January 5.2009 

Teri Poust 

Holland & Knight LLP 

633 West Fifth Street, 21 Floor 

Los Angeles, CA 9007 1 -2040 

Fax: (2 13) 896-2450 

Re: Request for Approval of San Manuel Band of Mission Endians 

Ciaming Ordinance 

Dear Ms. Poust: 

This letter responds to your request to the National Indian Gaming Commission 

(NIGC) to review and approve the San ManueI Gaming Act, amended by the General 

Council of the San Manuel Rand of Mission Indians (Tribe) by Resolution No. 2008-46 

on September 9.2008. and reccived by the NIGC on October 14.2008. 

This letter constitutes approval of the Gaming Act under the Indian Gaming 

Regulatory Act (IGRA). It is important to note, however. that approval is granted far 

gaming only on Indian lands. as defined in IGRA, over which the Tribe exercises 

jurisdiction. 

Thank you for submitting the Gaming Act for my review and approval. The 

NIGC staff and I look forward to working with you on future gaming issues. If you have 

any questions regarding this matter please contact Esther Dittter. StatT Attorney. in the 

Ofice of General Counsel at 202-632-7003. 

Chairman 

cc: James Ramos, Tribal Chahan 

Manuel Band of Mission Indians 

MATlONhi HEMQUARTERS 1441 L St. NW. ~~IITP UlW. Waqhingon, DC lOCXl5 Tel 202 632.7007 Fax. 207: 632 7066 wWW.trIGC.GOV 

REGIONAL OFF~CES Ponland. OR. Sacramento. CA. Phoeo!~. AT; ST Paul, MN Sul~a. OK 
Tel 213 Bob 2LOQ 

Fax 213 R9b 2L50 

Hotland & Knrght LLP 

63? Wes! Fjfph Street 21st Floor 

Los Angeles. Ch 90d71-20&0 

wvw hk!aw cam 

Teri Poust 

213 896 2555 

teresa.pous@hklaw.com 

October 13,2008 

VIA UPS 

Chaim~nn Philip N. Hogen 

National Indian Gaming Commission 

1 44 1 L. Street, NW 

Suite 9 1 00 

Washrigton, DC 20005 

Re: San Manuel Gaming Act nf 1989 

Dear Chairman Hogen: 

On behalf of the San Manuel Band of Mission Indians, we submit for your apprnval the 

San Manuel Gaming Act of 1989, most recently amended on September 9,2008. Also included 

is Resolution No. 2008-46, which documents approval of the same by the General Council cf the 

San Manuel Band of Mission Indians. 

Please contact me should you have any questions regarding this matter. 

Sincerely yours, 

,HOLLAND & KNIGHT LLP 

Enclosures 

cc: Armando T. Ramos, Chairman, San Manuel Gaming Commission 

Erin Copeland, Legal Department, San Manuel Band of Mission Indians 

Atlanta Bethesda Boston Chicago Rrt Lauderdah . Jacksonville - tos Angeles 

Miami New York Northern Virginia * Ortando . Portland . San Francisco 

Tallahassee Tampa . Washington. D.C. West Palm Beach 

Beijing . Caracas* Helsinki' . Mexico City Tel AvivC - Tokyo *Representative Ofiice 
San Manuel %and of J ~Xission 17;Eian-s 

em- 

- v 3 0 -- 

Admt ~f sat N"ue2 iltmmg Act 

WEmS, the San Manuel Band of Mission Indians is a federally 

recognized Endiafi tribe [%'ben); 

WHEREAS, the General Council is the ~cogmkd governing My of the 

San Manuel Band of Mission Indians, with the snfiorie nnd xsponsibili@ to 

exercise the powers and privileges of self-government pursuant to the Tribe's 

Mcles of Association, Mcle and other tribal law; 

WHEREAS, the General Council adopted the San Manuel Gaming Act 

(the "Act") on August 3 1, 19 89; 

WHEREAS, the Act was subsequently submitted to the National Indian 

Gaming Coramissiun, Department of interior ('""DAvor revim and approval, 

and was deemed approved; 

WHEmAS, the Act was sub,~ently fiae~ded, 2s appmmd by the 

Department of Interior in 2004; 

WHEREAS, the Tribe's General Council has determined it is in the best 

interests of the ~bal government to further amend the Act. 

NOW THEREFORE, E3E IT RESOLVED, that the Act is amended as 

reflected in the proposed version attached hereto and incorporated herein by 

reference. 

26569 Community Center Drive HghLnd, CA 92346 Ofice: (9gY $64-8933 a Fm: (TOY) '164-33 iO 

T.0. Box266 Tattan! GI 92369 
By a vote of the General Council of the San Manuel Band of Mission 

Indians at a duIy noticed meeting at which a quorum was present, held at 

approximately 12:00 p.m. on September 9, 2008, at the General Council 

Conference Chambers on the San M ia n Reservation, the above-recited 

resolution was passed by following a vote of 12 "fof, 0 

'againsr and 3 abstentions. 

DATED: October 8,2008 
CHAPTER 7. THE SAN MANUEL GAMING ACT OF 1989.' 4!np 

SMTC 7.1 Title % ,. 

/ ?, - 

This Chapter sha1I be known as the "SAN MANUEL GAMING ACT OF 1989, as amended." 

SMTC 7.2 Findings and Bolicv 

7.2.1 This Ordinance is adopted by the General Council of the San Manuel Band of 

Mission Indians ("Tribe"') a federally recognized Indian Tribe, pursuant to its authority under 

the Tribal Articles of Association; for the purpose of establishing the terms for gaming an Tribal 

Lands for Tribal governmental and charitable purposes, and to continue to develop and operate 

such gaming consistent with the findings herein and in conformity with the federd Indian 

Gaming Regulatory Act (25 U.S.C. $2701 et seq. ("IGRA")), and regulations promulgated 

thereunder, and the Tribal-State Gaming Compact with the State of California ("Compact"). 

This Gaming Act and regulations promulgated hereunder shall constitute gaming regulations for 

the Tribe. Based on its experience and observations in connection with sucla gaming and its 

studies of similar experiences by other Indian tribes, the Tribe finds that tribally controlled 

gaming on its resmation is a valuable means of promoting Tribal economic development, selfsufficiency, employment, job training and strong Tribal government. The Tribe further finds that 

when regulated by the Tribe, such gaming can remain free from organized Mime and otl~er 

cormpting influences and can be conducted Fairly and honestIy by both the operaters and the 

players. 

7.2.2 Thc General Council finds that: 

7.2.2.1 Gaming on its Tribal Lands is a valuable means of generating revenues needed to 

promote Tribal self-sufficiency, economic development, employment, job training, and a strong 

Tribal government, and to fund and ensure essential social programs and services; 

7.2.2.2 The Tribe desires to conduct certain forms of gaming to provide needed revenues 

to the Tribe and to repfate and control such gaming in a manner that wiII protect the 

environment; the Tribal Lands; the health, security and general weIfare of the Tribe; the pahons; 

and the community; and 

7.2.2.3 11e Tribe desires to manage and regulate sud~ gaming as authorized under this 

Ordinance in a manner that will adequately address the interests and needs of the Tribe. 

SMTC 7"3 Definitions 

Unless specified otherwise, terms used herein shall have the same meaning as in IGRA, 

including but not limited to references to "Class I," "'Class 11,' and "Class III" gaming. Terms 

shall have the following meanings: 

1 Adopted by the General Council on August 3 1, 19R9 as 89.02. Amended September 19, 1994; May 13, 

1 997; September 28, 1999; November 9, 1999; November 1 1,2003; March 6,2004; and September 9,2008. 
7.5.1 "ApplicabIe Law'' means IGR A and reguIations promulgated thereunder, the 

Compact, this Gaming Act, and all other applicable laws and regulations prornulzated under 

State, Federal, and Tribal law, 

7.3.2 "Applicant" means an individual or entity that applies for a tribal gaming license. 

7.3.3 "Association" means the association of tribal and state garning regulators as 

established under the Compact, the membership of which comprises up te two representatives 

hrn each tribal gaming agency of those tribes with whom the State has a Compact undm IGRA, 

and up to two delegates each from the State Division of Gambling Control and the State 

Gambling Control Commission. 

7.3.4 b6Comrnissioner" means a member of the San Manuel Gaming Commission. 

7.3.5 '6Compact" means any Tribal-State Gaming Compact, including amendments 

thereto, entered into by the Tribe pursuant to lGRA to govern Be conduct of certain Class Ill 

gaming nctivj ties on TribaI Lands. 

7.3.6 "Gaming Act" means the San Manuel Garning Act of 1989, as amended. 

