APPENDIX D

~zirrzi~zin~ett ~Jnbiun ~ribuI ~es~iIut~on

TC-95-0720.2

SEp 29

~~15

(of Tribal Gaining Ordinance

WHEREAS,

WHEREAS,

WHEREAS,

WHEREAS,

WHEREAS,

WHEREAS,

the Narragansett Indian Tribe is a Federally Recognized and

Acknowledged Tribe;

the Chief Sachem and Tribal Council are the governing body of the

Tribe;

on October 17, 1988, the Congress of the United States of America did

enact the Indian Gaming Regulatory Act, 102 Stat. 2467, 25 U.S.C.

Section 2701 et seq.; and

said Indian Gaming Regulatory Act requires all Indian tribes seeking to

engage in Class H and Class HI gaming activities on tribal lands to enact

a gaming ordinance which complies with the provisions of the Act for

the conduct of gaming activities on such tribal lands; and

on January 22, 1993, the National Indian Gaming Commission, U.S.

Department of the Interior, promulgated regulations to implement

certain provisions of the Indian Gaming Regulatory Act; and

counsel for the Narragansett Indian Tribe has prepared an ordinance

which complies with the Indian Gaming Regulatory Act as

implemented by said regulations of the National Indian Gaming

Commission, a copy of which ordinance is attached hereto, marked

Exhibit A, and by this reference is incorporated herein; and

WHEREAS, the Tribal Council has reviewed this Ordinance and it is otherwise

fully advised.

NOW THEREFORE BE IT RESOLVED, that the attached Narragansett Tribal Gaming

Ordinance No. TC-gc-oi~.zis hereby approved and adopted and shall govern all

future gaming activities on all Narragansett trust lands; and
-i-v- q~ 072c. ~

BE IT FURTHER RESOLVED, that this Ordinance shall be effective upon approval

by the Chairman, National Indian Gaming Commission as required by the Indian

Gaming Regulatory Act; and

BE IT FURTHER RESOLVED, that the Director of the Tribal Gaming Commission is

hereby designated as the Tribes agent for service of any official determination,

order, or notice of violation from the National Indian Gaming Commission, and

the Chairman, National Indian Gaming Commission, shall be so notified in writing

of this designation.

CERTIFICATION

I, the Undersigned hereby certify that the above resolution was adopted by a

majority of the Tribal Council, present in quorum, and is a true and accurate

account of the happenings at the duly called Tribal Council meeting of July ~, 1995.

Chief Sachem/First Councilman

Attest:

-2-
APPENDIX D

-

SEP~919

3J8rr~t~2,tl~ttt ~hii~inn Uirihzz( i!~r~t~(iiIitiit

TC95-0922.2

(

~n. _______

to NIGC Submission

WHEREAS, The Narragansett Indian Tribe is a Federally

Recognized and Acknowledged Tribe;

WHEREAS, Pursuant to the Tribes Constitution and By-Laws,

the Chief Sachem and Tribal Council are the

governing body of the Tribe;

WHEREAS, The Tribal Assembly has directed the Tribe to pursue

gaming as the most viable form of economic

development;

WHEREAS, The Tribe and former Governor Sundlun signed a

Compact governing Class III gaming, which was then

approved by the Secretary of the Interior;

WHEREAS, The Tribe entered into a Management Agreement with

Capital Development Gaming Corporation, a subsidiary

of Capital Gaming International, Inc. (CGI) on June

17, 1995;

WHEREAS, In accordance with the Indian Gaining Regulatory Act

(IGRA), the Council did submit the revised and

amended Management and Development Agreement to the

Chairman of the National Indian Gaining Commission

(NIGC) for review and approval on June 21, 1995;

WHEREAS, At the time of the Tribes submission, the Tribal

Gaming Ordinance (Appendix D) was not yet approved;

WHEREAS, Gaming may not take place on Indian lands until the

Tribe adopts an ordinance which must be approved by

the Chairman of the NIGC;

WHEREAS, Counsel for the Tribe prepared a Gaming Ordinance

which complies with IGRA and regulations of the

NIGC, which Gaming Ordinance was approved and

adopted by Council on July 20, 1995 (referenced as

Exhibit A on TC-95-0720.2);
2

NOWTHEREFORE BE IT RESOLVED THAT, the Tribal Council does

heç.eby supplement its submission to the NIGC of June 21,

1995, by directing the First Councilman to submit the

approved Gaming Ordinance (designated as Appendix D in the

June 21, 1995, submission) to the Chairman of the NIGC for

review and approval in accordance with IGRA.

CERTIFICATION

I, the Undersigned hereby certify that the above Tribal

Council Resolution, TC-95-0922.2 was adopted by a majority of

the Tribal Council, present in quorum, and is a true and

accurate account of the happenings at the duly called Tribal

Council meeting of September 22 , 1995.

