- . .5009. !'
k SUPPLEMEhTARY $NFORM&TlON: D i e
survey was exec$-ted z i &E rcqu*sl 3 6 ihr Chcy e n n ~ R i k ~ ~ r i'qyencjr, tLr3?15$ !b r S ~ L . ~ T :=1aiz5 RR: X I 2 1 unrr~d-f6~, LLZCZI~ i of inti?-a .ELfi:ti';tir3: and w s neCwSS&T t p rit.rrr;nins Tz-35: 4343 Tribal laniq.
i'hz E 2 nd~ we $urvcped we- Y
Hack EkU9 bf~rxE &I, South ~ a k o t a
?' A h ' , R 23P. i The plat, in 2 $bests, representkg ? 3 n
dependect F P , S I L I B ~ ~f a pnrtian i d "&F! Secczc! Stmidalrd ) k d l e l Yoro~, :h:3.-rg:: Ri; 7 3 k.:;E~!t, a ~ort . iun o l the % ~ i b & ~ i i n i o n ~ iiz{s, I pofion 3: tht? nx'idiv5sion of so+tton 5 , a ~ n i + a n , ~ 5 the
OPERATING PRQCEDURES m n G A ~ R U ~ ~ E S . . . . . . . . DC!CV3lX:,lal'TS FROI7BDED BY THE TRIBE . . . . . . . . . . COVElaiAHT OF CONFlDEETIALZTV . . . . . . . . . . . .
which a player deposits coins or tokcns ar,d h r n whch certain ~ r ~ r n h e r s or coins are paid out
whm a particular, rand fir,^ coglfigt~ratiorr u f symbols appears on the reels or screen of the device.
! .26 The t,m ''Sgorts Betting" mems the placing of bets or wagers on the outcomc of
;iry kiihletk event? sporting event OP similar contest inciuding, bilt not: limited to, the p!zYng of
p.. -:,I 'LA . r a y C::?rd 6.
? 27 ?'he tern "S~ar t s Hettimp Pd!" means a game in which ntrmbers are randomly
s u i ~ ~ ; l e d for cr hy the pacicipmks, and winners are detemined by whcthei- the nm-he~:rs selected
cn~espond 40 mmbess re'la!ing to an athletic event in the manner prescribed by the rides of !he
game.
2.28 The term ‘ 'Szs.~en~' ' --+ means: ra cause a eernpo:q~ int~rn~xption of a1 L rlghts zci
. .. ?:7ir: tzt:t:s of a kense.
! 2 9 Th!: :ern: "%33_a1 <%aii-j~rsafi'' mesns the duly elected Chairperson of the Ch-nnha
Trjhai Council, poverrdnp bodv of the Tribe.
1 3 The Temz ":.T,pibaI Member" means a person who is an cmolled member of the
GMI?FJ A TRIBE OF hXRRASW~.
1.3 1 'Tne tern "Video ..- Game of Chancq" means a game or' chance piayed o~
microprocessor-con.troi!ed device~ :ha% ~ i m l a t e games conmon!y refexed to as poker,
51. . :a,sjack, P- 4 cnps, hi-lo, kerro, roulrtte, ii ~ e - u p symbols m d numbers, yuIlrabs, or afhk.er eiscismic
sm~? ,e of chrrnct as defines % ~ y the 3 7 K at ofher federal agency with zppropriate jurisdict;on
y.vblc.'z zt: a c ~ ~ w 3 & $;Ix iuseflioz of a coin, token or cmency and which awa~cli coins,
additional piays or a ~x-itten or displayed statement of the anm:mt of a prize which i s regeemahie
Fo:cl: cash
2. BER3IESSIRLE CLASS IkZ GAMtNG
2. E %'hen Pemissibie. '1%~ Omaha Tribe may engage in Class IT1 Gaming on Indian
i d s provided:
(a! Sxch gaming is co::Gcted in accordancz with the requiraents of ths Act;
<S) Iowa pemir.r: such gaming .hr afiy put-pose by any pers.Jn, organization or entity, a3d
:c) Such g~ming is co~ducred in confommce with the :em.s or this Compact, the Gming CrL%nmce, iPegu':a5ons, othsr applicable 1a1w aqd rninimmt i!?ten!zI controi s - i ~ ~ d u d s .
Any GSass TI ganlii-12, ccpnduc8rid on hdim Lands which does not meei these
F. 2 'T;mes. As ol" the <Tec~fvf; date o f this Compact, the rsrdies a p e that the Tfi5e
may corld~ct, m d e ~ ?he -4.c t and ir? complimce wit11 i i ~e terns of this Compact, the Iim-ing
3rd t?ai:;z, Remrla21or,;., ckcr zpp5 czbk la?ws and n in im~m internal cofitrc! s*mdxds, Class BTi
prn;?~g sat forth in Appenbtx A
2.3 Addi tinnai Class TU Gmles. ti3enever t5e Tribe determines to offer play of
C k s s TI! zame not Epecilled by name in this Compact, h e Tribe wil! notjfy the Director a?' its
intent tc offer play of s ~ c h g m e . 2% notice will include a statement of the rules of he game.
-L i 1,s W h e will noi COZXI?~TW, i l ~ overation o f such game mtil at leasi 6 f iem ('1 5 ) days following
the date an whch the 'Yribe's notice is received by facsimile or certified G.S. mail by the
Uirecesr. The TEi,hi: rimy c; %r pEay of such game follawrng the expimion ef f i s fifieen (1 5 ) bay
?trio4 u:~Jess, ptics fi're~2t~. the Director has nncified the Tribe that Iowa, in good faith, d o a not
agree :Ixt the TI*ibt: can cEkr play of such game because one of the require men:^ sf this Seczirm
has sot been met. imy such .Direcior's notice shdl state in d e t d the reasons for the Direcccr's
3u;i:ion. AAer receieng snch a notice h m the Dxr~x:tor, the Tribe wi!i not offrr play of such
- - h-.-rs:~e r , f ~ l ~ t i ! !he Direclcr ccnsents, csnjess, p ~ ~ n u x i ~ t $3 !he dispute rcso:uticn p~ovisr'ons of {?is L.
I - iA~rc?acL, l t hzs been deecrmined eha: he TSbe is permig_tert to oKer play of the game.
3. OWEWSR%E" OF GAMTMG
The Tx%e shail haw sole ~~ropxietarj inkrest in all Class EE gaming conducted pursuant
2 7 t t ? ~ IsT~Is 2f this C O T ~ ~ C ~
4. COMII)TTCT AND mGULATION
The Tribe shall ~ s c d u c t aIi Class IC gaming pursuant tc the tams cfthe Act, !i~ls
Campact, the Gaming Onlina~ce, X~~guiatons, other applicable laws and rnir,imum i~lrrn-ai
crsnucl standards. T'he Txibc shall rake ail reasonably necessary steps to re_gulaie Class HJ
gaming as required hy 2i:e ~ c f arzd this Compact, md to enfmce thz terns ofthe Act th is
Compact, rRe Gaming Ordi.:~ance, Regulations. other :rpplicable laws and minimum interrial
c ~ i : t ~ ~ ; , l standards. VJher3.e 'i~iujations constitc te a mime, the Trihe d1ai8 reqr!est the U&ed 8 tales
..?~t!cmejr nr othc, a;s;?ropria?e govemcntal authority to pmsecute thcse persons or e~tities
having engaged in szch violations.
5. AGE WESTMCTIQNS
-7
! ne Tribe ar,d the Slate recog11i7e that state law expressly lirnits participation in
a u t ~ ~ ~ r i l z d gamblifig zstivity to persons twenty-one vcars of agc or older. The pa~ties hercby
apee that pelticifmation in ail Class E gaming cn Ir,dian lands shall be limited to persons twenty
one years of age or older. The Gam.ing Commission shall bc responsible for prornulgaking
necessary intmdi contriils md gaming rcpistions necessary to enforce this pravisicm.
6. GAMIYG 470,MMhSSIQN
C 1
r ::r, ';CCne has esta3lshcd and wi:l maintain :be Omaha Gming Carr~,.;lissior.. Thc
r3::nah Gming Gommissior; shalI fic comprised of not less :ban three (3) and no? msrc iban Tve
.I 5 ) n;lsmbe:x. '!'he O:n;ti.ir: c3zmin~; Comissionz shall have the duty to exercise thc; Trii~e's
::oncuwent authasity to r e p l a t e C!2s T3 gaming caz L~dian lands pursuant to the Acf , which
a!irh~rily shall b!: dzIegated to i t by ihe Omaha Tribal Council, 2nd set fmth in the Ganing
3dinmce. Pmca~l 10 this Conz-pact, the paflies agree that the mininzgm duties and powers
w7?:Sch :lie Gaming Coi.fifiiission sha;j have include the power In:
[a) Pro~ost lieqlations govcming the condilct of all authorized Class. IEB g a ~ i n g ;
lnvesfigate a!.lcged vioia,l.tlons of this Cornpace, the Gaming Ordixance, Reg-dations, all o+,'zcs applicab!e laws and minim'c~q internal cor.trol_ standards, and ?zke 0.: rccomrnend such aceiorxs as may be necessary md a~pmpr iafe r o ejimi~ate azd correct an:; vio!atior~ found to have ~CCUR-W;;
(c) EstaKish a!.d mSbsce occr:p&ional and other iicensing requirmezts for employers and ot!\ers engageid in activities cconnected tc the T d x ' s Glass 1.C gamin?; an6
O: chip, machine components, or other gaming s ~ ~ p l i e s or equipmeal or who have m2?nagement
rcs~~onsibilities, sac-.+:..' s?.uvciliance responsibilities, or accounting responsibilitiss, shall be
The Corniliissio-,'s requiaamer.ts for licensure shall i:,clude; a? a minimmi, f i e i'oiiowing
(aj fiLppl:ca.g:s must be lai ;east cightecn (I83 at ihe time of QeiP empIopen*l.