7.3.7 ''Gaming Activities" means any Class I, Class 11, or Class III gaming activity 

authorized undcr this Gaming Act or under the jurisdiction of the Tribe. 

1.3.3 &&Gaming Commission'heans the tribal governmental agency established by the 

Tribe under this Gaming Act to monitor Gaming Activities, investigate wrongdoing, conduct 

background investigations, issuc licenses, and perform other duties as required for the regulation 

of gaming on the Reservation, For the purpose of conducting background investigations of and 

issuing licenses to the Commissioners and Gaming Commission employees, such persons shall 

be deemed to be Kcy Employees under this Gaming Act and shaH be required to pass a 

background investigation and hold a valid gaming license consistent therewith. 

7.3.9 "Gaming Employee" means any person who: (a) operates, maintains, repairs, assists 

in any Gaming Activity, or is in any way responsible for supervising sucl~ Gaming Activities, 

including persons who conduct, operate, account for, or supm.ise any such Gaming Activity; (b) 

is in a category under federal law, the Compact, or tribal gaming law requiring licensing; (c) is 

an employee of thc Gaming Commission or of the Gaming Operation with access to confidential 

or proprietary information; (d) is a person whose employment duties require or authorize access 

to areas of the Gaming Facility that are not accessible to the public; or (c) is a person whose 

employment duties require or authorize access to wnfidenti a1 or proprietary information 

regarding the Gaming Facility where such person may have the ability to alter or rnanipulatc 

such information for iIIicit or unauthorjzcd purposes. 

7.3.1 0 "Gaming Enterprise7'oor "Gaming Operation'hmeans any gaming business, event, 

enterprise or activity conducted by or under thc jurisdiction of the Ttibe. 

7.3.1 1 "Gaming Facility" means any building in which Class 111 gaming activities or 

gaming operations occur, or in which the business records, receipts, or other funds of the Class 

III gaming operation are maintained (but excluding offsite facilities primarily dedicated to 
storage of those records, and financial institutions), and all rooms, buildings. and meas, including 

parking lots and walkways, a principal purpose of which is to serve the activities of the Tribe's 

Gaming Operation. Nothing in this Gaming Act prevents the conduct of Class I1 gaming (as 

defined under IGRA) in the Gaming Facility. 

7.3.12 Warning Resources" means any goods or services provided to or used in connection 

with Gaming Activities, whether excEusiveIy or otherwise, including, but not limit4 to, 

equipment, furniture, gambling devices and ancillary quipmcnt, implements of Gaming 

Activities such as pIaying cards and dice, furniture designed primariIy for Garning Plctivities, 

maintenance or security equipment and services, gaming consulting services, and the like. The 

term shall not include professional accounting or legal services. 

7.3.13 "Gaming Resource Supplier" ot '6Gsrming Contractor'heans any person or entity 

who, directly or indirectly, manufactures, distributes, supplies, vends, leases, or othewise 

purveys Gaming Resources to the Tribe's Gaming Operation, Gaming Enteprisc, or Gaming 

Facility. Tl~e Gaming Commission may exclude a purveyor of equipment or hfurtme that is not 

specifically designed for, and is distributed generally for use other than in connection with 

Gaming Actjvities, if the purveyor is not otherwise a Gaming Resource SuppIicr under the 

Compact, and the compensation received by the purveyor is not grossly disproportionate to the 

value of thc goods or services provided, and the purveyor is not otheswise a person who 

exercises a significant influence over the Gaming Operation. 

7.3. I4 kkGeneral Council" means the governing body of the Tribe. 

7.3.15 "Key Employee" means a person who performs one or more of the following 

functions: bingo calltr; counting room supervisor; chief of security; custodian of gaming 

supplies or cash; floor manager; pit boss; dealer; croupier; approver of credit; or custodian of 

gaming devices, including those persons with access to cash and accounting records within such 

devices. If not ethenvise included, any other person whose total cash compensation is in cxcess 

of $50,000 per year, and the four most highly compensated persons in the Gaming Operation, are 

included in the definition of Key Employee. Key Employee shall also include any employee 

considered a Key Employee under criteria established by the State and the Tribe under the 

Compact, as well as any person whose employment duties require or authorize access to 

confidential or pmprietav information regarding the Gaming Facility where such person may 

have the ability to alter or manipulate such infomation for illicit or unauthorized purposes. At 

the discretion of the Gaming Commission, other positions or persons may be included under the 

definition of Key Employee and are subject to the requirements thereof. 

7.3.16 "National Indian Gaming Commission" or 6LNIGC" means the federal gaming 

commission established under IGRA. 

7-3.17 "Person" means my natural person or entity, including but not limited to 

corporations, partnerships and trusts. 

7.3.18 "Primary Management Official'' means the person who has management 

responsibility for a management contract; any person who has authority to hire and fire 

employees or to set up working policy for the Gaming Operation; or the chief financial officer or 
other person who has financial management responsibility. At the discretion of the Gaming 

Commission, other positions or persons may be included under and be subject to thc 

requirements for Primary Management Officials. 

7.3.1 9 tbRcservation" or "Tribal Lands'' means all lands under the jurisdiction and control 

of the Tribe, including those lands that satisfy the definition of "Indian Iznds" as set forth in 

IGRA. 

7.3.20 "State" means the State of California. 

7.3.21 "State Gaming Agencyn means the entity authorized to investigate, approve, and 

regulate Class Ill gaming licenses pursuant to the Gambling Control Act (Chaptm 5, 

commencing with section 19800, of Division 8 of the Business and Professions Codc). If the 

State fails, under a Compact provision, to designate an agency authorized to investigate, approve, 

and regwlatc gaming licenses, any function othawise assigned to the State Gaming Agency shaIl 

be aswmed by the Gaming Commission until such time as the State establishes and designates 

such an agency, 

7.3.22 "Tribal Court" means any court established by the Tribe under its Judicial Code to 

hear disputes, or if there is none, the General Council. 

SMTC 7.4 Ownership of Gaming 

The Tribe has the sole proprietary interest in and responsibility for the conduct of any Gaming 

Operation authorized by 81is Gaming Act. 

SMTC 7.5 Gaming Commission 

7.5-1 Establishment. The Tribe hereby establishes the San Manuel Gaming Commission to 

be composed of no more than three (3) Commissioners. One (1) Commissioner shall be a 

member of the San Manuel General Council and two (2) Commissioners shall be non-Tribal 

members, A Commissioner may not be an elected official of the Tribe, or employed in any 

Gaming Entaprise or by the Tribe in any other capacity, while serving as a Gaming 

Commissioner. 

7.5-2 Standard of Professional Conduct. A11 Commissioners shall abidc by the foIlowing 

standard of professional conduct: confidentiality, impartiality, fairness. and commitment to 

upholding the reputation of the Tribe for conducting Gaming Activities of the highest integrity 

and honesty. 

7.5.3 Commission Positions. All Gaming Commissioncr positions shaIl be considered to 

be full-time positions, 

7.5.3.1 Elected Commissioncr. One (1) Commissioner shall be a member of the San 

Manuel General CounciI. This Commissioner shall be elected by the General Council using the 

same process applicable to the election of Tribal officers. This elccted Commissioner shall scrve 

for a three (3) year term, which shall be determined from the date of election. This elected 
Commissioner may serve for more than one term if reelected, and may serve past the expiration 

of any tern until replaced or removed. 

7.5.3.2 Appointed Commissioners, Two (2) Commissioners shall be non-Tribal 

members. Thesc Commissioners shall be appointed by the Chairperson and confinned by the 

General Council. These Commissioners may serve until they resign, or untiI they ate rcplaced or 

removed. 

7.5.3.3 Chairperson. It is the goal of the Tribe that the Chairperson be a member of the 

San Manuel Genera1 Council. If, however, no member of the San Manuel General CounciI seeks 

the position of electcd Commissioner, the appoiilted Commissioner who has served the longest 

term as a Commissioner shall assume the position of Chairperson. In the evmt the elected 

Commissioner bas less than five (5) years experience with the Gaming Comrnission, or 

alternatively less than five (5) years of combined gaming management and regulatory 

experience, the appointed Commissioner who has served the longest term as a Commissioner 

shall assume the position of Chairperson. Further, if the Chairperson position becomes vacant 

and stays vacant for more than ninety (90) days, the appointed Commissioner who has served the 

longest term as a Commissioner shall assume the position of Chairpmon. Any time an 

appointed Commissioner assumes the position of Chairperson, they shall remain Chairperson 

until they resign, or until they are rcplaced or removed. 