~1tribnI ~errehzrg i~f-~icl1ezu/~iret (!J~unciIrnutt
SEP 29 /99~

APPENDIX D

GAMING ORDINANCE

OF THE

NARRAGANSETT INDIAN TRIBE

July 20, 1995
GAMING ORDINANCE

OF

THE NARRAGANSETT INDIAN TRIBE

TABLE OF CONTENTS

Chapter 1 -- Declaration of Policy and Definitions 1

1.1 Declaration of Policy 1

1.2 Definitions 2

1.3 Words and Terms -- Tense, Number and Gender 9

Chapter 2 -- Tribal Gaming Commission 9

2.1 Establishment of Narragansett Tribal

Gaming Commission 9

2.2 Commissioners 10

2.3 Restrictions on Commissioners 11

2.4 Compensation for Commissioners 12

2.5 Quorum/Majority Vote 12

2.6 Chairman 12

2.7 Vice-Chairman 12

2.8 Removal of Commissioners 13

2.9 Monthly Report 13

2.10 Powers 13

2.11 Voting on Licensing 18

2.12 Powers of Delegation 18
2.13 Hiring of Director 19

2.14 Right of Inspection and Access 22

2.15 Inspectors 23

2.16 Independence of Tribal Gaming Commission 23

2.17 Authority of Tribal Council 24

Chapter 3 -- Gaming Authorized 25

3.1 Gaming Authorized 25

3.2 Prohibition Against Gaming 26

3.3 Authorization of Gaming 26

3.4 Approval of Gaming Equipment 26

3.5 Posting of Rules 27

Chapter 4 -- Licensing of Games and Personnel 27

4.1 Licensing and Regulation of Class II

and Class III Gaming Activity 27

4.2 License and Regulation of Class III Gaming

Activities; Tribal-State Compact Required 27

4.3 Mandatory License 28

4.4 Non-Transferability of License 29

4.5 Application Fee 29

4.6 Failure of Applicant to Disclose Material Information 29

4.7 Application Forms 30

4.8 Organizational Chart and Job Descriptions 30
4.9 Notices 30

4.10 Application Information 31

4.11 Existing Management Contracts 34

4.12 IGRA and NIGC Requirements for Applications 35

4.13 Qualifications Licensing 35

4.14 Eligibility Determination 36

4.15 Background Investigation Procedures 36

4.16 Reports of Background Investigations to the

National Indian Gaming Commission 37

4.17 Temporary Employment Licenses 39

4.18 Granting a Gaming License 39

4.19 License Suspension 40

4.20 Request by State 40

4.21 Authorization Required for Class III Licenses 41

4.22 Term of License 41

4.23 Licensing of Distributors 41

Chapter 5 -- Gaming License Fees 41

5.1 Annual Fee 41

5.2 Adjustment of Fee 41

5.3 When Fee Due 41

5.4 Prorated Fee 41

5.5 Deposit of Fees 42
Chapter 6

6.1 Use of Net Revenues 42

6.2 Secretary Approved Plan 42

Chapter 7 -- Records and Reports 43

7.1 Required Records 43

7.2 Report to Tribal Gaming Commission 43

7.3 Access to Records 43

7.4 Insurance Policies 43

Chapter 8 -- Auditing and Internal Control 44

8.1 Minimum Procedures for Control of

Internal Fiscal Affairs 44

8.2 Tribal Gaming Commission Oversight of

Internal Fiscal Affairs 45

8.3 Commissions Right to Conduct Audit 46

8.4 Prohibition Against Embezzlement 46

8.5 Copies of Audit Reports 46

8.6 Relationship of Audited Financial Statements

to Fee Assessment Reports 46

Chapter 9 -- Exclusion or Ejection of Individuals 47

9.1 Notice of Rules 47

9.2 Ejection for Improper Conduct 47
9.3 Failure to Provide Proof of Age 47

9.4 Ejection by Appropriate Personnel 47

9.5 List of Undesirables 48

9.6 Notice and Opportunity to be Heard 48

9.7 Prohibition Against Listed Individuals 48

Chapter 10 -- Cheating 48

10.1 Unlawful Acts 48

10.2 Prohibition Against Electronic Device 50

Chapter 11 -- Violations 50

11.1 Gaming without a License 50

11.2 False or Misleading Information 50

11.3 Accounting for Money 50

11.4 Access to Gaming Operation 50

11.5 Minimum Age 51

11.6 Cheating 51

11.7 Firearms and Other Weapons 51

11.8 Violation of Rules or Regulations 51

11.9 Privity with Violator 51

11.10 Responsibility of Licensee 51

11.11 Prohibited Conduct 52

11.12 Sanctions 52
Chapter 12 -- Notice of Violation 53

12.1 Issuance of Notice of Violation 53

12.2 Content of Notice of Violation 53

Chapter 13 -- Civil Fines 53

13.1 Violations of Ordinance -

Fines; Penalties 53

13.2 How Assessments are Made 54

13.3 Procedures for Assessment of a Civil Fine 54

13.4 Final Assessment 55

Chapter 14 -- Civil Enforcement 55

14.1 Enforcement Actions 55

14.2 Court Jurisdiction 56

14.3 Efforts of Commission Before Enforcement Action 56

14.4 Acknowledgement of Authority and Jurisdiction 56

14.5 Subpoena Power 57

Chapter 15 -- Hearings and Appeals 57

15.1 Scope 57

15.2 Notification of Hearing 58

15.3 Petition for Waiver of Fines or Penalties 58

15.4 Petition for Hearing 58

15.5 Petition for Rehearing 58
15.6 Notification of Tribal Gaming Commission Decision 59

15.7 Right to Appeal to Tribal Council 59

Chapter 16 -- Service 60

16.1 Service on Tribe 60

16.2 Service on Management Contractor or Tribal Operator 60

Chapter 17 -- Disputes 60

17.1 Disputes Between Patrons and the Tribal

Gaming Operation 60

17.2 Development of Procedures for Tort and

Other Contract Claims 61

17.3 Disputes Between Manager and Tribe 61

17.4 Limitation of Actions 61

Chapter 18 -- Applicable Law 61

18.1 Applicable Law 61

18.2 Conflict Between Compact and Ordinance 61

18.3 Incorporation by Reference 62

Chapter 19 -- National Indian Gaming Commission and

Tribal- State Compacts 62
19.1 NIGC -

Regulations 62

19.2 NIGC -

Assessment 62

19.3 Compact with the State of Rhode Island (Class III only) 62

Chapter 20 -- Miscellaneous 62

20.1 Security 62

20.2 Law Enforcement Plan 63

20.3 Changes in Ownership Interest 63

20.4 Conveying Interest in Land 63

20.5 Maintenance of Ordinance and Regulations 63

20.6 Compliance with Other Laws 63

20.7 Amendments 64

20.8 Severability 64

20.9 Repeal 64

20.10 Effective Date 64

Narr F. NGO. toc.7.11
GAMING ORDINANCE

OF

THE NARRAGANSETT INDIAN TRIBE

An Ordinance to authorize, license and regulate

Class 1, Class ii and Class iii gaming on trust lands

of the Narragansett indian Tribe

(Ordinance No. TC - 95- 0720.2)

CHAPTER 1-- DECLARATION OF POLICY AND DEFINITIONS

1.1 Declaration of Policy It is the declared policy of the Narragansett Tribe:

(a) That gaming conducted on tribal trust lands of the Narragansett Tribe

shall be regulated by the Narragansett Tribal Gaming Commission for

the protection of the public health, welfare and safety of all residents,

employees and persons who visit the tribal trust lands for gaming

purposes from the adverse effects which may flow from unregulated

gaming.