?he Ccrrrn?: ssion nay f ~ d a ~ ~ l i c m t ineiigible f ~ r a Iicensr and deny, s u s ~ c ~ b c.r .eve ke the iicensc: of w,y appTicmt whn has been coi*Vjci~d of z q 7 ~f 6 k
offenses below, if the Co-issior~ determines that thc circm~stances a c h e offecse siring t+e ta the conviction make the app'licatm~:~ presence a hindrarlcs 'in bhc regul:-Con aid ccrndrlc: of gaming, or m8.y rsasoriabi-y undermice public con5dcr,ct: in the integrity of gm-lng:
( ; ) Offemcs rcl::ied io bookkeeping; i ,- ,I J'j ;-t:nses d a t e d ro pnhling; 43) OZenses related to cheating, misrepreser,!xrion, +dud 07 acception; (4 ) OfIensts related to usc o f zii alias: (53 Ofiiases related to a c~ntroilad s~rhstaatlcc; (63 0r'fense.s which are f=ioz;.ies under the laws 01'the j?xisdiciic;n i:: which
:hey w e x pr~sccutsd.
If ;., convictitin o~::vn-zr), within the Last f ive years, the iicense shail be denied tin!ets the liccnsed ernpl~yment is exempted by reguiat~on for nsn-gaming p s i tior,., 3r se~ iccs . if conviction occurred more th:.v: five ( 5 ) years prim to thc ilPp:: -,I-. 1102 date, a iicense may 5e issued if the Cornmisstor: determines thzt
~uffic!m.t evidence 3f relaahi!itatir)n exists. The Commission shall temporai-ily 6.engr a !kcme mii shdl s:~~.spmd an existing license, If charges sre pending zgii:sr an aypliczqt which, if resul:i;zg 37-1 a aonvic tion, wou?d disqudify the appliczt!. Krona receivitig cx holding a license. ...
* . - - (c) Appli~anzs must not hdve be& der& $+gaming license by the State of Iowa or
anYWKer gaming Ilccnsing jurisdiction, or cnmently have a gaming license which h a s beeem suspendzd by tkc State of Zuwa or any ohee gaming licmsinp, . . J-msdiction, or have had a gaming license revoked by the Statc of iorwa, or gny other ~aming liccilsing jwisdicrior?.
(d) Appiicants xus l not be emplaycd in any part-time 01 hi;- ??me ~~p!nymenf wit5 3
povcmmml or private employer ili any capacity whlch ~ f o z l d C ~ ~ J T P = 21 c~nflEXict r3 F nterc:st !?c<ween such cmplo,m~, t and the interests azd objectives of t3e f icensed 4~np!r7~~m~3t.
jd) Applicants masf be of gcod mural chxacter.
(2 The license shall be nontransfmabke md shall prohibit the licensee $?om transferring any ri&As or dcties seic..tlng to tke licensc, either diractly or indirectly.
Cg} .Applicmts must be trainable cr quaZifitd by expeeence cr athenvise to psforn the duties required.
(hj Applicanis xust agree to comply with th is Compact, the Gzrning Qrdinmcc, Regulations, all applicable laws and minin~mn internal contra! standards ~ ~ l r c m i n g Class lli gaming. L
8.2 Rl:a-ocatio~. The Urj~~;t,nission shall revoke an existicg license uporr :kc
hzypening of a-r,? everit wnlcb worr!d haw,: made the !kensee ineiigible f ~ r a license if the event
had occr:md prier ti: the issuance of a licclzse; except tha? the Crrrnn~ission shall clnl y be sequircd
silspmd a Jicense clP any 112er:se who is uable to perform the dutics required cf the licensee's
pcsi'ion ~ E C ~ U S ~ :kc iicensce Is te,.rrpcre,ly disabled.
8.2 Rackgound Lnvestigztions Prior to issuing a license, the Cumission s11aIl cause
z k ~ 4 ~ : a i i ~ C investigatior!, ic accordmce wirk the Act, the Ganaimg Ordiraance, Regulations,
ntiqe; zp~~licab%e laws, and the requirements specifid in this Section, to t?e cnnducted on ~e
applicant to vericy the t3~thhhless of the infomation provided and to ensme thae a person or
e:?lity Iicensd by t,he Ccmmission is eligible for licensurc. However, a temporaxy licerase may
be issued fcr u;a io SLY (6) months pending completion of the backg~ound investigation o?~rty
At a minimum, a backgound applica~ion shall require the applicant to make a swoz
(e) The appiic.w:'s rwidence since age eightem (1 8);
(f] 7119 applicmtPs emwloyme~t history since asc- ei@tee:~ < 1 & j;
(g) The zpplir-zt 's cfiminal history, including the date, pkce, details sunomding P:? y arrest or chxgm, and the disposition of any charges 5leb;
ikf %%e.th~ thz aypilca~t has eves held a professional or occxlpationa! license issued by my state or Indian Tribe, :,the j1xisdiction in which the license was issued, t!!e t p e or":icerrse, the Eicense nmker, dates held and the details sumrmding Lhe suspsnsior,: rcvocabian, or nther discip1rnar-y action based an the license; z ~ d if
- , rial cuzen!. 14e reaw? rt I 5 nat current;
i j Whether B:e applicant has wer heid a gambling related license issued by zqy srate, Ind3:rA Tribe or m y ather jurisdiction, thc jwisdictiora in which ihe license was issued, the type, ofllicensc, the license number, dates held, d ~ e delails sxmw~ndirng suspmsion, revocation, or other disciplinary ac5on taken ?ass3 OR the license., and if not c u ~ e n t , the rexon it is lot current;
G ; ?%%ethe.i *be zppiicmi has ever hzd m y experience re1 ated t~ m y gaming operation, the exact natttuse of the applicant's role in the operation, thc name and address r?f al j immediate n:.r.ervisars or parties to zny gaming relserl ageerment, the pl~ck: snv such agrcerne~t was perfomd, and Che dates covered'by the ageem?n;. c; when semiccs or products wcrc: prokjded;
( k A cnrrrplete finmcial statement of the applicant;
(3) ?Vhether ?he applicant has eves been an investor in any gaming operation, :he exact dates m d nature o f the investment, the name a ~ d address 0.5- all 0tI1er jmessto bopding 2.n interest of five ( 5 ) percent or more ix~. the gamin5 operation, ad the narc and address of ?-be gamlnp operation;
jm) 'I'hc ~pp!ica;-it's agreemerit io provi2e any :ldditir:nal inhrnation as mzy be requrerl by ihe Corr~issjon.
ia addition to the sworn sfatemeni, the applicant shall I?:: required tu submit two (2) sets F*.
*?-a*,** *
af 5ngerpsn:s to the Ccrnmission on foms or media nf tFx type commoniy wed by the Federai
B?;x:tu of Livestigation (330 and to pr~vide a cun-ent photograph with the a~plicaricn.
,I 4 Backgsuad i11vesrig:tt:cns may be cond~cted by the -1,5y thc DC3 or by
?anther z~pruprizte invssGgztivc e-ntlty deemed qualified by the Commission. Tf heckgrousd
;l?-rrestigatlons are conducted 5y ar! invsstlgaiive cnrity other than *e DCI cx the FBI, the
~.'ori?missior, shai! infrir?:: ..he Dirzctor, on request, of t3cf n m e of fhe invesii gative mliiy used by
ihe Csm~iss ion . If lbe !XI perfoms backaqnund investigztions, the investigat;,cgs shall be
perkmed m d repofled to the Commission pursuant to tams mumally accepta%le to the
Co~r,.missio:; ai3d the DCI. This provision shall not he construed as rquirjng thc C ~ ~ m ~ i s s i o n to
usc r7c O!"? to per fom al! backgmlmd ~n7pes?igations, nor as r e q u i ~ n g the DCI to perfom aii
backg.cilnd investigatigns ~equcs ted by t l e Com~nission.
8.5 This CompacZ does net restrici the Cclmmission's authority to req::irt irldiviZ~a1;
ar.6 c:?.ti~izs beygrid those speciccd i:) tbis Compact to apply fcr cr obtain Tribal Gaming
T .
;i;c,:.t,qes, and does rrot prt.vcnt this C~mmission 5um pl~ating ~ ~ ~ I i i p i c OP addifioi-iai cla~ses of
licenses, ns r does i t ?rcihibit the Commission from establishing :educed standards lor
backqo~qd investigations for tbose individuals and entities not speci fiod in subsection 8. i .
3.6 &thin3 53 :his Compact shall be deemed to creaLe, end ~ o r h i n g does create, s
3rcpefiT; or other r'fitercs: in a gaming Iicense, and, unless deemed othem~ise: by Triba! Iaw or
:cg;G$iiun, ;I hccnse issued by the Comission shall be considered a revacahle privilege, and
wlnether ax1 zpplicm~ ox liccnsee h ~ ~ q a pro?crty right in ,my Tribal license is solely a matter of
??- ! ~ h i law
9- MTNBMXl,M STANDNWS FOR DEVICES
9.1 Prim to the i ns~allation aqd us:: af a Gambling Device, the Tribe or the
:T:c?m~lssion shall inspect, test md consider the Gambiing Device fo! ILT approval. The P i b c or
~ t . -= Corr~mission sirli?ii not approve a Gambling Device unless the tests conducted indicaie that
such GzmSling lievice meers the mizimurt: standards set forth in Appendix "3'' of rhis Compact
(as amendsd from time tc iime by ~-;luaal agreement n f ihe pa ies pursuant to Seaion 1 9 of this
C_'omazi:r ), or unless an idel~icai Gambling Device is currently approved for use by the lowa
axing md Gaming Conmission. I f m identical Gambling Devicc is currently apqroved fcr use
15
by !be h ~ k y ~ a Pacing znb Gming Ccmmission, h a Tribe or the Com~ission mav waive 'ihc
!,?spection and testing aequi~e-rrte~nts for such Gambling Device.