7.5.3.4 Secretarvmreasurer. At the discretion of the Gaming Commission, a member of 

the San Manuel Gaming Comrnission staff may be designated as SecretaryJTreasuret to the 

Gaming Commission. The Sccretarymremurer to the Commission shall be responsible for 

disbursement of Gaming Comrnission finds in accordance with Tribal govemmenta1 agency 

policies and the Gaming Commission budget. The Comrnissioners and Secreta~yiTrcasuter shall 

approve payment of all goods and services for thc Gaming Comrnission, A11 funds shall be paid 

out from Tribal accounts for the Gaming Commission expenditures and charged against the 

Gaming Commission's approved budget. 'The SeFPetaryfrreasurer to the Commission shall also 

ensure that minutes of all Gaming Commission meetings and all official actions taken by the 

Gming Commission are taken and transcribed within five (5) business days after such meeting 

or action, and that the written records thereof are maintained in accordance with applicable 

document retention policies. 

7.5.3.5 De~utv Commissioners. At the discretion of the Gaming Commission, two (2) 

members of the San Manrrei Gaming Commission staff may bc designated as Deputy 

Commissioners. Deputy Commissioness serve at the pleasure of the Gaming Commission and 

their appointment shall be noticed to the Business Committee. The Deputy Commissioners shall 

assume certain delegated duties and responsibilities as determined by the Gaming Commission. 

7.5.4 Suitability Standards. Gaming Commissioners, Deputy Commissioners and Gaming 

Commission employees must meet or exceed the qualifications established under this Gaming 

Act and the Compact. For the purpose of conducting background investigations of and issuing 

licenses to the Commissioners, Deputy Commissioners and Gaming Commission employees, 

such persons shall be deemed to he Key EmpIoyces under this Gaming Act and shall be required 

to pass a background investigation and hold a valid gaming license consistent therewith, 

including a review of financial, criminal, and employment history, contact with rcferenccs, and 
all other suitability requirements for certification or licensing by the State or the Tribal Gaming 

Commission. 

7.5.5 Backmound Investigation. Background investigations of Gaming Commissioncrs, 

Deputy Commissionms, Tribal rncmber Commission employees and other Gaming Commission 

employees, as designated by the Gaming Commission, shall be conducted by an independent 

investigator or an investigator appointed by the Gaming Commission under the direction of the 

Tribe's attorney and the Gamins Commissioners. The investigator shall conduct an investigation 

sufficient to make a detmination of eligbility as required under this Act and other applicable 

Iaw, This shall include verification of information submitted by the applicant. In conducting the 

backpound investigation, the investigator and the Gaming Commissioners shall maintain as 

confidential the identity of cach person interviewed in the course of the investigation. The 

investigator shall document all potential problem areas noted and any disqualifying information. 

The attorney and/or Gaming Commissioners shall keep thc details of the investigation 

confidential, but the attorney may confer with the investigator or my otlles person experienced in 

conducting or evaluating background investigations provided such othcr person agrees to 

maintain the confidentiality of the information obtained about the appEicant. 

7.5.5.1 The attorney andlvr Gaming Comrnissinners shalt make a determination as to 

whether the suitability standards contained within this Gaming Act have been met, and if so. 

shall cmtify that finding in writing to the Business Committee. 

7.5.5.2 In the event the attorney and/or Gaming Commissioners detcmines there is any 

reason to believe the applicant may not mect the suitability standards contained within this 

Gaming Act, the attorney and/or Gaming Commissioners shall so inform the applicant of that 

determination on a confidential basis. The applicant shall have three (3) business days in which 

to respond, by providing additional information or other reasons why the applicant should be 

deemed suitable. If the attorney andlor Gaming Commissioners still believes the applicant is 

unsuitable, the attorney and/or Gaming Cornmissionws shall so notify the applicant in writing, 

who shall have three (3) business days in which to either withdraw from consideration (in which 

case the file shall be seaIed) or rcquest that the application be reviewed hrther by the attorney 

andlor the Business Committee. In the event of such review, only those items that the attorney 

or Gaming Commissioners believed rendered the applicant unsuitable shall be revealed to the 

Business Committee or attorney by the Gaming Commission andor attorney. The applicant can 

request that any additional information obtained by the attorney bc submitted to the Business 

Comnzittec, and may provide such further information as the Business Committee shall permit. 

Within ten (1 0) days after closing its om review md investigation of such applicant, the 

Business Committee or attorney and/or the Gaming Commissioners shall render a final decision 

as to the applicant's suitability. In the event of issuance of n finding of suitability, the Gaming 

Commission shall issue a Class A license to the applicant. Appeals from thc Business 

Committee decision shall follow the same procedures as appeals from other Iicense denials. 

7.5.5.3 Background investigations of all Gaming Commission employees that arc not 

conduct& by an independent or appointed investigator as provided for above shaII be conducted 

by the appropriate Gaming Commission stafF undcr the direction of the Gaming Commissioncrs, 

unless otherwise provided for by the Gaming Commission. 
7.5.6 Compensation. The salaries for Commissioners shall be approved by the Business 

Com~nittee as part of the mual budget, in conjunction with a recommendation of Human 

Resources. Subject to a budget to be approved on an annual basis by the General Council, 

Commissioners shall be reimbursed for expenses incurred in connection with the performance of 

their duties as Commissioners and in accordance with the budget. Policies with respect to 

reimbursement of expenses shall bc the same as those applicable to other Tribal government 

cmployces. Any Commissioner employed on a full-time basis shall be digible for the same 

fringe benefits as such other full-time Tribal government employees. 

7.5.7 Removal. Cclmmissioness may only be removed from ofice before the expiration of 

their Berm by tlrc General Council for neglect of duty, malfeasance or other good cause shown. 

Removal for cause shall only be under procedures applicable to removal of an elected Tribal 

official. 

7.5.8 Post-Commission Restriction. Unless othmise provided by the Gaming 

Commission, Gaming Cornmissjoners and Commission employees shaII be precluded fm 

consulting or employment in any position with the Tribe's Gaming Activities for a period of no 

less than two (2) years from their date of termination at the Gaming Commission. 

7.5.9 Meetinns. Meetings of the Gaming Commission may be of the following type: 

7.5.9.1 Official Meetinm, Oficial meetings of the Gaming Commission shall be held at 

lcast every other month and shall be called and attended by at least two (2) Gaming 

Commissioners. Notice of official meetings shall be given in writing to each Gaming 

Commissioner at least five (5) business days prior to such meeting. Such notice shall be 

determined to be valid only when written response, whether via electronic mail or some other 

witten medium, is received from each Commissioner. When present, the Chairperson shall 

preside over all official meetings of the Gaming Commission. AIF Commissioners shall be 

notified of the outcome of all official meetings. 

7.5.9.2 Other Meetin~s. Other meetings may be called at my tirnc, by any means, with 

unanimous consent of the Gaming Commissioners. 

7.5.9.3 Executive Session. AII Gaming Commission discussions, deliberations, and votes 

taken regarding specific liccnse applications and dated background investigations, or any other 

investigations, and any other mattes the Gaming Commission deems must hc kept confidential in 

order to preserve the integrity of the Gaming Enterprise or Tribe, or to protect the privacy of thc 

applicant, shall be held in executive session. 

7.5.9.4 Quomm. Two (2) members of the Gaming Commission shall constitute a quorum 

for the purpose of conducting Commission business, provided that nothing herein shaII preclude 

the Chairperson of the Gaming Commission -From conducting Commission business if notice of 

the meeting has been provided in a timely manner reasonably calculated to provide proper notice 

to all Commissioners, and no Commissioner has objected to the mceting. 

7.5.9.5 Voting. AIl actions of the Gaming Commission shall be taken by majority vote of 

Commissioners prcsent. The Commission Chairperson may vote on any issue. 
7.5.9.6 Conflict of Interest. If any Commissioner has a conflict of interest in 

investigating, hewing or deciding a matter to come before the Gaming Commission, such as 

matters involving a mmber of the Commissioner's household or immediate family (parent, 

sibling, child, or spouse), that Commissioner shall recuse himself or herself for that matter. 

When only the Commissioner with a possible conflict is available to sit on the matter before the 

Gaming Commission, that Commissioner shall secuse himself or herself and request that the 

Business Committee sewe as the Gaming Commission only for the purposes of that matter; with 

the exception of licensing matters, in which case the investigation shall be conducted under the 

direction of the Tribe's attorney through the process established in 7.5.5 of this Gaming Act. All 

such matters shall be handled fairly, objectiveIy and impartial1 y. 