(b) That it is the objective of the Tribe (i) to promote tribal economic

development, self-sufficiency, and strong tribal government; (ii) to

utilize revenues from gaming for the general welfare of the Tribe and

its members consistent with IGRA; and (iii) to assure that gaming is

conducted fairly and honestly.

(c) That the conduct of gaming activities provided for by this Ordinance

within tribal trust lands shall be conducted in conformance with the

Indian Gaming Regulatory Act, 102 Stat. 2467, 25 U.S.C. § 2701 ~

and regulations promulgated by the NIGC. Class III gaming on trust

lands shall be further subject to the requirements of the Tribal-State

Compact entered into by the Tribe and the State of Rhode Island
Sec. I./~c)

approved by the United States Department of the Interior, or

procedures of the Secretary of the Interior.

(d) The Tribe shall have the sole proprietary interest in, and the sole

responsibility for, the conduct of the gaming.

(e) The Tribe shall construct, maintain and operate a gaming facility in a

manner that adequately protects the environment and the public

health and safety.

1.2 Definitions Unless a different meaning is clearly indicated, the terms in this

Ordinance shall have the same meaning as defined in the Indian Gaming

Regulatory Act, Public Law 100-497, 102 Stat. 2467, codified at 25 U.S.C.

§ 2701 et seq., and regulations lawfully promulgated thereunder:

(a) Act means the Indian Gaming Regulatory Act (IGRA), Public Law

100-497, 102 Stat. 2466, codified at 25 U.S.C. §~ 2701 ~ seq

(b) Applicant means any person that completes an application with the

Tribe for a gaming license.

(c) Bingo means that gaming of chance (whether or not electronic,

computer or other technological aids are used in connection therewith)

when players (i) play for prizes with cards bearing numbers or other

designations; (ii) cover numbers or designations when objects,

similarly numbered or designated, are drawn or electronically

determined; and (iii) win the game by being the first person to cover a

designated pattern on such cards.

(d) Chairman means, unless otherwise specified, the Chairman of the

Narragansett Tribal Gaming Commission as determined under

§ 2.6 of this Ordinance.

(e) Class I gaming means that gaming defined in IGRA, 25 C.F.R. § 502.2,

or as determined by a Federal court of law.

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Narragansett Gaming Ordinance
Sec. /

(f) Class 11 gaming means that gaming defined in IGRA, 25 C.F.R.

§ 502.3, or as determined by a Federal court of law.

(g) Class III gaming means that gaming defined in IGRA, 25 C.F.R.

§ 502.4, or as determined by a Federal court of law.

(h) Collateral agreement means any contract, whether or not in writing,

that is related, either directly or indirectly, to a management contract,

or to any rights, duties or obligations created between a tribe (or any of

its members, entities, or organizations) and a management contractor

or subcontractor (or any person or entity related to a management

contractor or subcontractor). 25 C.F.R. § 502.5.

(i) Commissioners means tribal Commissioners of the Tribal Gaming

Commission.

(j) Council means, together with the Chief Sachem, the governing body

of the Narragansett Indian Tribe, otherwise known as Tribal Council.

(k) Director means the Director of the Narragansett Tribal Gaming

Commission.

(1) Electronic, computer or other technological aid means that device as

defined in 25 C.F.R. § 502.7.

(m) Electronic or electromechanical facsimile means any gambling device

as defined in 25 C.F.R. § 502.8.

(n) GAAP means those Generally Accepted Accounting Principles

consistently applied, as defined by the Financial Accounting Standards

Board.

(o) Game similar to bingo means any game set forth in or determined by

a court of law to be within 25 C.F.R. § 502.9.

-3-

Narragansett Gaming Ordinance
Sec. ~

(p) Gaming means risking any money or other thing of value for gain,

contingent, wholly or partially, upon lot, chance, the operation of

gaming apparatus, or the happening or outcome of an event over

which the person taking the risk has no control.

(q) Gaming establishment means any location or structure, wherein

gaming is licensed, promoted, performed, conducted or operated.

(r) Gaming license means the permit granted by the Tribal Gaming

Commission to an applicant.

(s) Gaming operation means each economic entity that is licensed by the

Tribal Gaming Commission, operates the games, receives the

revenues, issues the prizes, and pays the expenses. A gaming operation

may be operated by the Tribe directly or by a management contractor.

25 C.F.R. § 502.10.

(t) Gross revenues means the Gross Revenues (gaming) plus Gross

Revenues (non-gaming).

(u) Gross revenues (gaming) or Win means the net win from Gaming

activities, which is the difference between Gaming wins and losses

before deducting costs and expenses, determined in accordance with

GAAP.

(v) Gross revenues (non-gaming) means all revenues of any nature

derived directly or indirectly from the Tribal Gaming Enterprise other

than Gross Revenues (gaming) including, without limitation, rents

and fees from lessees and licensees, interest on reserve funds of the

Tribal Gaming Enterprise, interest earned on bank accounts established

for the deposit of gaming and non-gaming revenues, and revenues

recorded for Promotional Allowances, determined in accordance with

GAAP.

-4-

Narragansett Gaming Ordinance
Sec. /

(w) House banking game means any game of chance as defined in 25

C.F.R. § 502.11.

(x) In privity with means one who acts jointly with another or as an

accessory before the fact to an act committed by the other or as a co

conspirator with the other.

(y) Indian lands means lands as defined in 25 C.F.R. § 502.12.