5 the evtrt!: a par ; lcu l~~ Gambling Device h a notbeen ap~mve6 by thc Tawa Rzclng an6
G m i n g Comlssien, but has been approved by a gaming reLqlatory body of t!~e sstte eof
hiimeso:s, Nevadb, Scllr5 3 ~ k o i ~ or New Icrsey, and the test resuhs earn s13ch jai~dic;ii)n
show [Fat :hc C.32rnbliflg Device meets L4s; standards set firth in Appedi?; "B", then the
Gambling I>t:vi~c MBY be aixt'r~rkecf for use. by the Tribe, provided h a t a copy cr' &e test result
i:..rliica:ing :hat the detyic? c ~ m p ? 3es with Ap~endix "E" is obtained md fowarGed tn tk,:
Ccmnission, md that the rnznuf~turer of the Gambling Device certifies to xhe Ccrnmissiorr 2nd
the Directnr "raj each GzmbOing Devlze to be shipyed complies in all revec'ls wi!h the s?mdards
in ,r\~pendix "B". The Dirccfvr a& the Commission shdI agec tipon f e identity of the gaming
test i&n~atories wk:id~ cm 'ere uCiiize6 unlcr this Section.
9.2 The technicai standards set forth in Amendix "B" shdl ~ a v e m ?he operation of
GmSiifis Eevices, ~ n l e s s amended pursuarrr to Section 19 of this Compact OT pmzu&l;. to the
p:acedurcs set f d n in thts sectiort. For purposes of th is section, ammhmts tt! Xprjendix "R"
;nay be made by ~ ~ u t i l a l written agreement o f the Tribal Council Chairperson aid the Director
NeiiEer party shali u-nrcasnnabIy mrithhors! consent Pram a praposed technics! amenclmer?;, and
any Tribal request li~z- 2 !&mica1 amendment shall be granted, provided it is consistent v41h tl~c
purposes 0:" this Campact a ~ d the Act, and cmforms to the requirements of Smtior; 19 herein.
10. SECURITY AND SUR?TK?ILLANCE
The Tribt aFecs to zaintain :;ecurity \land szweillmce proccdums including, at a
mi!imorn, the emploq;~:c~-~ 0fm adequate security force snfiicie~i to protect the Iaealth, szfcty,
md ~ n ~ l f a r u sf emwlcy~ss nnd patsons, md the installation, maintenance an<? operalion sf
secariry and suk-ueil!mce equ~pment af least meeting the standzrds described ir. Appendix "C".
16
T:%e pcrssession of 5reax l s shall he prohiblted at all 'cines within the gamb1i.r.g aree acd adjacent
facilitic5, exccp: for ce~tlfied peace offtcers on duty. 3 n request of the Director, :hc Tebe shdl
dso provide evidmcc c:f thl: continued availability o f certified pcwe offices wjeb m e s t powers
!hro;t g3 thr ~Vornonir C'c)tllxt: Sheriff or other law e~rr!forcerncnt agency.
1 4 . ACCQUNTTXG AND CASH CONTROT,
The parties agree r h ~ t the NiGC's Mini:n.m Inrtxzid Cot ro ! Standards pl-wide m
,~d:,qnate cash managesn,c:,: axd control system, and the Tribe agrees ro cnrnrly wIih the NGC'j.
Vinirnlml Hntema: t'4'0nb~g;d S~.arnr:;lrds and any m~endxents thereto.
12, AKBTTS, TNSPECTC'ZONS, FAClLli*8*'91& RECORDS ACCESS
r n I J: 1 A.ud~r S ta:~c'.ards. A !I audits perfomcd pursuant to this sccti~n sbialI c , x & ~ - to
g~neratly acceprecl audit s r ~ a d z ~ l ~ fisr casi:los engaged in Class hcl gal~ing as csi~hlishtk 3y the
r?lmerica:~ Institate o f CeBtE he6 F~-h:ic Accnuntants and shall be performed ill cr~rj$~;~mrari~a: ~~vl:I?
~cceysca%le standards of przcticc gaveqing mccorr~tmts, incIudng ~?plIcablc sate Iicenstlre
wwdxds. 13c idi its pclbmed mder e3is section shaiI be sufficient to enswe the :'~it;gri!y 3f
:he Class GI gamtzg cilnd~cted under this Compact shall ensurc f3.a~ the Tribe has sole
prnf:~-Iets~ inte~esr. ir, ihe Class Ill g~ming conducted under this Compact. h addition, the airdit
xh;;l be sufficient tfi ensui.2 such gaming complies with rhe rec~iircxerits of this Compact,
purs!:a~t to the s:andzrr':s of the American Institute o i Certified Pubiir: Accountants.
pr'
r bz~iighnrrt t'sle ~EEB of this Compact and during pendency of any iitigation arising
frr::n th:s Cornpacc, and $[cr ant: (1) year fo!!owing tht~e termination csf this Compact. :he T-be
shaij cns1,nre that aiB books and records misting ta Class 18 gaming, IncIuding he records of =y
Xan agcment C:~wtract~r, Consuitazi, acd thc Tribe's gaming o?erat!o:! are separately
main t~i;:lned. T h e rmi!~ds sna31 be maintaiae in a manner wlzich shal i Fdcilibte a~dittng of these
bl;c;'r:s and rmords T%e r s c ~ r d ~ shall also he maintained so as ;o pewbit access at any titne
durhg ~ ~ d i n w business )'I(JL!s for P U I ~ Q S ~ S ofc~~duct ing routine iras~ections ofthe C h s Hj!
g m k g o~eratisr?.
P 3, QPEMTBNG BROCEDlhlW,S ANB GAVJ3 RRk'kES
Al! Class Ill gasr.ir,g shaEl be conduc~ed md phyerl in confumaslce with this Compact,
Ae Act, G~ming Ordnmcc, Regu!z:ions, a3 applicable laws and minimum internal control
s lmd~~ds . P~ior to m h r rg =!y CIass ID gaming: avsilzble to the p~bl ic , the Cammission shail
zpprove all same rules, i'-l~,vard t h ~ r n rcl the Director within thirty (30) :fays of such approval,
md makt P written copy of the riles available to t5e gaming public tlpofi request.
1.5 DOCGMENTS PROVIDED B y THE TRIBE
Wit5n a rc~sonaeile lime foliowing a written request, which shai! icciude a sratenzent
23
p:ovii?ing a ?uri;oss: directiy re:ated to as- ring compliance with this Compsc~, Gamin$
Ord!r,arrce, Y e g d ~ t i ons, orher applicable !2ws, and minimum internal conbo t stmciards, and that
idmti5es with s;lecif;ciey i~fomntirln pedi~ent to such stated purpose, the Tribe &all provide
the airector with thiz wg nested infmnabi~iz. The TGbe shall p'rovidc !he Di~ectot. w i ~ 2 COPY OF
i!s ctrrmt C-amii~g Ckdinmce, Rcguialiorrs, and minimum internal coclt-GI star~dards, m d all
subsequent amendnen ts and reso.lutrons to c a c i ~ within sixty (GO) days of the e~achnslnt of he
same. !i!i $ocks, reccrds, docments, materials, md things prmkicd by t he Tribe under $his
Ccrr~pact shall br; dr.er:~ed to coins tvittin rhe scope of Cnvenz!~r of t'anl'identiali~y contame6
kcrein., arid hall be bet;::~~d nap-pubYic, Kcthing ?n thjs Cornpact shall preclude !he Tribe and
?hr: St are, its 2ivisi ,)n of Gin~inz! '!r:.vestig~cirsn, the Iowa Racing and Gaming Commission
o;her law ccnforcement cr gamifig regulatory agencies, from exchangmg infomatjon on gaming
zcnvities and Itctnse~c: of ghqins ~ p e ~ a i ~ r : ~ , where 5 ~ ~ 3 exchmge ofichmation is m:iardly
Senefic:ai wLd agreed to by each p&.y.