7.5.1 0 Personnel and Administrative Policies. The Gaming Commission shall be dmed to 

be an agency of the Tribal government and as such shall be subject to the persome1 and other 

governmental administrative policies of the Tribal government, as the Genaal Council shall 

detmine faom time to time. In the absence of specific personnel policies, those affecting 

management level mnployees of the Gaming Enterprise shall be applied to the operation of thc 

Gaming Commission. The Business Committee shall, in good faith, consider and approve any 

exceptions necessary to tailor such policies to the Gaming Commission. Any Commissioner 

employed on a full-time basis shall agree to be employed in accordance and consistent with 

policies set for other Tribal government employees and to strictly abide by Gaming Commission 

oaths of confidentiality and professi ondi sm in the discharge of their duties. 

7.5.1 1 Gaming Commission Independence. Notwithstanding the fact that the Gaming 

Commission is a Tribal governmental agency and is accountable to the Business Committee, on 

behalf of the General Council, for its administration, in order to maintain independence and 

ensure the highest level of integrity, the Business Committee shall not intmFerc with Gaming 

Commission business w cornpsomisc the Gaming Commission's ability to perform its duties and 

responsibilities as provided for in this Act. The decisions of the Gaming Commission regarding 

licensing, suitability and compliance with Applicable Law shall be within the excIusive province 

of the Gaming Commission, except that the Business Committee may review any allegation that 

thc Gaming Commission has exceeded its authority under this Gaming Act and if it deems the 

allegation to be true, shall refer the allegation to the General Council for action, which may 

include removal of a Commissioner for cause. 

7.5.12 Gaming Commission Funding. The Gaming Commission shall be funded through an 

annual appropriation by the Gcneral Council and such additional funding actions as the General 

Council shall deem necessary. Unjust pressure shall not be placed upon the Gaming 

Commission through the budgeting process. After meeting and conferring with the General 

Council about such appropriation, the Gaming Commission shall prepare a budget. Such budgct 

shall be submitted to the Business Committee no later than sixty (60) days before the end of each 

TsibaI fiscal year. The Business Committee shall, in good faith, act to zpprove the budget. The 

Business Committee may modify the budget where such modification is needed to properIy 

reflect the intent of the Genaal Council. Within five (5) days aficr approval of the budget, funds 

from the Tribe's treasury shall be appropriated for the Gaming Commission's approved budget. 

except that at any time the General Council may prescribe other schedules for disbursing such 

funds. 
7.5.1 2.1 Financial Reports. The Gaming Commission shall maintain its accounts, books 

and records, including records of all income and expenditlrres, in accordance ~4th generally 

accepted accounting principles and consistent with Tribal governmental policies regarding 

management of funds and records. A financial report shaII be rendered by the Gaming 

Com~nissian to the General Council at least quarterly. N1 expenditures shall stay within ten 

percent (1 0%) of the approved budget. 

7.5.12.2 Annual Reports, On or before April 30th of each year, the Gaming Commission 

shall provide to the Business Committee an Annual Report summarizing its activities during the 

prior tweIve (12) month period ending on December 31, and accounting for all receipts and 

disbursements, a copy of which shall be provided by the Business Committee to any Tribal 

member upon his or her request. 

SMTC 7.6 Powers and Duties 

me Gaming Commission shall have the power, duty, and primary responsibility to carry out 

the Tribe's regulatory responsibilities under federal or tribal law and any applicable Compact; to 

enforce those requirements; and to protect the integrity of the Gaming Activities and the 

reputation of the Tribe and the Gaming Operation under provisions to include thc following: 

7.6.1 Conduct on-site gaming regulation and control, and inspect, test internal control 

systems, audit, examine, and monitor the Gaming Facility; prepare reports and monitor 

compliance, including the authority to demand access to and inspect, examine, photocopy and 

audit all papers, hooks and records rdated to the Gaming Facility or Gaming Activitics. 

7.6.2 Investigate any suspicion of wrongdoing in connection with the Gaming Facility or 

Gaming Operation, or related to any Gaming Activity or licensee, including potential licensing 

or internal control violations, or interference with Gaming Commission opcmtions, and require 

correction of violations as the Gaming Commission deems necessary, including establishing and 

imposing fines or ather sanctions against licensees or other persons who interfere with or violate 

the Tribe" gaming regulatory requirements under applicable fcdmal or tribal law or the 

Compact, and by notification to applicable regulatory authorities as deemed necessary for 

violations not corrcctd in a timely manner. 

7.6.3 Conduct, or cause to be conducted, such investigations as may bc necessary to 

determine cornpIiance with applicable laws, including this Gaming Act, or any contracts, 

agreements, goods, services, events, incidents, or ether matters related to Gaming Activities. 

7.6.4 Conduct, or cause to be conducted, background investigations regarding any person 

or entity in any way connccted with any Gaming Activity and/or the Gaming Operation, and 

issue licenses and identification badges to, at minimum, all Key Employees, Primary 

Management Oficials, and Gaming Resource Suppliers according to requirmcnts at Ieast as 

stringent as those estab1ished in 25 C.F.R. Parts 556 and 558; provided no Commissioner shall 

provide any personal endorsement, recommendation or other support for an applicant, in 

accordance with this Gaming Act and the Compact. 
7.6.5 Administer oaths or affirmations to witnesses appearing before the Gaming 

Commission; hold hearings, sit and act at such times and places, summon persons on Tribal 

Lands to attcnd and testify at such hearings, take testimony, and receivc such evidence as the 

Gaming Commission deems reIevant to fulfill its duties. 

7.6.6 Execute agreements necessary to receive comprehensive criminal history and other 

background investigation information from ather jurisdictions and sources. 

7.6.7 Imp1 ement and administer a system for investigating, licensing (including license 

issuance, renewal, denial, and revocation), and monitoring for the Gaming Facility. employees, 

Gaming Contractors, vendors, suppliers, investors, and others connected with Gaming Activities, 

as described below, including the licensing of Gaming Facilities, individuaIs and entities as 

required under this Gaming Act, IGRA, or any applicable Compact. 

7.6.8 Ensure, monitor, and direct inspections of Gaming Facilities by qualified building and 

safety experts in order to comply with the Tribe's building and safety codes; provide reports as 

requested to the State if applicable under the Compact; review reports; and issue a certificate of 

occupancy to the Gaming Facility. 

7.6.9 Provide a copy of each Gaming Facility license and renewals thmeof to the NIGC, 

including, at minimum: the Tribe's name; name and address of the Gaming Facility; type of 

gaming allowed; effective date- of license; the signature of the tribal oficial responsible for 

issuing the license; and the name and phone numbm of the Gaming Commission. 

7.6.1 0 Hear and resolve disputes against the Gaming Facility or Gaming Operation, in 

accordance with procedures established in this Gaming Act and the Tort Liability Ordinance, 

consistent with the Compact. 

7.6.11 Hire staff and support services as deemed necessary, subject to the Gaming 

Commission budget approved by the Business Committee. 

7.6.12 To the extent required, cornpl y with any reporting requirements established undcr this 

Gaming Act, the Compact, TGRA and regulations promulgated thereunder, and other applicable 

law. 

7.6.13 DeveIop necessary documentation and protocols, and establish joint cooperative 

working relationships with federaI, state, and local jurisdictions as necessary to assf st in ensuring 

the effective regulation of the Tribe's Gaming Activities. 

7.6.14 Implement appropriate rules, regulations, and procedures to ensure the effective 

enforcement of the provisions of this Gaming Act, including but not limited to: 

7.6.14.1 Protect the physical safety of gaming patrons, mpioyccs, and others in the 

Gaming Facility; 

3.6.14.2 Ensure the physical safeguarding of assets transported to, within, and From the 

Gaming Facility; 
7.6.14.3 Prevent illegal activity in the Gaming Facility or Gaming Operation through: 

7.6.14.3.1 Maintenance of employee procedures and a surveillance systcm in accordance 

with industry standards; 

7.6.14.3.2 Maintenance of detailed and permanent records of all occurrences and 

incidents in the Gaming Facility that deviate from normal operating policies and procedures; 

7.6.14.3.3 Establishment of employee procedures to detect thcft, cheating and fraud; 

7.6.14.3.4 Development of an exclusion policy that indudes a right to a hearing md 

requires maintenance of a list of persons barred from the Gaming Facility; 

7.6.14.3.5 Conduct of an annual CPA audit; 

7.6.14.3.6 Approval of all game rules and regulations; 

7.6.14.3.7 Establish and impose license fees, sanctions, fines, and conditions as 

appropriate under applicable law; 

7.6.1 4.3.8 Investigate and ensure compliance with any requirements for tribal ownership, 

management, and control of thc Gaming Facility and Gaming Operation, as set forth in 

applicable Iaw; 

7.6.14.3.9 Investigate and ensure compliance with age restrictions for patrons including 

provisions prohibiting minors in the Gaming Facility and age limits on service of alcoholic 

beverages as provided under appIicable law; 

7.6.14.3.10 Carry out any requirements under tribal or federal law or Compact for the 

protection of the heaIth and safety of Gaming Facility patrons, pests, and employees, including 

requirements that the Gaming Facilities meet building and safety wdes duly adopted by the 

Tribe; and 

7.6.14.3.1 1 Approval of Gaming Facility floor plans, closed-circuit television system, and 

cashier's cage, minimum staffing and supervisoy requirements, and technical standards for 

gaming device operations. 