(z) Key employee means:

(i) A person who performs one or more of the following functions:

(A) Bingo caller;

(B) Counting room supervisor;

(C) Chief of security;

(D) Custodian of gaming supplies or cash;

(E) Floor manager;

(F) Pit boss;

(C) Dealer;

(H) Croupier;

(I) Approver of credit; or

(J) Custodian of gambling devices including persons with

access to cash and accounting records within such devices;

(ii) If not otherwise included, any other person whose total cash

compensation is in excess of $50,000 per year; or

(iii) If not otherwise included, the four most highly compensated

persons in the gaming operation. 25 C.F.R. § 502.14.

(aa) Licensee means any person who has been issued a valid and current

license pursuant to the provisions of this Gaming Ordinance.

-5-

Narragansett Gaming Ordinance
Sec. /

(bb) Management contract means any contract, subcontract, or collateral

agreement between an Indian tribe and a contractor or between a

contractor and a subcontractor if such contract or agreement provides

for the management of all or part of a gaming operation and which

contract has been approved by the Chairman of the NIGC. 25 C.F.R.

§ 502.15.

(cc) Managers Fee means Managers proportionate share of Net

Revenues as specified in a Management Agreement, approved by the

Chairman of the NIGC.

(dd) Net Revenues means Net Revenues (gaming) plus Net Revenues

(non-gaming).

(ee) Net Revenues (gaming) means Gross Revenues (gaming) from Class

II and Class III gaming, less all Operating Expenses (gaming), excluding

Managers Fee, if any, determined in accordance GAAP.

(ff) Net Revenues (non-gaming) means Gross Revenues (non-gaming)

of the Tribal Gaming Enterprise, less all Operating Expenses (nongaming), excluding any Managers Fee, if any, from non-gaming

operations.

(gg) NIGC means the National Indian Gaming Commission established

pursuant to 25 U.S.C. § 2704.

(hh) Operating expenses (gaming) means those costs required to operate

the Gaming Operations of the Tribal Gaming Enterprise which are

incurred in the ordinary course of business, which are recognized as

ordinary and necessary expenses by the gaming industry determined in

accordance with GAAP.

For purposes of computing Net Revenues (gaming), Operating

Expenses (gaming) to be deducted from Gross Revenues (gaming) shall

include repayment of interest on the Loans, if any, depreciation,

-6-

Narragansett Gaming Ordinance
Sec. i.~L

marketing fees, consulting fees, costs of goods sold, prizes and other

gaming wins paid out (other than those paid out before determination

of Gross Revenues (gaming), salaries, wages and employee benefits,

payroll and other taxes or other governmental levies (including, but

not limited to, the payments to the State in lieu of taxes required under

the Compact, and the annual fee paid to the NIGC under 25 C.F.R. Part

514), permits and licenses, advertising, promotion, fees and expenses of

third-party contractors and agents, bus and other transportation and

coordinator costs, auto and travel expenses, maintenance cost and

repairs (other than capital items), equipment leases, uniforms, office

expenses, printing, supplies, appropriate donations agreed upon in

writing by Tribe and Manager, if any, utilities, rent, insurance of all

types, uninsured legal judgments and settlements which the Tribe

consents to pay, ordinary maintenance, legal and accounting expenses,

and other expenses designated as Operating Expenses in the Annual

Budget approved by the Tribe, costs incurred by the performance of a

certified annual audit, costs incurred by the providing of law

enforcement and other Emergency Services, oversight costs by State

and local government personnel paid pursuant to agreement, bonding

and insurance costs relating to key Employees, and such other costs

which are recognized as ordinary and necessary expenses by the gaming

industry determined in accordance with GAAP and incurred following

the Class II or Class III Commencement Date. It does not include the

Tribes Guaranteed Payment or the Managers Fee.

(ii) Operating Expenses (non-gaming) means those expenses of the Tribal

Gaming Enterprise which are not included in Operating Expenses

(gaming). It does not include any part of the Tribes Guaranteed

Payment or of the Managers Fee.

(jj) Patron means a person participating in a game with the hope of

winning money or other benefit, but does not include a licensee, any

assistant of a licensee, or their immediate family.

-7-

Narragansett Gaming Ordinance
Sec. /

(kk) Person means any individual, firm, partnership, corporation,

company or association or other form of business association.

(11) Person having a direct or indirect financial interest in a management

contract means a person as defined in 25 C.F.R. § 502.17.

(mm) Person having management responsibility for a management

contract means the person designated by the management contract as

having management responsibility for the gaming operation, or a

portion thereof. 25 C.F.R. § 502.18.

(nn) Primary management official means any person employed by the

licensee to serve as a manager, assistant manager, department head or

like function, or any person with the authority: (i) to hire and fire

employees; or (ii) set up working policy for the gaming operation; or

the chief financial officer or other person who has financial

management responsibility as defined in 25 C.F.R. § 502.19.

(oo) Reservation means lands of the Narragansett Indian Tribe held in

trust by the United States.

(pp) Services means labor provided by one person to or for another,

where such labor is provided in pursuit of the purpose of gaming on

Indian land.

(qq) Tribal Gaming Commission means the Narragansett Tribal Gaming

Commission.

(rr) Tribal lands means all Indian lands of the Narragansett Tribe of

Rhode Island, within the Tribes jurisdiction, whether title thereto is

held in trust by the United States or in fee subject to restriction against

alienation imposed by the United States.

(ss) Tribe means the Narragansett Indian Tribe.

-8-

Narragansett Gaming Ordinance
Sec. /

(tt) Tribe-State Compact or Compact means the written document, either

negotiated and agreed to by the Narragansett Indian Tribe and the State

of Rhode Island, or prescribed by the Secretary of the Interior pursuant

to 25 U.S.C. § 2710(d)(7)(B)(vii), governing the conduct of Class III

gaming activities on Indian lands.

1.3. Words and Terms -- Tense, Number and Gender In constructing the

provisions of this Ordinance, save when otherwise plainly declared or clearly

apparent from the context:

(a) words in the present tense shall include the future tense;

(b) words in masculine, feminine and neuter gender shall include all

genders;

(c) words in the singular shall include the plural, and in the plural shall

include the singular.