IS, 930VENMrYT OF CONF~DEWTIALITY
5 . 1 This Cmx~act pennits the State of !awa certain specified ability to mess. , rcriielv,
lake note; rcgardlng, m 8 a r receive copies of Triba; recar& relevat ;s Class Xl ~arr ing
t:or:drrctzd pursl;an; ;a fhis Compact. In exchange fop the Trihe gmting the State this ab'rli~y,
consistent wlih %e requirements irnposcd by Iowa Cede chaprer 1GA (2905), as may be
am,;~ded, he- S %a te agrees that, except as a!tmvc=d by the exceptions specified below, Iowa s_Fsall
fcrever mainiain :n csnfirlecce and sbar l n~t~disclose to any third pH;$ any f nmciai infwmation,
a ~ d i t izfcmalion, Ct?mmlssicl:~ replatofy reports, machine test results, proprietary ideas, yians,
methcds, dala, deve3opt!7v;'r1ts, inc7enkior;s or other proprietary infomat~on which ic provided to
ihr; State by the Trik-:: nr ohhewise acquired by the SUbe through its scccss to Tnbai ~zccrds, h
addition, ali records, and copies thereof, shall remain the propefy of the Tnba ia~spective of
Not!!i2g contained in this Section shall be constneo: 4 0 rsrocrhiipit:
(a! The pubiication of generalized gaming statistics, pruvicied that thc.re is nc dim: or indirect i6cntifica1ion thzt the statistics relate to the qarni~g cptration nF the Tri he;
It)) icws h r ; : making b~lo:cn the names of parsofis, f i m s or ccrporztians conducting ZIbss It? p i i n g p2zsuant to the terns of this Compact, Zocaticns at which such acti~l!ics are conducted: cr !he dates OF wkr! I such activities are c~nductcd ;
(cl Pu:t?ishing the te rms of this Compact, Gaming Oreinance; Rcgxii-!Eons, ?l.-mendmznts =ci, Rcsolueicsns;
(d j Disclnsicp, ro a lawr e~for~ernent or regniatory agency ip.Tth33t7 United States ,g31~i;rrime~lt or snother stsje, or to m y subdi~isioa 01 ths Statc oiJosva, inc?xrdir,g counties, infdmstian necessary to zudir, investigate or ~cvosecute viahitions cf this Cornpac:, Gamiag Ordiza~ce, Regulations, an6 other applic~bIe izws;
( 1 Any icTomarion necessgry ro defend. suits by the Tribe azzins; thc State or suits hy t t i ~ State apinsi the Tribe;
(3 Conplyisg with asy law, suhpoeaa or cot= order;
Disc!::sir?: audit or test results, provided that disclosure would not comprorrdse the seccn'ty ~ l r h r : gaming operation or rcveal proprietmj information, and provir':ed f;ir!-thar: rha dlsc!os.me is limileE to circumst~nces where the actdi; or test resuhs de;n~;lstra~le deximent to the public. Vfieneve~ audit or test results demcr:~strzt_:: deidrncllt to the pubilie, discIasme, i f any! viEl not cccw unrir at least thirqy (36) days fnllowing thc date o ~ : which the S taie has notified rhe Trl be or" irs inren: in disrlosc. Such notice wi!l identify those aspects or' the a d i t or tes? ~esul t s considered by the State 5 0 demonshate detdmwrt 'so the p~blic. If, Zly the close of such thirty (3Q) day pekad, the Tribe has corrected or taken substantial steps to correct mdit or test result rnatttters considered by the Sme to demonskite 4 c t n n e ~ l :o &e ptlb!ic, co discloware shdl be made; or
(h) 1%~vid:r,g ro a patron who has made a complaint to the Director inhmation received hj: the Director from aAe Commission in response to that. patrm CO~XJ!~:~:Y.
7 5.2 7'hmuglt this Compact, the SWe rqrcsents and warmis at it has authc*ty to,
and fiere5y riots, cxjvenaitf and .pron?isc the Tnbc t;?% 21: records and :nkmztior, desc3-ibe-2
IIerein which fhc Tribe provides under t 5 ~ Compac~ c;r which the State o~hemlse acquires
X ~ T C U ~ ~ its access to records as pemirted under this Compact zre exempt from disclosure
S.C. !.>t pub!c mder lcwa law, and sha8 remain exmpt from disclostlre, except as p~ovided
3b.isove. The SWe further ack~owIedges and zgrees that the Slate's prcaise to maintain the
rzc~d.6, . m d documen is de<<crl'oeb h m i n ~ r j co~r5Cientia!, fion-pt~b lie G~c~i;ner!is cxempt from
di.;cl~sure is rnamia! to ihe ' i i~he ' s a,gsen!ent ta Stare access to certain Tribal books, records,
doci:!nr;r,rs md things, ezl: said ci;>-enar~t of co~fidznGa',ity i s a rnateriaj t e rn ofthis Compact.
Cora ASentialsty i s gaaraateed In Iowa Code seciior, 1 OA.: M ( 3 ) {ZOOS). S30uld this
hecticn br: amended cr-r al~ercd to r,eg&te "LC ronfidentialify provided herein, the parties egce that
1 ' -,r 1;s 7t.r~~rnsion OF t hc: Compact shzli he renegotix4.ed irr order ro accom~tish the puq?.k!ose of
;;rrsrecting the 2'rlbe's records, documents, information derived fi-om such recgrds and
~2:;curncnts from dlsclosirx. The Slate of Iowa &so agrees that if rcwa Code secticx 1 0.4. ! 05(3':
1:!305j is amci:cic.d during 1E.e duration sf this Compact, the State of lcwa shall reeura to t5e Tribe
:;ophes of books, T S C O ~ ~ S , dccuments and things covered by this ccvcnml o f ccnfi&en!izlity not
accdeti to Se reta$cd by the State fm- a legirimate parpose related to B i s Compact.
'9 6, 30 CREDIT EXTENDED
Class 21 gami: 12 shah be opcraeed for cash anly and no credit may be extended ?o .31y
pr;:;cn. I-fowcver, the Tribe may offer check cashing and credit card fimsacdons, including cash
advances, pwsmat to re,plations estabiished by the Tribe, which shall be no less shngent t3an
rhe r e ~ l ations enact& by r.he Inwr-, Racing and Gming Commissioo Admin4strative R des and
, - !c:s;a I,v,v+ i his p~udisioii shall n ~ t be constwed as allowing Cr"ei3it tc be affercd by :hc Trike or
!@anrcgmerrt (I'onfr3c~~cr ur m y other penm c!r entity .other than &~mgla a bcna fide credi:
card i'cx?m,V whose scvices ax? ~ ? ~ e ~ c = d to other busznesses irz rhe stete of Icwz. ?erstpg?zl
checks accepted by the Tgkc m ~ s t he deposited iRto z fitamcia1 institu~on promptly i,r
accordance wi~h sound h!lsiness practices.
3 7. .mwSDICTrQN
The Tribe shdl exmcise sivil and criminal jwiscliction consis text with its inherent
s3ver2 ~ Z & O I ~ ~ Q as defined by federal law, as 6z'iegated by Congress, or as othewise cxjsts at
iaw a72 zs a cconseqxnce of its sovereign status. Nothing in this Cornpzct is intended -to change,
revise, or rncdify ci9;li and criminal jlsfis&ictic?n of' fie Tribc or of tke State. Norhiszg containe6
herein sbdl be deemed to modfk"jr or limit existing federal jurisriietion OVK T&ai members and
:t)e Class ZT'T gaming zc: ivi:iec permized under this Compact.
-fie Stale's jsrlsdi~r r 3n u v r zaming sctivllics md individna'ls invo!.ved +therewith is
limited only by appEic2hfc Ft=&eraI s r State law and shaI1 not be construed as t ix i t zd in %icy
mm~:ct by fkis Compact. Yothing in this Clcnpact limits the State's crirnixlal I ~ V J juisdic&m
iriirb !,espect r,3 mn-Tribai members and actions arising out of Class n9 ga=ing activities.
Tdxhing within this Compact shail be construed to affect my civi! or criminal jnnsdiction the
State rmy have u ~ d e r Public Law *33-280.
'f'hc provi sio:as oFr?:is Cozpact regarding jurisdiction are solely for purposes of ~b i s
Compact a d shall not co~=stitute a precedent for any other purpose.
18. T,bWS
Sothing in this Compact shdl bc ct~usm~& a? imposing any tax on my Class El Gaming
z ~ c ? i ~ ~ i ~ y . h zddiiion, nfiil~jng in this Csmp;ict shall be cons~med as expmding or rlirninishing
Iswz's a9thw-i i ~ ! if %y, to impose my tax on ths Tribe or any person or entity ether t3an the
'I'ribe authorized by tlae Tribe to ecgagr iil a u t l m i z d CIass IE Garning c3a Indim Laads or an
?̂ rat: Cinss I ' iT Gxning activity. Xott~ing in the Compact shall prohibit the h x a ~ o n of inccmc
dcnvxl by a Psatrcn 6.c.n gzming ac ih i t~ .
18. AMENDAmNTkS AND W A N E W
?71c terns and coilditicr~s of t%is Compact shalt not be modified, amended or sthenvise
abed except by written agreement, ~f the parties. h y witten waiver ol' any provision or
requixcmer?t of this Compact signed by the pWy waiving the proarision 2nd atly modlficztion or
anendment of my prwision sf this Compact or my Appendix to !his Compact th2t is a g e d
:~pcrr by the paGies in writing sha!l t&e effect immediately u p o ~ the da!e such waiver,
~icc",iiicaa_~on or amend men^ is app~oved by tl~e Secretary. The Director may waive any
prclrrisjons or reclrirements of Cornp5cE which are imposed by iawa cn the Tribe by
providi::g the %be with written riotice of the waiver. Any waiver provided by the Direcior s?~aEl
noL cunsiitute a tvaivm of'any fuirtu~e devjalion f i ~ m the terms or this Compact unless the waivcr
spccif.:ca!!y iiddxsses 5~tur:: deviarions. Thc TAbe may waive any pruvisiaE or rcauiremmt of
?his Gom~act imposed cn Iowa in a simiix r;?anrzer and with similar effect.
The Ts;,be and Iowa sr.ay a ~ c n d or add rnur.ually zgeed upon appendices eu this
~Compsct setting forth operational stand~rds, ::peci5cations anrl replations govcming Class DI
ganlfis. h ~zdiitien, the ?"fi;*ba and Botv~ may amend the technical stadards of Secticn R
(licensing) and Sec-iion 2 (Gazziq Devices). A change in or the addition o fm ~ppendix or an
~n;end~;snr to L'Ie technical standards in the foregoing Secrions of ebc Compact shall no! be
cui~sidcxd zn amemfmc~i to !he Compact and s!ia'tI not rzquire the approval ofthe Secretay oT
the hterior.