7.6.15 Ensure garning devices are not transportal to or fiorn the Tribal Lands exccpt in 

accordance with procedures established by an agreement behveen the Gaming Commission and 

the Statc Gaming Agency, The agreement shaII rcquire at least ten (1 0) days notice to the county 

sheriff, and transportation only to specific destinations for specific puvoses as established in the 

agrcmnmt and the Compact. 

7.6.16 Promulgate rules for each Class I, Class II or Class 111 game alIowed under this 

Gaming Act to govern the conduct of such games. 
7.6.1 7 Comply with a tribal conflict of interest policy to ensure that Commissioners are free 

from corruption, undue influence, compromise, and conflicting interests in the conduct of their 

business. 

7.6.18 For Class I1 gaming, adopt, approve, and enforce gaming reguIatory standards no less 

sbingrmt than the Minimum Internal Control Standards promulgated by the National Indian 

Gaming Commission. For Class 111 gaming, adopt, approve, and enforce gaming regulatory 

standards no less stringent than the Minimum Internal Control Standards promulgated by thc 

National Indian Gaming Commission as they existed on October ! 9, 2006, or as required under 

the Compact. 

7.6.19 Carny out such other duties with respect to the regulation of Gaming Activities on 

Tribal Lands as required under Applicable Law, including this Gaming Act, IGRA, and the 

Compact, and as the General Council shall direct. 

7.6.20 Carry out such other duties as assigned by the Business Committee of the Tribe, 

regadless of whether such duties relate to the regulation of Gaming Activities on Tribal Lands. 

Such assignment shall be made through appropriate policy or procedure in order to capitalize 

upon certain expertise of the Gaming Commission. 

SMTC 7.7 Enforcement 

In the event it is determined that a licensee or the Gaming Enterprise has violated Applicable 

Law, including any internal control procedures or policy of the Gaming Enterprise, a written 

report of such incident shaII immediately be made to the Gaming Commission. The Commission 

shall then determine what action should be taken, if any. If action is required, the Commission 

shall issue a citation to the Gaming Enterprise, notifying it of the specific violation(s) or issues, 

measures which must be taken for correction, and a reasonable time limit in view of all the 

circumstances in which such action must be taken. Copies or any such citation shall 

simultaneously be served on the Business Committee of the Tribe. The Commission may 

enforce such citations by: [a) suspending or revoking the licenses of any persons found to havc 

violated Applicable Law; or (b} such lesser penalty or other remedy as the Commission shall 

determine, including the imposition of fines or sanctions. Nothing herein shaIl prevent or 

prohihit the Gaming Commission from seeking compliance assistance from local, federal, or 

state gaming or law enforcement agencies, the Bureau of Indian Affairs, or the National Indian 

Gaming Commission, particularly but not limited to any instance in which the Gaming 

Enterprise and the Gmeral Council have failed to correct a violation of Applicable Law. 

SMTC 7.8 Permitted Gaming Activities: Regulatian of Gaming Activities 

7.8.1 'Unauthorized Gaming Prohibited. All Gaming Activities on Tribal Lands are 

prohihitd except as expressly permitted under this Gaming Act. 

7.8.1.1 Class I Gaming. Class I Gaming Activities are hereby permitted to the extent 

consistent with Tribal custom and practice and provided the General Council is given at least 

seven (7) days prior notice in writing of any intention to engagc in such gaming. The Gencral 

Council may prohibit any conduct that is claimed to be Class I gaming if the Council finds that 

7-1 2 
such conduct is not in accordance with Tribal customs or practices or violates TGRA or any other 

law. 

7.8.1.2 Class I1 and Class III Gaming. Class I1 and Class III gaming on Tribal Lands are 

hercby authorized as permitted undcr Applicable Law, provided the Tribe has the sole 

proprietary interest in and responsibility for the conduct of any Gaming Operation. The Tribe 

also reserves the right to contract with and license a person or entity to own, operate, or rnanagc 

the Gaming Operation pursuant to the provisions of IGRA m as otherwise permifled by law. 

Nothing herein shall prohibit the Tribe from engaging the services of non-tribal persons as 

employees or engaging any person or entity to assist the Tribe in the management of a Gaming 

Activity pursuant to a management agreement entered into under the provisions of ERA or any 

other applicable law. Class 111 gaming shalI be conducted in accordance with 8 Compact, or any 

alternative thereto as provided by IGRA. 

SMTC 7.9 Use of Gaming Revenues 

7.9.1 Except as provided for under the tms of an agreement pursuant to the provisions of 

IGRA or as otherwise permitted by law, all net revenues generated from any Class I1 or Class III 

Gaming Activity are the property of the Tribe. Nct revenues from Class I1 and Class PI1 Gaming 

Activities shall only be used for the following purposes: 

7.9.1.1 To fund tribal government operations or programs; 

7.9.1 "2 To provide for the general welfare of the Tribe and its members; 

7.9.1.3 To promote economic development for the Tribe; 

7.9.1.5 To help fund operations of local governmental agencies. 

7.9.2 Except for rights to per capita payments, if any, or as set forth below, no Tribal 

member shall have any interest or expectation in any funds generated by any Gaming Activity. 

Ail such fi~nds are deemed Tribal funds only and are and shall remain the property of the Tribe 

until disbursed, if at all, from the general treasury. The General Council shaI1 retain the sole 

discretion as to how such funds are utilized, and once becoming part of the treasury such funds 

shall losc any identity as gaming revenues except to the extent necessary to identi@ thm as such 

for accounting purposes or to comply with applicabIe law, Notwithstanding anything herein to 

the CQIItmY, if the Tribe elects at any timc to make per capita payments to the rnmhers, it shall 

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

under 25 U.S.C. 9 2710(b)(3). Payments out of general treasury funds to tribal members under 

other tribal programs, including those relating to health, welfare, education. eIderly care, and 

housing, shall not be deemed to be ''per capita" payments when such funds are paid hrn the 

Tribe's general treasury. 
- SMTC 7.10 Operation of Gaming Establishments 

7.10.1 Gaming Facilitv License. Except to the extent authorized by an agreement pursuant 

to the provisions of IGRA or as otherwise permitted by Taw, Gaming Activities shall only be 

conducted in tribally owned, operated and licensed Gaming Facilities pursuant to the provisions 

of this Gaming Act, the Compact and other applicable law. Such activities shall be conducted in 

accordance with the terms and conditions of the license issued to the Gaming Facility by the 

Gaming Commission prior to the conduct of any Gaming Activities therein. 

7.10.1.1 Before Gaming Activities can be conducted in any Gaming FaciIfty, the Gaming 

Commission shall inspect and Iicense each Gaming Facility in accordance with this Gaming Act, 

the Compact and other applicable law. The Gaming Commission shall also determine and 

certifir that the Gaming Facility and any new Gaming Facility construction meets the Tribe's 

building and safety codes, and any applicable federal or Compact requirements, and issue a 

certificate of occupancy to the Gaming Facility as required under the Compact. 

7.10.1.2 The Gaming Facility license shall identify: the name and address of the Gaming 

Facility; type of gaming allowed; effective date of the license; name and telephone number of the 

Gaming Commission; and such other matters as the Gaming Commission may deem necessary to 

the conduct of Gaming Activities therein, or as may be required under a Compact or other 

applicabIe law. 

7.10.2 Protection of Environment and Public. The construction and maintenance of my 

Gaming Facility, and the operation of Gaming Activities therein, shall be conducted in a manner 

which adequately protects the environment and the public health and safety, in compliance with 

any standards required under tribal and federal law, and the Compact. 

7.18.3 Dispute Resolution. Patrons who have complaints against the Gaming Facility or 

Gaming Operation shall have the right to remedies provided in the Tribe's Tort Liability 

Ordinance. 

- SMTC 7,ll Audits 

7.1 1.1 Annual Audit. The Gaming Commission shall ensure the engagement of a 

recognized independent accounting firm to conduct an annual audit of the Tribe's Class I1 and 

Class 111 Gaming Operations. 