CHAPTER 2-- TRIBAL GAMING COMMISSION

2.1 Establishment of Narragansett Tribal Gaming Commission

(a) Narragansett Tribal Gaming Commission There is hereby established a

gaming commission which shall be called the Narragansett Tribal Gaming

Commission (hereinafter Tribal Gaming Commission) and which shall be

funded from such Tribal revenues as may be appropriated by the Tribal

Council for the Tribal Gaming Commission to carry out its authority and

functions established by this Ordinance.

(b) Narragansett Tribal Alcohol Division There is hereby established, as a

branch of the Tribal Gaming Commission, a division which shall be called

the Narragansett Tribal Alcohol Division. Tribal Gaming Commissioners

shall sit as the head of the Alcohol Division and shall enforce and administer

the Tribes Liquor Ordinance.

-9-

Narragansett Gaming Ordinance
Sec. ~.

(c) Until such time as the Tribal Gaming Commission is fully staffed and

operating, the Tribal Council shall perform, or have performed, all duties and

responsibilities of the Tribal Gaming Commission set forth under this

Ordinance.

2.2 Commissioners (a) The Tribal Gaming Commission shall consist of five

members plus two alternates for a total of seven Commissioners, all of whom

shall be appointed by the Chief Sachem with the approval of a majority vote

of the Tribal Council. In the absence of the Chief Sachem, a quorum of the

Tribal Council shall appoint or reappoint members to the Tribal Gaming

Commission.

(b) Appointment of Commissioners The Chief Sachem, or a Council

designee, shall serve on the Tribal Gaming Commission. In addition

to the Chief Sachem or his Council designee, an additional

Councilman shall be appointed to serve on the Tribal Gaming

Commission. The five remaining seats (including the alternate seats)

shall be filled by selecting from qualified adult enrolled members of the

Narragansett Tribe who are not members of the Tribal Council.

(c) Term of Commissioners All Commissioners shall serve for a term of

three years on the Tribal Gaming Commission.

(i) Cpuncilmember Commissioners If a Councilmember

appointed to the Tribal Gaming Commission is reelected to the

Tribal Council prior to the expiration of his/her term as a

Commissioner, he/she shall serve out the remaining term of

his/her Tribal Gaming Commission seat. A Tribal

Councilmember seated on the Tribal Gaming Commission may

be reappointed to the Commission in the manner prescribed in

Section 2.2(a). If a Councilmember appointed to the Tribal

Gaming Commission does not seek re-election to the Tribal

Council, or is defeated for re-election to the Tribal Council, a

successor shall be appointed from the Tribal Council in

-10-

Narragansett Gaming Ordinance
Sec. ~~X~)

accordance with this Section. There shall always be two

Councilmembers sitting on the Tribal Gaming Commission.

Vacancies shall be filled within 30 days, or as soon thereafter as

practicable.

(ii) Non-Council Commissioners Non-Council Commissioners

may be re-appointed to the Commission at the expiration of

their term in the manner prescribed by Section 2.2(a). Vacancies

shall be filled within 30 days, or as soon thereafter as practicable.

(iii) Staggered Terms In order to establish an annually staggered

Tribal Gaming Commission appointment schedule, the first

Commissioners appointed shall be seated on the Commission as

follows: the two Councilmembers appointed to the Tribal

Gaming Commission shall serve for three (3) years in accordance

with Section 2.2(c)(i) above; the three non-Council

Commissioners shall serve for two (2) years; and the two

alternate non-Council Commissioners shall serve for one (1)

year; all for the initial appointment term only. Thereafter, all

successive terms for Non-Council and Council Tribal Gaming

Commissioners shall run for three (3) years, with at least two

seats opening for appointment or reappointment every year, in

accordance with the requirements of this Section.

(d) Service until Successors Appointed Commissioners shall be

appointed as soon as possible after the effective date of the Ordinance.

Notwithstanding anything herein to the contrary, such members and

alternate member shall assume their offices immediately upon

appointment, and shall serve until their successors are appointed.

2.3 Restrictions on Commissioners Commissioners may hold other tribal

positions and may engage in business, provided however, that they shall not

engage in any business (including, but not limited to, being a vendor of any

goods or services to the gaming operation or any operations related to the

gaming operation) which is subject to the provisions of this Gaming

-

11 -

Narragansett Gaming Ordinance
Sec. ~2.3

Ordinance. Commissioners shall not gamble in the Tribes gaming

establishment nor have any personal financial interest in any gambling by

any patron.

2.4 Compensation for Commissioners Commissioners shall be compensated at a

rate to be established annually by the Tribal Council commensurate with the

duties to be performed and consistent with Indian gaming industry practices.

Commissioners shall be reimbursed for actual expenses incurred on

Commissioner business, including necessary travel expenses. In no event

shall compensation be based on a percentage of net profits from gaming

operations of the Tribe.

2.5 Ouorum/Majority Vote The Tribal Gaming Commission shall act by

majority vote of a quorum present and each member of the Commission

shall be entitled to one vote except that the alternate members shall only be

entitled to vote in place of an absent member. If only one of the two

alternates is entitled to vote at a particular meeting, the alternate with the best

attendance record shall vote. In the event that both alternates have identical

attendance records, the Chairman of the Tribal Gaming Commission shall

designate the voting alternate for that particular meeting. A quorum shall

consist of three Commissioners, one of whom being the Chairman or Vice

Chairman. Alternate Commissioners count toward a quorum.

2.6 Chairman The non-alternate Tribal Gaming Commissioners shall choose a

Chairman from among themselves. The Chairman shall have the power to

convene special meetings of the Tribal Gaming Commission upon twentyfour (24) hours written notice to members of the Tribal Gaming Commission.

If the Chairman determines that a bona fide emergency exists, the Chairman

may conduct special meeting(s) with not less than five Commissions by

telephone.

2.7 Vice-Chairman The non-alternate Commissioners shall elect from among

themselves a Vice-Chairman.

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Narragansett Gaming Ordinance
Sec.