20. BHNDIKG DISPUTE 1WRSaieLljTllBX FOR MON-MATEREAL R2E.4CA
In thc event that %:.thcr the Tribe or the State believes the other party has engaged in a
non-naaeiial breach of this Cntnpact, the pziy asser$ing s nsn-material breach shsll notir~r "gritrr:
oehr;a party in m-eing of 'the basis fo: S ~ C ~ I S S S ~ T ~ ~ O H . The i+ttcten notice cf the non-material
f c1reac'. ';~q:ii~cd by %IS sec:ion shali Getall the eubstantive basis for the ~ S S ~ T ~ ~ O T L . The p-dies
2X
d!d2 meet ;?nd ccr-ifcr wi~h;n fiAce:1(15) d a y afier delivery of the notice of ~e ~on-matefieF
I:T~xA~I. and shall attemp: to rcso!ve ~3,tle dispute infmaily.
I f the dis~ute is cox resolved hehvecn the p d e s within fifteen (14) days z4er rhe initial
meeting, or if no meeting has berst held within fifteen (1s) days, the pafiy asseeing the
nor,-rnatcri~i 3reacl1 mey notify the othcr in whiting of its d~rnand that the sornpt~irleb c+f
breach be halted or remedied, ar is apprl~prjate to the nature offhe assded breach. Within ten
(1 a) days aAm delhrerd o?: saxh notice, &e pk~rty to whom the demmd is made shall zither a p e
!G tke ~ ; ? , ~ a I l d OT rcjecr i:
a) I f the par* ttp@a whom the denznd is made eithcr rejects the demand or fails 10
resprjnd within lerl(1Qj days de1isrej-y of the notice, fhm fli: parties sha!: agree to
inlmedia;e!y wbmit to a mdiztion process which shail be governed by the
S o m ~ r c i a l hTcdiation Rules of the American .Ca,rhitration Association. If up02
rclrnpleti~n of the ncdiation process the dispute is not resolved io thz satisfaction r;f a
party, the3 the zggrieved pasy shall, wi tki11 fifteen j t 5 ) days from the conclusion of
thz mediation process, pmvide a written norice nfdisagreement. The Ferson (s) who
serve6 as the ~edia'rar in t i l e pyfocess shall prepare a summary repart iderrtifying the
subject (s) of the disageernent between parties. This summary shall constihate the
scope af the ~SS~,!ZS n7hich. bofh partics a,pc, shali then s.clbmjt:ed to a firma,!
binding arbik2,~l an proces govmed by the Rules of the American Arbitration
Associatim w;rd ::7e fo;!owing provisics?rs: The parlies shall attempt to agree apoa onc
arb i t r~~or with expertjse in the subject matter of the disputc. If the parties axe unable
h aagre on sz arbitratcr. cacb party s$ali, within ten ( F 0) days ls7c.- impasse, select xi
.;rbit;.azor a ~ r t :he 97~0 arhiirato~s sli se8ec~ecf shall pick a third arbi ~ a t s z =-Lo :?as
expeflise in the subject area and who shall be solely rcspoi?siblle for conduct~~g the
binding arbitrktion.
b) The arbitrator SO selected shall confer with the parties immediately after appointncnt
to i ie tmine an arbitration schedule. The arbitrator shall issue a scheduling order for
xbitrst",iol.s. T ~ P a r d e ~ may inrlrtde w h e h r , and the extent to which, discovev is
required. The nsSiilsetor shall set the matter for evidenliary hexing or n a y dispose of
the diqtr~i!: upu-CL wsitre~ submissions only.
j The arbitrator shall have access to my infomztion necessary to make a decisio~,,
whethey in the possessicin of the 'Tribe or the State, and sha!! maintair zii Irlfomatisn
in cocfidencs.
dl n e arttitrator shall consider each issue presented by the parties md select one of Be
two positions asscmd. Thereafter, the arbitrator shall determine, by weighing ail
issces, the prevailing p ~ . t ; i . The non-prevailirrg pxty shall be responsible fcr paying
IT ovm the costs of ar%i&ation, zxcept Lha~ ezch party shall be respoqsible for the'
attornzy fees.
2 ?, FtEhTEDZES FOR MATERIAL WREAEX
Breach by the 'Tdbe, Lq :he event af s mat&al breach by the Tribe, the S:ate may invoke
ibe dispute resolution provisions found ir! Section 20, xbove. h the ai temative, Me Slate may
nutifi the. Trike in writing $2) assesiing .that it believes that the 'Tribe is in material breach cf thc
C~lrn~sac:~ (5) setting firth The facts supportkg the ailegation of materiai breach, and ju) stating
thczt liis Cumpact wi 11 texmi~ate w'fthir, thirty (30) days after receipt of such notice if the material
?!:cash I: riot cured. Irf, w;t!ri n thirty (30) days after receipt of the not ice, the Tribe zgees in
. . m: ;I;$I~ to concct the brc;i::i, anif does in fact c o r n : the breach, the S~atu shall not terminate Ih?
Compact.. ! f the breach is nnc corrected, or if the cunduct has resumed, the State mzy, at i~s
30
discretion, ' tminatc the C~mpact; provided, however, whenever circrr.mstmces pertnit a
scvermce of the activity alleged to have caused the material breach from other gaming aciivities
cr' tile Tribe, then the Stafe shail not iemhna'le the Compact md both p a r k s sha?! muzua.l ly agze
fa a wisyrcnsion af tisf ch.*iilenged acti~i ty wtil h a 1 resolrltiorr of thz matte~ i s achieved thro:rgh
the tispute xesoic!tion process ~ruel::r.sd in Section 20 of this Campacz. This remedy shall slot
apb;ly under my ~ L T C U ~ ~ ~ S L ~ ~ C C S in which the ?JIW has taken actien affecting 1% Ciass IIl
,~::~r~mg opexari on.
Sre~ch try t!ae Stztc, Jn tfic merit crrnatmiz,l breach ky the State, f11c 'I'K?e m y invoke
L+a: dispute resal~tion proxr:sicrns found in Section 2G, abcve. In the aItematEv-,, the Tribe may
not if:^ ihe Stzk !:I writin2 L?a? 3 will terminak the Compact w ~ i 8 i n t4irty (3 O j days c?fie~ receip!:
of s~~;ilch rrotice, If, witkw thirty (Jti) dzys after ~eceipt of the not:ce, t ?~c State agrees in iil
comocr t$e breach, 2:rd does In fzct correci the breach, the Tribe shdl Let terminate thc Compact.
If f i e L.:~ach is not corrected. 9;. if th.s conduct has tesumed, the Tribe ~ z y , zat its discretior.,
t e rn k i h l ~ :.kc Corngar. t
%her Availab!~ Xernedies. Xofhir,g in this Section 2 1 shall hc constmcrt, to waive, Iiml t
.Jr ~ e s w c t any remedg:, inclu&;ing jxdiciwl review: that Is otherwise avai!ablr; to ei thcr party to
mT'orcce the pre~+sions oTr',li.s Com3act or limit or restrict the ability o f eke p;rties t f i p w u e other
al~ailable remedies. >or?t;ng within this Compact shall be constmed IQ limit the authority of rhz
Stare ar federal govemneni; irj tdtr.5 irrxnediaie action to enforce and prosecute ~ppljcable laws of
t5c State cad the T j ~ i jfcd St~2es.
Beth ? d e s expressly waivc Sovereign hmnnity for Furposes of this section artiy.
7 kc partier hereby u ~ a t ~ ~ e my ddefmse or Sovereign l r / ~ r n n i l ~ and immucity imder the Elevent*
I+Imenr3,qent o f the T_rr;ited St ate:; Clonst;tutian fcr pm$oses of this seczioz only. Such waivci. is
expressly limj ted to actions for dxlmtory or injunctive relief, md shall not include waive of
s o ~ e r e i ~ i ~ x m ~ n i t y as to claims for money damages.
22. EXTF,MSION OF OBLIGATIONS
m* I ne exprration or termirration of this Ccrnpact shali nut relieve sither Iowa or the Tribe of
any cbligalion which arose under $his Compact dzuing the period irr which it wzs iin effect.
23. SE'dEWltX,IRJ
If any part of this 43ornpa.c~ is fin all;^ found to be in violatiofi of any applicable Iarv by a
C G ~ P ! af'comp&enty?;lrisdiction, the illegal portion shall be severed from this Corripaci, if
possibk, and the remainder shal! remain valid and enforceable, provided that conlinuation of the
Chinpact docs nos alter the fundamental intent of the parties.
24. THH-RD-PARTY BENEFICIARIES
- r his Coqrtci i,r qr,e intended to create any third-party beneficiaries and Is entered inta
scl:::.~ for the henc5t of i.ke Tribe ? ~ i b h w a .
25. PP-OVIDTNG COMPACTS
h the evmt rhae mother Indim Tribe executes a compact wrQZi low2 for the conduct of
Clasr: Ili Gaming, Iowa s k l l provide a copy thereof to the Tribe wi-&LC 5ve ( 5 ) Gays follawing
zxrc uiion by hot% the OL!~=T TCce anci Iowa.