7.1 1.2 Contract Review and Audit. Each gaming related contract for supplies, services, or 

concessions that results in purchases of more than $25,000 annually (except contracts for 

professional legal or accounting services) relating to Class I1 or Class III gaming on the Tribal 

Lands shall be included in the independent audits. At least three (3) bids shall be required before 

any contract may be executed for goods or services in connection with any Gaming Activity for 

an amount in excess of $25,000 or to be performed over a period of more than twenty (20) days. 

The General Council may waive the requirement of three (3) bids upon good cause shown. MI 

proposals for bids as well as all bids received may be reviewed at the discretion of the Gaming 

Commission. The Gaming Commission shall receive a copy of all Gaming-Related Contracts for 
an mount in excess of $10,000 for filing and possible review. To the extent possible, the Tribe 

will approve the lowest responsive and qualified bid. 

7.1 1.3 Rmorting Audit Results. The Tribe shall make available the results of each annual 

audit to the Tribe's General Council within thirty (30) days of completion of the audit. Tile 

Tribe shall provide audit results to the NlGC to the extent required and as otherwise required 

under applicable law. 

SMTC 7.12 Gaming Licenses 

7.12.1 Licensing Procedure. The Tribe's Gaming Licensing procedure shall be administered 

through the Gaming Commission. The program shall be an investigative licensing process undcr 

which all applicants for Class II and Class III gaming licenses arc evaiuatcd against the standards 

set forth in, and subject to, thc following applicable laws: 

7.12.1.1 The Gaming Act and any gaming regulations promulgated thereunder; 

7.1 2.1 "2 IGRA and NIGC regulations; 

7.12.4 -3 Compact requirements, to the extent applicable; and 

7.12.1.4 Any other applicable tribal, federal, or state laws, 

7.12.2 Licensine Policv and Resuirements. It is the policy of the Tribe that all Gaming 

Activities be licensed and ccmtrolled so as to protect the morals, good order and welfare of tribaI 

members and other persons on Tribal Lands, and to preserve the honesty, fairness and integrity 

of such Gaming Activities. Accordingly, no person shall engage in any Class 11 or CIass TI1 

Gaming Activities on Tribal Lands without a valid Iicense issued by the Gaming Commission. 

7.1 2.3 gamin^ Liccnse is a Privile~c. Any gaming Iicense or finding of suitability issued by 

the Gaming Commission shall be deemed a privilege, and is subject to suspcnsion or revocation 

at any time. No license or Iicense renewal sl~all be issued that would place the Tribe in violation 

of Applicable Law. A gaming license or finding of suitability is subject to renewaI at least every 

two (2) years. 

7.1 2.4 Burdcn on Applicant. Thc burden of proving an applicant's qualifications to receive 

a Iicense hereunder is at all times on the applicant. Applicants must accept any risk of adverse 

public notice, embarrassment or other action that may result from the application process and 

expressly waive any claim for damages as a result thereof. 

7.12.5 Applicant Claim of Privilege. An applicant may cIaim any privilege afforded by law 

in connection with a gaming license application or investigation, but a claim of privilege with 

respect to any testimony or evidence pertaining thereto may constitute suficient grounds for 

denial, suspension or revocation. 

7. t 2.6 Release of Infomation. Persons applying for a license shall agree to release all 

infomation necessary in order for the Gaming Commission and any applicable federa1 or state 

entity to complete thcir suitability dctcrmination. Applicants must update all such information 

7-15 
promptly on an on-going basis, and to furnish such information as may be required by the State 

Gaming Agency, or such other governmental agency as may be required by law, 

7.1 2.7 Tmes of Licenses. 

7.12.7.1 Class A License. Before permitting any person to become associated with any 

Gaming Activity as an investor or other person owning or controlling 1 OOh or more interest in 

any management entity. or any Primary Management Official, Key Etnployee, a gaming related 

position designated by the Gaming Commission as requiring a Class A license, closely 

associated independent contractor, or other individual or entity with influence over thc 

management or operation of the gaming, or a Gaming Employee, such person shall obtain a 

Class A license. The Gaming Commission shall conduct or cause to be conducted a background 

investigation to determine if such person has: 

7.1 2.7.1.1 Any criminal record or any reputation, prior activities, habits or associations 

which might pose a threat to thc public interest or to the effective replation of gaming; or 

7. E 2.7.1.2 Anything else in hisher background that might creatc or enhance the dangers 

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

7.12.7.1 -3 Those who at any time do not meet the above qualifications shall be denied a 

Class A license, or in the case of an existing license, the Iicense may be revokd. 

7.12.7.2 CIass I3 License. Pmons not identified as requiring a Class A License, but whom 

are to be employed at a Gaming Facility on Tribal Lands in another capacity, such as in 

non-gaming rdated activities, shall be required to obtain no less than a Class B Iicense from the 

Gaming Commission. Such persons must establish that they have not been convicted of certain 

crimes or engaged in any activity which the Gaming Commission in its sole discretion deems to 

render such person a danger to the safety or integrity of the Gaming Activities, or to the safety 

and security of the Tribe, property of the Tribe, any Tribal member, any Gaming Employee or 

patron, or the public. 

7.12.7.3 Class C License. Minors empIoyed in non-gaming activities at the Reservation 

may be issued a Class C license, provided that such minors are not deemed by the Gaming 

Commission to pose any threat to the safety or integrity of Gaming Activities or the safety or 

pmpdy of the Tribe, any Tribal member, any Gaming Employee or patron, or the public. Such 

license shall be valid for no more than two (2) years. Minors shall not be employed as dealers or 

otherwise to operate or supervise the Gaming Activities, or to serve liquor. 

7,12.7.4 Gaming Resource Supplier. Gaming Resource Suppliers must meet all tribal and 

state licensing and suitability requircrnents. Any Gaming Resource Supplier who, directly or 

indirectly, provides, has provided, or is deemed likely to provide at least twenty-five thousand 

($25,000) in Gaming Resources in any 12-month period, or who has received at least twenty-five 

thousand dollars ($25,0001 in any consecutive I 2-month period within the 24-month period 

immediately preceding application, shall be licensed by the Gaming Commission prior to the 

sale, lease, or distribution, or firher sale, lease, or distribution, of any such Gaming Resources 

to or in connection with the Tribe's Gaming Operation or Gaming Facility. The Gaming 
Resource Supplier license must be renewed at least every two (2) years. The Tribe shall not 

enter into any contract or agreement that would require licensing if the Gaming Resource 

Supplier has been denied a license or is deemed unsuitable, or the license or suitability 

detmination has expired without renewal. 

7.12.7.5 Union License. Any labor union, including its management and representatives, 

seeking to represent any Gaming Employees must first appIy for and be deemed suitable to 

obtain a license under standards and licensing requirements estabIished by the Gaming 

Commission. 

7.12.7.6 Vendor License. Vendors providing other goods or services, and those providing 

gaming related goads or services valued at less than $25,000 in a 12-month period, may also be 

required to obtain a license from the Gaming Commission prior to doing business with the 

Tribe's Gaming Operation. Vendors who are deemed not to be Gaming Resource Suppliers or 

who provide on1 y non-gaming related goods or services 20 the Tribal Gaming Operation shall, at 

minimum, complete a short form application and quaIify for n vendor license issued by the 

Gaming Commission. Such license must be renewed at least every two (23 years and the 

Gaming Commission may require additional information or licensing at any time. 

7.12.7.7 Temporary or Provisional Licenses. Pending completion of an investigation for a 

license, the Gaming Commission may issue a tcrnpomry or provisional license of no more than 

ninety (90) days duration if, in its sole discretion, it deems such issuance appropriate, and may 

grant an extension of such a license if necessary to complete the investigation or to obtain the 

results from fingerprint cards. Such Iicenses shall permit the licensee to engage in such activities 

pursuant to such terms and conditions as the Gaming Commission may specify. Temporary or 

provisional lfcenscs shall expire ninety (90) days from date of issuance, upon issuance of a 

rcgular license, or until a specified expiration date. 

7.1 2.8 State Gamin.. Agency. Class I11 Gaming Employecs, Gaming Resource Suppliers, 

gaming rnanagmnent and investors may further be subject to Statc Gaming Agency investigation 

and suitabiIity requirements, including issuance of a license or certification of suitability, under 

the Compact. 

7.12.9 Drug andor Alcohol Testing. The Gaming Commission reserves the right to require 

drug and/or alcohol testing for any license appIicant or licensees at any time. 

7.12. T 0 License Investigations. The Gaming Commission may employ all reasonable means, 

including engaging outside scrvices and investigators and holding hearings, to acquire the 

information necessary to determine whether or not a license should be issued. Applicants shall 

agree to release all information necessary in order for the Gaming Commission to achieve its 

goals under this Gaming Act and to furnish such information to the NIGC, the State Gaming 

Agency, or other agencies is may be required by Applicable Law. 