2.8 Removal of Commissioners A member of the Tribal Gaming Commission

may only be removed from office before expiration of their term of office as a

Commissioner by a vote of a majority of the Tribal Council for neglect of

duty, malfeasance in office or for other good cause shown following a hearing

upon written notice to the Commissioner.

2.9 Monthly Report The Tribal Gaming Commission shall, through its Director,

make monthly reports to the Tribal Council within thirty (30) days after the

close of the month for which the information is being provided. The report

shall include a full and complete statement of revenues paid to the Tribe,

expenses and all other financial transactions of the Tribal Gaming

Commission and a summary of all licensing and enforcement actions.

2.10 Powers The Tribal Gaming Commission shall exercise all powers necessary to

effectuate the purposes of this Ordinance and the Tribes Liquor Ordinance.

The Tribal Gaming Commission shall meet with the Director at least weekly

to make recommendations and set policy, to approve or reject reports of the

Director and transact other business that may be properly brought before it.

The Tribal Gaming Commission shall, consistent with this Ordinance, review

or promulgate rules and regulations, subject to the approval of the Tribal

Council, for the operation of any gaming establishment and shall hear and

resolve all disputes regarding any provision of the Ordinance. In all

decisions, the Tribal Gaming Commission shall act to promote and ensure

integrity, security, honesty, and fairness of the operation and administration

of gaming and ancillary activities of the gaming operation. Without limiting

the powers of the Tribal Gaming Commission, the Commission shall have

the authority and responsibility to:

(a) License the conduct of Class II gaming activity on tribal lands, and

license the conduct of Class III gaming activity on tribal lands upon

such terms and conditions which may be provided for in any compact

entered into between the Tribe and the State of Rhode Island or

otherwise authorized under the procedures of the Indian Gaming

Regulatory Act at 25 U.C.S. § 2710(d)(7)(B).

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Narragansett Gaming Ordinance
Sec. ~2./7

(b) Publish and enforce rules and regulations of the Commissions

Alcohol Division approved by the Tribal Council governing the sale,

manufacture, distribution and possession of alcoholic beverages on

Tribal Lands in accordance with the Liquor Ordinance.

(c) Enforce and administer the provisions of this Ordinance.

(d) Employ a Director, together with staff, who shall be responsible for the

day-to-day affairs of the Tribal Gaming Commission; employ gaming

inspectors (including a Chief Inspector) to monitor, record and report

to the Tribal Gaming Commission on-site matters relating to any tribal

gaming operations.

(e) Give preference to Tribal members and non-member Indians in hiring

of qualified employees of the Tribal Gaming Commission.

(f) Develop licensing procedures for all employees of the gaming

operation pursuant to 25 C.F.R. ~ 558.1(b).

(g) Review and recommend to Council standards for and issue licenses or

permits to persons and entities who deal with the gaming operation

such as manufacturers and suppliers of machines, equipment, goods

and services.

(h) Issue, suspend, revoke, restrict, condition and renew licenses of

primary management officials and key employees upon completion of

background investigations and after following the procedures

contained in 25 C.F.R. Parts 556 and 558.

(i) Conduct, or cause to be conducted, background investigations on

primary management officials and key employees according to

requirements that are at least as stringent as those in 25 C.F.R. Parts 556

and 558 pursuant to 25 C.F.R. § 522.4(b)(5), subject to the requirements

of the Compact relating to Class III gaming.

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Narragansett Gaming Ordinance
Sec. ~

(j) Forward completed employment applications for primary

management officials and key employees to the NIGC pursuant to 25

C.F.R. § 558.3. These applications should include the Privacy Act notice

and the notice regarding false statements contained in 25 C.F.R. §~ 556.2

and 556.3.

(k) Forward completed investigative reports on each background

investigation for each primary management official or key employee to

the NIGC prior to issuing a license pursuant to 25 C.F.R. § 556.5.

(1) Review a persons prior activities, criminal record, if any, and

reputation, habits and associations to make a finding concerning the

eligibility of a key employee or primary management official for

employment in a gaming operation pursuant to 25 C.F.R. § 558.2.

(m) Notify the NIGC if, after conducting a background investigation on a

primary management official or a key employee, the Tribe does not

license the individual pursuant to 25 C.F.R. § 556.5(d)(1).

(n) Retain applications and reports of background investigations of

primary management officials and key employees for no fewer than

three years from termination of employment pursuant to 25 C.F.R.

§ 558.1(c).

(o) Issue separate licenses to each place, facility, or location on Indian lands

where the Tribe elects to allow gaming pursuant to 25 C.F.R.

§ 522.4(b)(6).

(p) Ensure that gaming facilities are constructed, maintained and operated

in a manner that adequately protects the environment and the public

health and safety pursuant to 25 C.F.R. § 522.4(b)(7).

(q) Obtain annual independent outside audits and submit these audits to

the NIGC pursuant to 25 C.F.R. § 522.4(b)(3). The scope of these audits

should include all gaming related contracts that result in purchases of

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Narragansett Gaming Ordinance
Sec. ~i4)

supplies, services or concessions for more than $25,000 (except contracts

for professional, legal or accounting services) in any year pursuant to 25

C.F.R. § 522.4(b)(4).

(r) Ensure that net revenues from any gaming activities are used for the

limited purposes set forth in the tribal gaming ordinance pursuant to

25 C.F.R. § 522.4(b)(2).

(s) Promulgate tribal gaming regulations, to be approved by the Tribal

Council, including the collection of fees and interest, the assessment

and collection of fines and penalties, and the adjustment of the

respective amounts of the annual license and permit fees as provided

for in this Ordinance, provided that license and permit fees shall not be

increased retroactively.

(t) Monitor gaming activities to ensure compliance with Tribal

law / regulations.

(u) Interact with other regulatory and law enforcement agencies, Manager

and the Council regarding the regulation of gaming.

(v) Conduct investigations of possible violations and take appropriate

enforcement action with respect to the Tribal Gaming Ordinances and

regulations.

(w) Provide independent information to the Tribe on the status of the

Tribes gaming activities.