26. _TOTICES
Unless otherwise i~djcztcd differentiy, all notices, payments, requests, reports,
i~+'t>rnation, or demands which m y najrty hereto may desire a d may be required to give fhc other
na5y hsxeto, sha!I be In vrriting 27d shall he persondly delivered or scn"cy facsimils
8 L r,, ,hi? I s ~ ~ o R , express xiici: service, or first c!ms certified or rf2gi~l'et3d Tnited Sbk.5 md.
poszagc prepaid, :elam rxeipt rreyucsted, sent to the other party ai its ad&ess a ~ p e ~ s i n g
E-reiuw or such other ad&-.,-ess as either party shall hereinaficr inform the other ~arlgr by written
;:ot'ti: given as prcvicusiy reqzri reh:
;f :G ! ~ w a :
:f to thc Tribe:
Sitaie of Iowa Department of hsyeciiarrs and Appea!~ Ann: Director L U C ~ State Office Buildixlg Des Moines. Iowa 503 19 F a No. ( 5 1 5 ) 242-6863
OMAHA TAMBE OF 3 E B M S W , Attn: Tribal Chakpe~son 203 Main Street P.O. Box 368 Mac y, h% 68039 Fm: (402) 837-5308
i . 2.': I '.$%eel g m e s inciudin-g; {a) Roraietle; fi: bforrey whre:; jc j Mercha7cFise wheel; (dl Sorse rmt: wheel; [e) Hig SIX, ( f ) CSo!or WThee? ,.* . .- 1
(3 .) Par -mratual wagering on horse a ~ d do3 racing provided that such wagmirrg utiIiaes the simuicatigg track's computerized totalize: system for calcuiating n+.ds sad payouts 5cm tF,c par;-nu tusl wagering pooi.
:::.': Card g2rne.s i r :d!~di~g: /a) Poker; Cfi) Twe~p~one ; (c) Tlonre, Spanish Molrte and P4onte Bank; cld] Paj Gow ad P2.i Gow poker; (e) Red Dogh-Reiween; {f> P311;
{g: Szwcr P m Kim; 417) Baccarzt ar;d Mini-B~cczras. (i j Eold-Em or Texas ?Told-Ern (j) Caebbean 8ti~d
Let it Krtz ( E ) Sweet Srxteen Sackpts (m) %:3k *ortorn Low B d i (c) $ % m e ?>j Gow jc: . j DulrbleDcck B!ackjar;k
(a;
202 273 3153
( 5 . Sports betting posis, sports betting including parlay cuds, provided such gaming is conducted on the same terns and conditioaas as provided izl Iowa law.
17 .) ShP. machmes, progressive slot n:zctr,hines and video games laf chmce.
APPENDIX "'B" OhZABA TRIBE!STAT'E OF IOWA GAWNG COMPACT @AR-I8'!,ING DEVICE TFSTTNG AND SPECIFiCAIF1IIPNS
A. Gambling Device Requiremcnis.
(a) 5Iectnc~.i ax! mechanical parts and design principles shaEJ cot silbject a p tayer to ghysicd ~ ~ ~ ~ ; t r d s .
(b) A smse pmiectcr shall be installed on tile line t h a ~ Cerecd:; pcwm 10 the devici:. The battey baci~ip CT an equivaIenl for the electmic meters s h d l he capable ol' maintaining the accwacy of alH infoma.tion required fur i MO dayz afier elc.ctnczll pow= i s dissclntinued from r k device, The Sachg shdl bbe ;ocriteb irt the !ackec! bgic boa% compartmect.
( c ) Ai on'offswitcb that cont*ols Lbe eiect~cal current used i:i the ~pere?im of the device and m;; associated equipment shall be I~czted in a~ acccssibk pIxe withi3 d ~ e i n t c~o r ~ = f h e device.
;dl The opera~im of the device shdl not be adversely affected by static discharge or paher elec~i~:naj;p%tic inferfcrencc.
{e) The: device hail ha7<e a mi11imtm-1 of onc electronic coin aecepltor meeting h\e c'trrity reqri;:srne~f,s ~..:s.aRiis':!cL by the Tribe.
Thi: Cntcmai space oFthe device shall not he readily accessible when the front door u f the :!ev:ct: is kcth closed P X ~ iocked.
(gf Logic h o ~ d s md sefrxvxc eporrrs shal! be in a lockd area willin the device arid shall be sealed wi3 evidence rape.
The h o p buc.ke: cormpatme~t shall be m z 30ckeb axa within or i!%ached to the dP* 7 ; - > , r ,L<..
ji) The device s>.a13 bavc nc F~irdware switches capable ofa?tering L\e pay tables or payout percentages cf the dv>c-,. H ~ d u r x c switches may be ~nstalled in ;he dzrice ic, WPPIWOJ g~anhic routines, speed of p l q , and sound.
An jdcntific~tjox: plate cr\fittzia;,ing the fol!owing infomalion shall he pemmenti.:, 2ffi:red to the ex teri-iar o f h e device: ~Manarfaclturer; serial numbm; model number.
: Ej The m!cs cf piay for ihe device: shall be clearly displayud on &e Sicc or screm. The mles shall not be inc~mplete, confusing, or misleading. Each dcvice shall &SO
diLqlzi:/ the credin wzgzrei! and the credit awarded for the occurrence of ezch pcssslh;e wimlr: g ~cmbigation based on the n u r n h ~ of credits wagered. hiE
:n-forrr,atior requirest by this parsapaph shall be kept t~zder glass ar other . ~ a n s p a ~ m ~ fi:aferiaI. Stickus or other removable izems shali not bc placed an the ?xi= of the device if !:ley would make the required irnfcmation w a d a b k .
(2.6 SaAwarc r-equi~emt:nn-:zfi,pi,dom nmbea generator. Each gambling device shall kzvs a rzndorn number ge4er%tor that will detmnint: :he occurrence of a specific c a d , number or slop. A selcctio:! process will be c ~ ~ s i d e r e d random if ii rnocts the followicg r"vquircmez::s:
(a) Each card, nurnbcr n: stop shag satisfy the 99 percent confidmce limit using the srzndxd chi-squared malysis. "Clri-squared analysis" I s the sum of the squ&r,rc ofthe dj?ermce besek~m..a !he e ~ y e c t d resu3 t and the obsm~er.' reslilt
( i ~ ) Zxch rxcl. ~ ~ m b e r or srop shdl nor produce a significant sta~atistic with regard to prodwins getterns of occurterxes. Each card, number cr ston wiii Se consideref; randorri i f i t meets the 3'3 percent confidence level w.vi',h regxC ta the "rrrns ::;::stw or any similar s t t e n testir~g statistic. The "nms test" is a mathernztical s~tistir: that defernines ihe exist-rnce of r c c m b g @a.!tems within a set of data.
E:+c53 c a d , tlurniser 0:' st GP position shall be ir.deper,dently chosen wifhout regard to m y cttkcr card, r.mber or stop withim that game pip-y, 3 i s t e d is ;he "correlation test." Each pair cf cards, n ~ m b e r or stop positions shall be considered r=Ei~v. I ?-' they meet the 99 pzrcefit ccnfidence Ievel using standard conciztion a3alysls.
[d) Each ca~trd nurnber or stop position shall be indcpendmtly choscn wiihout reference to the s m e carci ss !:-mber nosition in the previous gamic. This test is !he "serkl csrielatlon test." Each c z d FT number position shall be considcree ~ i !ndoa ;f is meets the 99 uercent, cora~de~re level using standard serizl correiatiop, analysis.
C 3 .j 67on tjnuation c f game zPer rnafkulcction is clear. Each GrmbEing Dekjce s!lal! Be czpab!e of connlnuing thc cunent game with dl current g m e features after a malfinctior; is cclzred ur,icss the ma!hnction renders the de-vice total@ inspcrabte. If :he ma1iirnc:ion rr::nder.s t5e device tohtaijy inopcrab1e the cumfi t wages zc;d all, credits appeii5ng ~3 i>e S C T E ~ P prior to the rnz!?&~ction shdl be rePmed lo rhe playex.
(4.) SoA%ae ;quirenams-p:ay t ~ s a c t i o n =cords. Each ijambiing Device shall maintdn electr~;dr_~cur~?ing meters at all dmes, rcgardl ess of whether the device is s~pplied with power. 5a&m.~ier shall bc capablt: of recording a d rmzain'tairung totals, n3 less than six digits in i e~g th , for the following irrfsrmation or ?he follcrwing i n f o m a ~ o n shall be ascert.&zable by calcnlations baed on the rccord.ec! i n f o m z ~ i n ~ :
[a) Total nuznber fif tokens inse:?e~?. The meter shall c o u ~ r the lo td nvmbes of :ckens that ive ir.s;=ned by the plzycr.
$1 Total .n_unbp~ c+f tokens ?zid out.
(c) Tola! coins dmppec! to drop bucket.
(2) Total. number af credits wzgered.
(h) Kumber of times the cash door offhe device was accessed.
(i) Xt~mber of tokcxss or credits wagered in the c m m t ~ Z M ~ P .
(j j T~7.d 1:rcdi t.? h r Swses won k t ro: coliected, commsnfy refmed 20 as the cxdi t n 1ei.e;.
-., t rte rn-rteiers descnbet-! i_r; x, i. 3.nd c above, shall he placed in a position so ?bat :he . . ?:.,ixber~ r:n Ite .:cadl v j t ~ : ~ i ~ ~ t ~ p r = ~ ~ i n g fi1e device,
No dei~!ce shrsil hw-e 2 mechanism wbch will cause Lhc elcctmnic accour,!ing meters Lo autornaricdI~~ ckar Jn srte eve?? of an error. Clearing of ;he eicctronic accounting ~ c t c r s mrjr c>csur o ~ l y a ? i e notification and approvat by rn official deslpated tke
T r i k
* A All meter T":~G: Z ~ S S ?ha11 'nr: necodcd 50th before and after an eIectrorriG ?Lccount:ne .-.
:nettx ;-c c"E?;~c;~.