7.1 2. I 1 License Renewal. A11 licenses shaII be subject to renewal at least every two (2) years, 

and more frequentIy if so required by the Gaming Commission or other applicable law. Such 

Iicenses may be revoked or suspended upon the occurrence of any act which, if known during the 

application process, would have tended to disqualify such pason or entity for such a Iicensc. 
7.12.12 License Fees. Unless specifically waived by the Gaming Commission, all persons 

applying for a license shall be required to pay all applicable license fees and costs when due, 

including a reasonable deposit for costs that may be incurred in connection with the license 

application. Estimates of licensing costs will be provided to applicants upon reasonable requcst. 

All fees and costs must be received by the Gaming Commission prior to issuance of the license, 

unless the Tribe or the Gaming Operation has agreed to reimburse the Gaming Commission 

directly for all or part of such fees and costs. 

7.12.1 3 Standards. All persons engaged by or associated with any Gaming Activity on TribaI 

Lmds shall conduct themselves with honesty, integrity, and with such decorum and manners as 

necessary to reflect positively on the Tribe, its members and the Gaming Activities. Any failure 

to abide by such standards, or any violation of a rule, regulation, law, custom or tradition of the 

Tribe, the Gaming Commission, or the Gaming Operation, or with the terms or conditions of the 

liccnse, may be grounds for immediate suspension or revocation of any license issued hereunder. 

3.12.14 Backmound Investigations. 

7.12.14.1 Thc Gaming Commission shall request from each Primary Management Oftjcial, 

Key Employee, and any other applicant for a CIass A license, unless provided othmulise by the 

Gaming Commission consistent with Applicable Law, all of the information specified in 

subsections 7.12.14.1.1 through 7.1 2.14,l. 14 below, as well as any other information required on 

the gaming Iicense application. The Gaming Commission resenres the right, at any time, to 

request additional information during or subsequent to any background investigation. 

7.1 2.1 4.1.1 Full name, other names used [oral or written), socia1 security number(s), date 

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

7.12.14.1.2 Currently and for at lcast the previous ten (10) years: business and 

employment positions held, ownership interests in those businesses, business and residence 

addresses and drivers license number(s1; 

7.1 2.14.1.3 Names and current addresses of at least three (3) personal references (who are 

not related to or living in the same household with applicant), including one personal reference 

who was acquainted with the applicant during each period of residence as listed under subsection 

7.12.14.1,2 above; 

7.12.14. h .4 Current business and residence telephone numbers; 

7.12.1 4. E .5 A description of any existing and previous business relationships with the 

gaming industry generally, including ~wnership interests in thosc businesses; 

7.1 2.1 4.1 -6 A description of any existing and previous business relationships with Indian 

tribes, including ownership interests in those businesses; 

7.1 2.14.1.7 Name and address of any licensing or regulatory agency with which the 

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

license or permit was granted; 
7.12.14.1.8 For each felony for which there is m on-going prosecution or a conviction: 

thc charge, the name and address of the cowt involved, and thc date and disposition, if any, of 

the case; 

7.12.14.1.9 For each misdemeanor conviction or on-going misdemeanor prosecution 

(excluding minor traffic violations) within ten (1 0) years of the date of the application: the namc 

and address of the court involved, and the date and disposition, if any, of the castse; 

7.12.14.1.10 For cach criminal charge (excluding minor traRc charges) that you have 

ever received, whether or not there is or was a conviction, if such criminal charge is within tcn 

(1 0) years of the date of the application and is not otherwise listed above pursuant to subsections 

7.12.1 4.1.8 or 7.12.14.1.9 above: the criminal charge, the name md address of the court involved 

and the date and disposition, if any, of the case; 

7.1 2. P 4.1. P 1 Name and address of any licensing or regulatory agency (federal, tribal, 

state, local or foreign) with which the person has filed an application for an occupational license 

or permit, whether or not such license or permit was granted; 

7.12.14.1.12 Current photograph; 

7.12.14.1.1 3 Any other information the Tribe or Gaming Commission dcems rdevant; 

and 

7.12.14.1.14 Fingerprints consistent with procedures adopted by thc Gaming Commission 

according to 25 C.F.R. 8 522.21h) and, as applicable, fingerprints to be processed through the 

State Gaming Agency. 

7.12.15 Investigation Process. Thc Gaming Commission shall conduct or cause to be 

conducted, an investigation sufficient to make a determination of eligibility as required under 

this Gaming Act and other Applicable Law. This shall include verification of information 

submitted by the applicant. The Gaming Commission shall document all potential prob!em arcas 

noted md any disqualifying information. In conducting the background investigation, the 

Gaming Commission and its agents shall promise to keep confidential the identity of each person 

intmiewed in the course of the investigation. 

7.12.1 6 Fingerprints. The Gaming Commission shaII cause fingerprints to be taken and 

forwarded to the NlGC and to the State Gaming Agency, as applicable, consistent with all 

applicable Iaws and the Compact, Fingerprints shall be processed through the FBI andlor ather 

available state sources as applicable to deternine the applicant's criminal history, if any. 

7.12.17 EEiffjbilitv Determination. The Gaming Commission shall review a person's prior 

activities, crirninal record, if any, and reputation, habits and associations to make a finding 

concerning the eligibility of a Key Employee or Primary Management Official for employment 

in the Gaming Opmation. If the Gaming Commission, in applying the standards adopted herein, 

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

replation of gaming, or creates or enhances dangers of unsuitable, unfair, or illegal practices 

and methods and activj ties in the conduct of gaming, the Gaming Operation shall not employ that 
person in a Key Employee or Primary Management Official position or in any other position for 

which a Class A license is required. 

7.12,. 1 8 Forwarding Licensing A~plications and Reports to NIGC. 

7.12.1 8.1 Unless otherwise provided by the NIGC, on or before the date any Key Employee 

or Primary Management Official is employed by a Gaming Operation authorized under this, the 

Gaming Commission shall forward to the NIGC the person's completed application for 

employment containing the information requirsd under Section 7.12. I4 of this Gaming Act. 

7.12.1 8.2 Prior to issuing a license to a Primary Management Off~cii or Key Employee, the 

Gaming Commission shall fornard to the NIGC, together with a copy of the eligibility 

determination made under Section 7.12.17 above, an investigative report on each background 

investigation. The investigative report on each background investigation shall be forwarded to 

the NTGC within sixty (60) days after the employee begins work. The Gaming Operation shall 

not employ or continue to employ any person as a Key Employee or Primary Management 

OfficiaI who does not have a license within ninety (90) days of beginning work. The 

investigative report shall include the following information: 

7.1 2.1 8.2.1 Steps taken in conducting a background investigation; 

7.12.18.2.2 Results obtained; 

7.12.18.2.3 Conclusionsreached; and 

7.12.1 8.2.4 The basis for those conclusions. 

7.12.1 8.3 The Gaming Commission shall provide to the NIGC or other applicable agency, 

any other reports and information required by IGRA and regulations promulgated thereunder. 

Further, with respect to Key Employees and Primary Management Offici a1 s, the Gaming 

Commission shalt retain applications for employment and reports (if any) of background 

investigations for inspection by the NIGC for no less than three (3) years from the date of 

termination of employment. 

7.12.18.4 If a license is not issued to an applicant, or the license is granted and later 

revoked, the Gaming Commission shall notify the NIGC and may forward copies of its eligibility 

determination and investigative report (if any) to the NIGC for inclusion in the Indian Gaming 

Individuals Records System. 

7.12.19 Granting a Gaming License. 

7.1 2.19.1 If, within a thirty (30) day period after the NIGC receives a report as required 

above., the NIGC notifies the Gaming Commission that it has no objection to the issuance of a 

license pursuant to the license application filed for a Key Employee or Primary Management 

Official for whom the Gaming Commission has provided an application and investigative report, 

the Gaming Commission may issue the license. 
7.12.1 9.2 The Gaming Commission shall provide any additional information requested by 

the NIGC concerning a Key Employee or Primary Management Official who is the subject of a 

report as required under this subsection. An NIGC request for additional information shall 

suspend the thirty (30) day period established above until the NlGC receives the additional 

information. 

7.12.19.3 If, within the thirty (30) day period established above, the Tu'iGC provides a 

statement itemizing objections to isst~znce nf a license tc a Key Errp?~yee 9: DAmm-~ l lir~lu~y 

Management Official, the Gaming Commission shall reconsider the application, taking into 

account such objections. The Gaming Commission retains the right tn make ?he find 

deternnination whether to issue the license to such applicant. 