(x) Take testimony and conduct hearings on regulatory matters, including

matters related to the revocation of primary management official, key

employee licenses and any other licenses issued by the Tribal Gaming

Commission.

(y) Review and recommend to Council minimum internal control

standards or procedures for the gaming operation, including the

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Narragansett Gaming Ordinance
Sec. .~2.iO~:y)

operations credit policies and procedures for acquiring supplies and

equipment.

(z) Establish any supplementary criteria for the licensing of primary

management officials, key employees, and other employees that the

Tribe deems necessary.

(aa) Maintain records on licensees and on persons denied licenses

including persons otherwise prohibited from engaging in gaming

activities within the Tribes jurisdiction.

(bb) Perform audits of business transactions to ensure compliance with

regulations and/or policy, including the review, on demand, such

books and records and inspect the premises and operations of

applicants and licensees as it deems necessary for the enforcement of

this Ordinance.

(cc) Review and recommend to Council rules of various games, and

inspect games, tables, equipment, machines, cards, dice, and chips or

tokens used in the gaming operation. Review and recommend to

Council video surveillance standards. Review and recommend to

Council standards/criteria for gaming machines and facilitate the

testing of machines for compliance.

(dd) Resolve patron disputes, employees grievances, and other problems,

pursuant to this Ordinance, and develop procedures for disposition of

tort claims arising from alleged injuries to patrons of the Gaming

Establishment.

(ee) Issue such forms as it deems necessary.

(ff) Upon approval of the Tribal Council, institute such legal proceedings

in the name of the Tribe in a court of competent jurisdiction as it

deems necessary for the enforcement of this Ordinance.

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Narragansett Gaming Ordinance
Sec.~?.jO

(gg) Deposit all fees, penalties, interest, and civil fines collected under

authority of this Ordinance into an account designated by the Tribal

Treasurer, approved by the Tribal Council, to the credit of Narragansett

Tribe.

(hh) Maintain a correct and full accounting of all fees, penalties, interest,

and civil fines received under authority of this Ordinance, and provide

a monthly record of that accounting to the Tribal Council.

(ii) Take such other actions, issue such orders, and promulgate such

regulations, subject to Council approval, as the Tribal Gaming

Commission may deem necessary to perform properly and fully its

duties and responsibilities under this Ordinance.

2.11 Voting on Licensing Any Tribal Gaming Commission vote resulting in

approving, disapproving, revoking, suspending, limiting or conditioning a

license issued under this Ordinance shall be by ballot only and shall be in

accordance with the regulations of the NIGC and this Ordinance; provided

that in an emergency a phone vote of the entire voting Commission may be

polled pursuant to Tribal Gaming Commission Regulations. To approve of

any license issued pursuant to this Ordinance, a quorum of the Tribal Gaming

Commission must be present with a majority vote of approval by said

quorum required. A license will not be issued to a person whose license has

previously been revoked pursuant to this Ordinance, or to whom the

issuance of renewal of a license has been denied, except with the unanimous

approval of the voting Tribal Gaming Commission members.

2.12 Powers of Delegation The Tribal Gaming Commission may organize itself

into a functional division as it may deem necessary and from time to time

alter such plan of organization as it may deem expedient. The Tribal Gaming

Commission shall establish its own budget for operations, including a budget

for the Director, and acquire such furnishings, equipment, supplies,

stationery, books, motor vehicles, and other things as it may deem necessary

or desirable in carrying out is functions, and incur such other expenses within

the limit of funds available to it, as it may deem necessary. Within the limits

-18-

Narragansett Gaming Ordinance
Sec. o~. k~

of a budget approved by the Tribal Council, the Tribal Gaming Commission

shall employ and fix the salaries of or contract for the services of such

professional, technical and operational personnel and consultants as the

execution of its duties and the operation of the Director and Tribal Gaming

Commission may require. At the Tribal Councils discretion, said annual

budget may be reviewed and modified by the Tribal Council. The Tribal

Gaming Commission shall keep and maintain a file of all applications for

licenses under this chapter, together with a record of all action taken with

respect to such applications. The Tribal Gaming Commission shall keep and

maintain such other files and records as they may deem desirable.

2.13 Hiring of Director (a) The Tribal Gaming Commission shall hire a Director,

approved by the Tribal Council, who shall be responsible for the day-to-day

management of the regulatory affairs of the Tribal Gaming Commission as

well as overseeing the establishment and regulation of all gaming activities.

A detailed background investigation shall be conducted on the Director before

his appointment and the Tribal Gaming Commission shall maintain

oversight of the Director on an ongoing basis. Preference will be given to

professionally qualified applicants with adequate gaming regulation

experience in lawful gaming or law enforcement in addition to Indian

preference provided herein. No one convicted of a felony of any kind or

misdemeanor related to illegal gambling or bribery can serve as Director. The

Director shall not have any personal interests in the gaming activity. The

Director may not gamble in the gaming establishment nor have any personal

financial interest in any gambling by any gaming establishment patron.

During any period in which the position of Director is vacant, the Chairman

of the Tribal Gaming Commission or his designee shall assume the Directors

duties.

(b) Directors Contract The Tribal Gaming Commission shall hire a

professionally qualified individual with adequate gaming regulation

expertise as Director for a period of at least two (2) years. The terms of

the contract will be negotiated with the Tribal Gaming Commission

and approved by a majority vote of the Tribal Council. The Directors

compensation shall be part of the negotiations. Compensation for the

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Narragansett Gaming Ordinance
Sec. d/3~b

Director shall not be based, in whole or in part, on the profitability of

the gaming operation.

(c) Duties of Director The Director shall in close consultation with the

Tribal Gaming Commission, perform all duties, exercise all powers,

assume and discharge all responsibilities, and carry out and effect all

purposes of this Ordinance relating to the regulation of all gaming

activity. In all decisions, the Director shall act to promote and ensure

integrity, security, honesty, and fairness of the operation and

administration of all gaming activity. The Directors duties shall

include but not be limited to, the following:

(i) Coordinating with the Tribal Council, Tribal Gaming

Commission and Manager, if any, regarding the

regulation of the gaming establishment.