{5. j So fixarc ~eqw~r -g~~~cn t s - e~or conditions-automatic cleasing. Devices shall be capable cf detec:ing 2nd k3ianlayir.y, :he "aower reset,' condition z d h e "ddoor open" conr'?i5on. These coz.;diti~?lns sbEl 5:: automa;ica!ly clweri by the &vice upon ifiitkatiur, of a aezv p2y sequence: s; !he sta-c c,f ;fie sccond ymz.
j?, 1 Per:rce:ltqe Ta-x:cr;*%. Gambling Devices, Percentage payoar Ckmbling 3cvic;es shall nleet the Follov,zng rnax i rn~ i minimurn theoreticai percentage paycrrils duriaa ihe expected !i fe:imc of t h ~ ~ieY3cc
(a) 'The device musf payailt at ieasl30 percent and no morc than 99 pe[c-znt of the amount ux7agex-ed. 'Fke theoretical payout ~ercentagc is detemined asing $-afid~ii metbods of ?l~obabill;ly C~eoay.
(b) -4 device mxst hzve a prob&ility of obtaining the maximum paycct seater 2har: 1 in i 7,$QO,@OO.
1;':) Gambling Gt;~ lces rhall he c q & l e nf detecfing ~7~ Cisr;iaying ihe fr~lloxving errs: corrdixb>ns .cni:;;ct r a y be cle~eed by 217 attendant
t r . - : < :L,ci::-;:l j&?.
2 < ~ ; ~ : ~ i h ~ ~ ~ jsx.
3. R o ~ p e r e m 0 I out. 4. RAT& error. 5 . Hopper m a w a y er extra coin cia co 313s paid cut. 6. Low KhhI battery, fct bat.teries external to :he RAM itself. A batl.esy :hat is
replaced pwmzant to its rnanufactmefs specificaeions or as specified ir, the prdtotype approval repost. whichever is s c o ~ e r ~ may he i~stalled in ?ieu of the low ,RAM battery e m r ccndition.
(b) A description of Gmb!ing Device error codes arid their meanings shall be asxed inside the, dot machine.
(8.) Sopper mmechmis~r. Gznsbling Devices must be equipped aYiah a hopper which is designed lo dclece j z r r ~ n d coins, ex:ra coins paid cut, Sapper runaways, and 5oppw ernpay condieicrz~. The Gambling Device con:rol prosam mast rnoniror the hoppc mechanism COT these zac? condili~ns in at1 game states. All coins or tokens paid from Ehe hopper rnec'nznkm r.lust be x-ccounted for by the de\;ice: including those paid as x t r z coins d~~r ing F. hctnner nnla~fuction.
('3.3 Crogessive Slot ~Macti ines A Progcssive Slot Machine shal2 have a progressive meter r;howiqg k5e payoff.
;2j 1 , i T a . s A ! i~?;t 2iay be imposed ar, the jackpet of a Propessive Slot Machir?c psovidd t h d t the imposed is greater than the j;ickp.tot payout on the Progcssiue Sict Macl~ine 8i the me thc limit Is imposed, bny limit imposed QIY a Progressive SIor 3'lac:hinz shsl! be p:om.ir?,en tfy displayed to the puhli c.
gb) Pay-off ind:cator. No payoff rndicaiur may be turned b ~ x k tn e lesser amour!: unFcss one of the fu!lowing cir~~urnstmces occurs:
1 . '[fie L r O ~ U T 1 ~ sfiowx an he t~rogcssive metar Is p d tc; z player as 2 jac:kpat. 2. Tr is necessary lo adjust the progessive meter :G preve~t i: firom dispts!a;Ang
an ar-oan! ~ x a t e r thm the, limit imposed by the Tribe, 3. It 1s necessary to chmge the progressive indicz~.ror [Sue ta malfucticn in the
device. 4. A pro~essive jackpot may be trmsfemd tc mother Pro~essive Ske
Machifie 3; the: samc location in the event of a machine malfuncttoc. ,--..
(c) Jackpot limit. Wen the maximum jackpot limit is reached, i t must be permitted to rcn~ir , until it is wnli by a.p!zyer.
;$ Records required. Records shall be rnaint~rked hat record the amciznt show2 on a gro~es?::'c jkck~ob zulete:. Suppoxting documents shall be maintzrined to explain ;m_v reduction ir ?he payoff amaunt fi11wn a previous c m y . The records and doc'lan~e~ts sjrail3e rfxakned ?or a peric5 of five (5 j y2ar.s.
APPENDIX "6" OMAHA TPJBEISTATE OF IOWA Gt%%XING CBb3PPIhC'B?
SECLwTY AND SX.KVFPLLAKCF REQTVTIWJMl@NTS
;?a. Closed Circr li t a'e!evisior,. A ciosed circuit television system according to the specificalf ons skrt fn;kF, ir: this Appendix shd i be inspafled, maintained and oper2tcd. shall be, ~ c e s s +n 5 c system or its s ipzI at ail times.
1.0 A. 'aequi~ed F4uip~len: L ~c closed c l r c ~ i t teicvision system shall Inc!u:fe, but shall n3i be simr-td to, 813 fbiInwin 3 equip.sr?en? :
,' $ .; ; C*amerau. h;.lil , :i!$ zoom, coznrnunly r e k e d to as P.T.Z. cameras, that arc Iight sensi t!x.-e snr; zzp:rb!e sf being ~ l z c e d behind a rlom-:: or Pnc,-\vay f i n - 9 ~ which cccrrcea!s the ?.T.%, cameras from yjew. Each cmlera shajl have th.5 capzbiiify to dist iapisi~ a cleary u~chsli-dcted view of the tabk number of the gLwLin,c :&le or paning device.
(2 ,) \,iidco prii:ters. Video ?ririacis shall be capable of edjunlnen: and s!tx!lnossesq the c;m~zbility to gcncrcte instantanfi7rrsiy U ~ Q ~ I command a cir:er, eii!! cn9y of the ixage :iepictsd cm? 3 videotape reci4c?ifig \+th a ~ i n i m u m of l ? i s ~ h a d s s o f WE.^.
. Vide9 xcrccnr. "i i e o *nonitor screens must he at least 12 irches rneavxed dizgonal!y ,3jd all c3nk-9'3:~ r n i ~ s t be 50nt mounted. Solid state ci~cuitqr is recmi~ed.
j4.j Date and tize gcnerat~>~x. Bate md rime generetor s shall bc capable of recording both iimc and datz of the rezasded events withaul obstrucaing :he rccorded view. Recor,rdmgs iiIlST be in mrli t 2 q t ~ m e .
IS . ) Cnivwsal pow=.. slapnly. The system a d its eqaipment must 5e r',irl2ctly and swxely *,ire& ir! a KiaTgey d e s i g ~ d to prevent lmpming wifl the system.
(6.) I h r i e r a c4.orr.e:: Camerr? domes shall he uf suficimt quairty ~ q d size ta accsnmodate ?,T.X. cmer-Es a~.b shall be csgable ef pr~viding clear, uncbstmcted views.
(7.3 Vic?co s $vi- Video Switches shall be capable sf both mmml and kutomatic seqctt.r,~i a). swi k k , g fc,r &c mtire wrqcil'lance system.
( 3 ; Vidcct~pe recorders. Vjdc~t~pc: rec.nrders shdl be capable of producing high qudity, 5-f. generation pictwes wit% a hcri7c)ntal resolution of a minimum of 30'9 lines norconswer, prok?ssional p d c , an$ recording standard K inch, VMS tape
7- t .t ;.h hi$-s?i.ed scmrii'~ng m.d EckerIess playback capability in red time. 21 11. . aaartjon rcsa;rdcrs sAaT1 have rime and date insertion c,mahil:!tics for taping whzt is
tPe3~g v i e w ~ 2 ~ by &ply cni~e::: in the system. A min~murrr d o n e video recorder h r c v c ~ e;ghxY;beo c zmct-2:: is required.
r ' . * < .. Rcqulr~d s~.rv w ,iar:i;i=. Stineli:&qr:e sha9 St conducted an?, rtclsrded whir,$ ailows clex, rmcrbstmc:ed vrews in ihe foilowi:~~ - . 3 z a s of the gambling izcili ty:
(1 .) Ovzrel! v i e w n f chi= casino pit area.
(2.) All ga~ing or card table sdaces , including ta3!e bank Ways, with sufiicimt clarity to pornit ibantificatmn of all chips, cash, md cud values, asad 'tb~; outcone of the gas. E,zck g a ~ n g table shali have the capzbility of being viewed by no Iess than two canmas.
(3.) Dice ir, ezps gasi-les, with sufGcien~ clarity to read ebe dice in their stopped position a;ier ~ ~ , c 5 m!!.
14.) Ail rcxlette tables, and wheds, ca;ll.,bie OF being recorded cn a spiit screen to permit views sf both the table arrd the wkcel nrl onc xonitor screzn.
15 .) kaF azas wi:hin csrs3ie~ cages ax-id !moths, inciilding, hlrt sot !imi tee, to, c~lstorner windows, exqAsyee wirtdows, cash ~ P ~ W & T S , var.tIts, sa fcs, counters, chip storzge and 511 W ~ T ~ G W S , Every kaosactior: c ~ c c t ~ i n g within or at 61c 1:ssina cashia cages must be ~~e;:orded with sqf5cieiz: ciasty tc penxi! ~dentificafion L ~ P ci~xcncgr, chips, tokens, Eli slips, g;. a ~ e ~ x n ~ k mployees m:i paems.
5 . A!I en trmc,: anti exit doors tr: the: casico area shall be moni tfrcd by the sumei!ilancc sysf cm if the); are utilized f;3S the movement of uncounted rnoxys, tokens, or chips. Aka, Lxie~:aiors, stairs and loading and unloading areas shall be monitored if they a:: nr;i!ized for thc x o v z m e d of uncoa~r,teJ rnon=ys, chips, or tokens.
.t Aii area? tsvi;i$n a hard csmt mow mcl any area where uncounted coin is storcd during ( ? \ ,
the drop md count process, inckcding wails, doors, scales, wrappins machines, coin sorters: va~dts, safes, gener,~! swhces.