7.12.20 Denial of gamin^ License, Applicants who are denied a license must wait for at least 

two (2) years before they may reapply for a gaming license. 

7.1 2:.2 1 License Suspension, Hearing and Appeal. 

7.12.21.1 If, after issuing a gaming license, the Gaming Commission receives reliable 

information from the NIGC or other reliable source indicating that a Key Employee, Primary 

Management Official, or any other hholda of a gaming license is not eligible for employment or 

to continue to hold the license under the eligibiIity criteria established above, the Gaming 

Commission shall suspend the license and notify the licensee in writing of the license suspension 

and proposed revocation. 

7.12.2 1.2 The Gaming Commission shall notify the licensee of a time and place for a 

hearing on the proposed revocation of a license at which hearing the licensee shall be permitted 

to address the concerns of the Gaming Commission. Revocation hearings shall be conducted by 

the Deputy Commissioners unless such positions are not filled in which case they shall be 

conducted by the Gaming Commissioners. 

7.12.2 1.3 After the revocation hearing, the Gaming Commission shall determine whether to 

revoke or to reinstate the gaming license. For actions taken in response to information provided 

by the NIGC, the Gaming Commission shall noti@ the NIGC of its decision. 

7.12.21.4 Within fifteen (15) days of receipt of written notice of, or thirty (30) days 

following issuance of, a decision or order of the Gaming Commission, such as the one issued in 

accordance with subsection 7.12.21.3, whichever first occurs, any party who is the subject of 

such decision or order may file a petition for reconsideration with the Gaming Commission. 

Upon receipt of a timely filed petition for reconsideration, the Gaming Commission skaII within 

thirty (30) days thereafter either set the matter for hearing or issue an order thereon. No 

Commissioner shall provide any persona1 endorsement, recommendation or other support for an 

applicant in connection with such reconsideration or appeal. No license shall be issued or held 

unless consistent with NIGC, state and tribal suitability requirements. 

7.12.22 Effect of Compact. Notwithstanding anything in this Gaming Act to the contrary, any 

licensing procedures required under the Compact shall be implemented as provided therein, and 

the Gaming Commission may adopt regulations integrating such procedures with the foregoing. 
SMTC 7.13 Application Farms 

7.13.1 Notices. Each application form for a Key Employee or a Primary Management 

Oficial, as well as for all other Class A license applicants, unless otherwise specifically 

exempted by the Gaming Commission consistent with applicabIe law, shall contain the notices 

sct forth in subsections 7.13.1.1 and 7.13.1.2 below: 

7.1 3. I .1 Privacy Act Notice. 

In compliance with the Privacy Act of 1974, the following icfomntion is provid~d: 

Soliciintion qf iJte infomotion on fhis,fim is alitlzorized by 25 U.S.C. $' 2701 PI seq. TJle 

ptirpose qf tljc reque.rred itformntion is fo determine tlze eligibili@ qf inclividrtafs ro be emp/o.ycd 

in a gaming operation, The in for mar ion will be used by the Savr Manzrel Rand q f Mission Indians 

and the Nurional Iadian Gaming Commission members and staff who have need .for fJle 

information in EIZE perfomncs qf heir official dtrties. Tlze i~ftrmation rnqy be disclas~d $0 

nppreprifife federal, tribal, srare, Ilocnl, or foreign law enforccment and regtila toy agenci~s 

when relevnn! f o civil, criminal or reflrlntory invesligalions or proseculions or when ptrr.~ttunt to 

a reqtlirement by a Tribe or tlze National Indian Gaming Commission in comtectiopr with ~Jte 

hiring or-firing ofan employee, the issuance or re~~oc.ation of a gaming liccnse, or invesfigutions 

qf activities ~r.Jrile associaled 14dtIr a Tribe or n gaming operation. Failtire to consen! to tJre 

disclosures indicated in this notice wilI result in a Tribe 's being tmable to Jzire ~UCE it? a Primaw 

Managcrnent Qfficia? or Key E~'~?~plqvce positio pl. 

The disclosure ofyorrr Social Security .4Tz~mber (SSN) is voluntaty. Ho~:evei; fniltrrc to 

supply a SSN may result ii~ errors in processil-lg your applica f ion. 

7.13. I .2 Notice Regarding False Statements. 

A .false starem~~t t on any part qf your application may be grotmds $01- nof Isiring j?otr, or 

Jor .fing ytr afler you begin work Al.ro, you may be punishcd b.v .fine or imprisonment. W.S. 

Codc, title 18, j' 1001) FrcrrJ~ermore, srtch false srat~menr may be grormdx for sttsp~nsion or 

rel~ocnliorr uf-vor ~r gaming license. 

7.13.2 Existing Licensees. Any existing Key Employee or Primary Management Official, or 

other Class A licensee, unless otherwise speci t caily exempted by the Gaqing Commission. shall 

be notified that they shall either: 

7.13.2. E Complete a new application form that contains the Privacy Act Notice and the 

Notice Regarding False Statemaits; or 

7.13.2.2 Sign a statement that contains the Privacy Act Notice and consent to the routine 

uses described in that Notice and sign a statement that contains the Notice Regarding False 

Statements. 
SMTC 7.14 Class IIJ Gaming; Compact 

In addition to the provisions set forth above, Class 111 gaming shall be engaged in on the 

reservation pursuant to a Compact or by an alternative as provided by IGRA. All negotiations 

for such Compacts and amendments thereto shall be conducted through the Tribal Chairman, 

with the advice and suggestion of the Gaming Commission, and shall be finalized only upon 

majority vote of the General Council aRer consideration of the terms. In the event the provisions 

of a Compact, as approved under IGRA, may be inconsistent with provisions herein, the 

approved Compact provisions shall govern, but only to the extent inconsistent with this Gaming 

Act. 

SMTC 7.15 Interest in Management Contracts bv Trihal Qfflcials 

No eIected official of the Tribe, any Commissioner, or any member of any other committee or 

agency of the Tribe, shall have a financial: interest in or management responsibility for any 

rnanagemmt agreement entered into pursuant to IGRA, nor shall such elected official serve on 

the board of directors or hold (directly or indirectly) ten percent (1 0%) or more of the issued and 

outstanding stock of any corporation, or 10% or more of the beneficial interest in any 

partnership, trust, or other entity, in any such corporation, partnership, Wst or other entity 

having a financial interest in, or management responsibiIity for, such contract. 

SMTC 7.16 Limitations on Gaming 

No eIectcd or appointed official of the Tribe or licensed mployce shall engage in or be 

permitted to engage in either directly or indirectly through another person, any Class I1 or Class 

III Gaming Activities authorized hereunder. Such limitation shall not apply in instances where, 

as pre-approved by the Gaming Commission, the individual engages in such activities as a part 

of an event designed specifically for such individuals or for training purposes. 

SMTC 7.1 7 Service of Process 

The Tribe designates the Chairpason of the Tribe as its agent for the service of official 

determinations, orders, or notices of violation from any federal or state agency. Thc Chairperson 

of the Gaming Commission shall also receive any notice related to gaming from any state, local 

or federal agency, including the NTGC and the State Gaming Agency. 

SMTC 7-18 Tribal Gaming Corporation. 

Nothing in this Gaming Act shall prevent the Trihe, through its General Council, from 

delegating the authority to conduct gaming to one or more Tribal corporations, so long as the 

tribal gaming entqrises to which such authority is delegated agree to meet all criteria and 

requirements established under this Gaming Act. 
SMTC 7.1 9 Prior Gaming Ordinances; Effective Date 

To the extent inconsistent with this Ordinance all prior gaming ordinances are hereby repealed 

on the: effective date of this Ordinance. ATter adoption by the General Council, this Ordinance 

and any subsquent amendments thereto become effective on the date of final approval by the 

NIGC, as appIicable. 

SMTC 7.20 Severability 

If any provision or application of this Gaming Act is determined by review to bc invalid, such 

determination shall not be 11cld to render such provision inapplicable to other persons or 

circumstances, nor shall such determination render invalid any other provision of this Gaming 

Act. 

SMTC 7.21 Amendments 

All provisions of this Gaming Act arc subject to amendment by the General Council. 

Regulations promulgated by the Gaming Commission under this Gaming Act are subject to 

amendment by the Gaming Commission. 

SMTC 7.22 Sovereim Irnmunitv Preserved 

Nothing in this Gaming Act is intended or shall be construed as a waiver of the sovereign 

immunity of the Tribe, and no manager, officer, or employee of thc Gaming Commission or the 

Tribe or the Gaming Facility shall be authorized, nor shalI they attempt, to waive the immunity 

of the Tribe.