(8.) .&jl areas wit,!ira a soft comt ;-uom, icclilding solid walls, doors, solid ceilings, s i ~ ~ ~ d &mp v:iulls, sa-&s, a;sd c~zanting s-.xhccs which shall bc transparmi.
9 . @vera!l views 9:' patrsns, dealers, spectators and pit persorasl, with ssuf5cient elxi?.? to ~enriit idmtl ficatior, thereof.
{ 2 0.) 1'3vesa31 views of the movement of cash, gaming chips and tokens, drop boxes m d drop buckets.
( 1 I .> All are;is on tlie general casino floor with sufficient cIarjt-++ ?to pmnit idcntificatisn of ail play~rs, ernplnyces, patrons, and spectators.
( 2 T;tsnenevcs Video t3mes o! t-l;lpazce or Slot Machines are ytayed, there shall hr; instralled, mzin:aI.nc and ijpsrated at a!! times a casino r;~nzil:mce s ysrem that possesses the: ca~ahil i ty :Q ~fiarcitoa m d record clezr, ufi~hstsucted vicws o f ihe :d ;:av/ing
(a) Ail Gmbiing Device chagge booth, i~lckding their c a h drawex, counrertops, cnuz~ing rxh ines , customer windojass,d enrp3hsyce t~~irrduws, recorded w i ~ b
s~uEcient c!zriv to ?emit. identificafion of ail amsac tiorns; cash, md papem~o:k <fierein.
Thc Gambiizg Device r.umbem shafi 55 recorded with sufficient cIa?-ity to p m i ~ i t identification cf all players, mplayees, patrons, and sysccCatars.
3. Equipmmj h su5ei: hnce of6 ces. Suwebei!l~nce cifices sh311 be equipped with a rniniy.xt.um of 9x0 12-inch m c ~ ~ c F z c m e vide:, nonitoi-s with ccntrol c&-pb$!ty of my video source ill 'he surveilla~ce sys~em. The f~:Jovring shdl be additional ma~da?ory equipment for [he swveillance cfficc:
{J.) %me ;fid ~ B T C gzne~ators, i f nabr i~ the master survcilimce ~ystm:.
-- \5.) 2 ~:a! o~r.erride sulrveillmce ~ ~ t e a capabilities. Ail c'losecf Grcuit zPseTas shdl be ::qui~pcd tvlrh lenses s f suf5cicn; quality to allow c l d y of the value of gaming chips, :o kzns, m:i 5Iaying c z t i ~ cameras sha!E be czpablc 05 Slack ~.nd white recording
vie-~~ring cxccpi *ose cov&ng exifs znd enmxes cf rbe casino .zrea which ;i:laC 3e caphle of recortiing in c~ lo r .
,-. r,. !.igS?i~lg. Ai!e,qua:e lig3ting sh311 be Drc-csent in all areas of rbe casino and crjunt r9o:ns rr; ecab25: clear video rcprodlic;inn.
5 . Sun;ei?lance cnorn. Ezch suruei!lancc room shal! be able to mcnitc~r md rccmd act+h.es on I5e casino lacor, 613.m; ICC~;;, cashier sages and slot cages. T h e s ~ racrms sha!l havc a ~raiged su~~ei i lance perscn p~esent during casino operation hou~s. The Folliowing we requirements Tor 41.1% opcratioq o; equipment_ js the sxn~ei llmce mom:
( i .) S ~ ~ ~ e i l lame equlymen:. A!1 equip me^ that mzy be ufi:i~,,ed ro :~d~~v~ l i i~ r 31. record V ~ N S
obi>i~.:d by a cesino s~,n,~cii!mce system must remain lncateri in e3e room used euciusively for casino surveiilancc sesz~ify pmyoses, except for eq,uipmer,! which is being rcpair;;d nr rcy!,aced, J'ke entrance 12 the casizo suwsiilancc room shall bc h k e d or sccpnre& at ail t I ! ~ e s
(2. i Ovmide ~a~abi'vity. Caxino s?ri.t..eiiimce equipment must haye total overide; czpsFE!rry over m y o h r sateilies monitorizg equ:iprnmt in otlic~ casinrt offices, with the exccplior! ( 3 f rooms utilized by Tdbal regulatory officials.
(3.) Regulalcry aczcs::. Tribal reqiatory ayoffciak ska:! at a!! 5 ~ ~ s be nro\<ded imcdia::: I ' access ?a casico scir<~;lei limce r:mm and other c a s i ~ n .r ctveiiiance area<. ~ l s r s , %xi
Tribal rep!atory of5cials sh2?? have :mess to alI records arid areas c E such raoms.
(4.) Sum4 Ilarrce logs. Er,try in t'hc log sha'xi be required when requested by Tribal replator officials, urhernever suxrveillanct is conbuc ted on an yonc, or whenever any ac tivjty that zppexrs unus.lal, j r r e p ! ~ , illegal or in violation of Tribal rules is observed. .Also, a31 tclepbme calls shali he logged.
i5.3 Bluepsnts. A copy of the eonfigaeration of the casino flmr shall be posed and undated Immediately, trr>on any chmge. Also included shall be the Iocation of my cfisnqe, md :he location of sunleilialfce cameras, gaming tables an;d slot mz~kjnes by assipe6 rzun-she~s. Copies &all also he madc available aa the so~ms uiilrized by 'Tsbal regulafoq 08'EciZe.
c5.1 Storage md reitlrIcvaf. Surveiillzqce persor~lel wiil be required io iabe! and fiEe 311 videotape recordings, The date, time: artd signature cf ri._e person rndcing the recording sl-iallbs recc>rc?cd AII vid.eot,ape recordings shall be retkscd fcr zt !cast se-Jen (7) d2.y~
, - aRcr recolcfig t.nles~ z longer period is required by a TA2i :eplstay -rigrr.cy G- z cowi order. Original andio layes md oeigina! video tapes shaIi be re!czscd to Tribat :~q~latc:-g {ofCcials w p m den~me.
,,., -, ; 1 .I ~"lnlfursctiogs. ZXch rr,a;-Fslnctior, of srtrveillance equipment must be rep;?rred within %cn%y-f~r?r (24) hurm of the mafiimctlo~?. If, afier twenty-four (24) haws, activiv in I ? e at'fccted are5 c~nnot be monitored, the g m e or machine shall be closed untlT such xverags c ? ~ be pr07:idad. A record o f a!] mzlfimcticsns shail%s kept m d repoe-ted to tits Tiibal regula to~ agmcy on 8 daily basis.
48.) Security. Entry rc the aiinreil2mce room i s lirnitcd to persons ~ppm;.ed by t5e rribst replato~y ?-,q-ccyA .A lc; of y::xonncl entering arrd exiling t3e snrvcill~rlcz rmrn shall i!:: maint;ined and submirted to ?he Tribal regulatory agemy =very (30) days.
'I I . - . G . 3Ysy5zck stafiar.. are;tVS r q u i ~ d to be provided within !hc rooms u?iliztx: by Tribal
r e p l a t q ~ ufficials thar will inc!ude, b ~ t is not limited to, 3 video monitor and a vidm recorder wid1 the capab?Sity of producing first generation videotape copics.
$ 1 .) Audio md videotape rnclnitori-fng, Audio and vidmlape nonitoring will he continsously ;a-vai!ahle in the morns utt lized t y Tribal r e g z l a t o ~ oficials md in secafty detmtion arezs when saraeonf: is 5th:: deta~r~ed. Tkcsz recordings shdl be retake6 k"clrtki.irty (3i)) days after ikie recorded event, ,unless directed otheiwise @ry a Trihd rrr;gla?.tory agency nr a covfi nrder.
(2 ,) Tribal regulatory official access, TfibaS regulztory oficials shall a? all tlzes be pravided immediate access to the suweiEIwce roam a ~ d a!l %ear; of tlqe casino.
(4 .) Casino sumc i!lance system plan. 'She casino slmreiI1xi~ee system pizn must include a casino f ? @ u ~ 71311 that shows the placement of all. casino surveillznce equi~ment k rcjation ic7 %e !ocatiocs required !c be covered a detailed deecriptizsr of the cas i~~o surseiJlance ~y~ te r l l and its equipment.
I Changes in gamc locations. The locatim of r&le games, Gamhlinz Devices md sther gaming devices rfiay be chzvged. The s~weiiimce system rnut also hc adjlxstetl, if nccessay, ro prcwide the ccvmage rsquired by these ruies. The Tribal regdiatory officials shd i zp9rove thc rhaagc in the su~eil!ance system before the relocated labl;: g m e s , Gmbiimg Dcvi>:cs or at24er gaming devices may be placed i n t ~ ~perzticz. change to h e survei!!mce syterr; &owing the change in the location of tab!e games, ambling Devices, cther gming devices znd related security 2nd surveiI1ar.c.e eqx~ipment shall bc: submitted to Wb31 rcrg(u!a~a.ry ;;<5f~iclais.
r . S~~sareillance d u h g nongam5!ling hours. Security su~eilIatn=e "N11 be req~Cre6 izonymbling Sloiirs a Coliows:
( I .) Clemup r5d renovd .":me. ~t a?;/ :!me c l m ~ ~ p a~eraticns ~r money re~novat i s hcing conducted in the cz,l(glo area, $ye sesai ty surveilimce room sllall be staff& ~ i i h a mirimurn of cce traizec! st~veillznce person.
(2.) 1~cke.d down mode. Anytime the casino is closed and In 2 Iocked dowl ,xodc;, sufficie~: stirvcill~~~ce coverase shall be conducted to monitor md record the casinc, ir; general, SG tkzt secilrity h c e k ty is maintained. During this period it is not required that a eained secu+:y ;nw?r-=i!! a w e person be present.