(ii) Correspond with the NIGC and do whatever is necessary

to ensure complete compliance with the rules and

regulations of that agency. Specifically, the Director shall

arrange for an annual outside audit of authorized gaming

and will provide a copy to the NIGC.

(iii) Assure that all gaming activity is conducted in a manner

which adequately protects the environment and the

publics health and safety.

(iv) Arrange that there is an adequate system which ensures

that background investigations are conducted on all

primary management officials, key employees, and other

employees of any gaming establishment and that

oversight of such officials and their management is

conducted on an ongoing basis as required by this

Ordinance. The Director will recommend to the Tribal

Gaming Commission the granting of tribal licenses for

primary management officials, key employees, and other

- 20-

Narragansett Gaming Ordinance
Sec. 07J~ZXiv)

employees of any gaming establishment. All gaming

licenses issued by the Tribal Gaming Commission shall be

in conformity with the requirements of 25 C.F.R. Part 558.

The Director will review all applications and background

investigations to ensure that no person shall be eligible

for employment in or with any part of the gaming

operation if that persons prior activities, criminal record

(if any), or reputation, habits and associations pose a threat

to the public interest or to the effective regulation of

gaming or create or enhance the dangers of unsuitable,

unfair, or illegal practices and methods and activities in

the conduct of gaming. When the Tribal Gaming

Operation employs a primary management official or key

employee, the Director shall forward to the NIGC a

completed application as required by 25 C.F.R. § 556.5.

(v) Hiring, pursuant to the approval of the Tribal Gaming

Commission, such professional, clerical, technical and

administrative personnel as may be necessary for the

Tribal Gaming Commission to carry out the provisions of

this Ordinance.

(vi) Reviewing all records, documents, and anything else

necessary and pertinent to enforcement of any provisions

of this Ordinance.

(vii) Recommend to the Tribal Gaming Commission whether

sanctions should be imposed on any person subject to the

jurisdiction of this Ordinance.

(d) Termination of Director The Director shall be terminated

immediately and without the necessity of a vote of the Tribal Council

upon the Directors conviction by a federal or state court of competent

jurisdiction for any felony or for any misdemeanor related to illegal

gambling or bribery or upon conviction in the Tribal Court of any

- 21 -

Narragansett Gaming Ordinance
Sec. ~

charge that the Tribal Council finds relates to the Directors honesty or

ability to fulfill his duties. If the Director is convicted in a court of

competent jurisdiction of violating any part of this Ordinance, he shall

be immediately terminated. The Director may also be terminated, by a

vote of a majority of the Tribal Council, for inadequate performance of

the duties required to be performed or may additionally be terminated

for associations or conduct that would tend to bring the gaming

operation into disrepute. Any such action shall be commenced by a

quorum of the Tribal Gaming Commission who shall submit a written

recommendation to the Tribal Council which submission shall

substantiate the reasons for recommending discharge. The Director

shall be given a written notification of the reasons for his discharge.

2.14 Right of Inspection and Access The Tribal Gaming Commission and its duly

authorized agents shall have the authority to:

(a) inspect and examine all premises wherein gaming is conducted

or gambling devices or equipment are held within the

Reservation;

(b) inspect all equipment and supplies in, upon or about a gaming

establishment, or inspect any equipment or supplies wherever

located, which may, or have been used in the gaming

establishment;

(c) summarily seize and remove from a gaming establishment (or

whatever location on tribal lands) and impound such

equipment or supplies for the purpose of examination,

inspection, evidence or forfeiture;

(d) demand access to and inspect all rooms within the gaming

operation, inspect, examine, copy and audit all papers, books,

and records (including electronically stored data) maintained by

the Manager within the tribal lands respecting any income

produced by the gaming operation or related businesses, and

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22 -

Narragansett Gaming Ordinance
Sec. ~.i/.&J)

require verification of income and all other matters affecting the

enforcement of the policy of or any of the provisions of this

Ordinance; and to review all other records, papers, books,

electronically stored data which are retained or assembled within

the gaming establishment; and

(e) issue subpoenas and compel the attendance of witnesses for

hearing at its offices, to administer oaths and to require

testimony under oath relating to matters pertaining to gaming

and this Ordinance. Any process or notice may be served in the

manner provided for service of process and notices in civil

actions. The Tribal Gaming Commission may pay such

transportation and other expenses of witnesses as it may deem

reasonable and proper.

2.15 Inspectors The Tribal Gaming Commission shall hire inspectors, including a

Chief Inspector, to perform services reasonably necessary to assure

compliance with the provisions of this Ordinance. Said special services of

regulatory enforcement shall be under the authorization and direction of the

Director, unless otherwise determined by the Tribal Gaming Commission.

All inspectors will perform their duties in accordance with the requirements

of the enforcement provisions of the Compact. This section shall in no way

be deemed to limit the normal law enforcement functions of other tribal law

enforcement officers.

2.16 Independence of Tribal Gaming Commission Commissioners, members of

the Tribal Council, and their immediate relatives (mother, father, sister,

brother, son, daughter, grandparent or other person related by blood, marriage

or adoption who lives in the same household) shall receive no personal

compensation, gift of significant value (exceeds $50), reimbursement, loan, or

payment of any kind from any person doing or wishing to do business with

the Tribal enterprise relating to gaming nor with any person wishing to

obtain an unfair advantage in any authorized wager on gaming. Any

property received in violation of this provision, including cash payments,

shall be immediately forfeited to the Tribe and the offending persons shall be

-

23-

Narragansett Gaming Ordinance
Sec. ~?/~

prosecuted to the fullest extent possible under the tribal law for accepting a

bribe. The Tribal Gaming Commission shall also cooperate to the fullest

extent possible with any Federal or State law enforcement agency to pursue

prosecution under applicable Federal or State law.

2.17 Authority of Tribal Council The Council shall have the power and

responsibility to:

(a) appropriate funding for the Tribal Gaming Commission;

(b) approve or reject all nominations for members of the Tribal Gaming

Commission;

(c) by a majority vote of the Council, remove members of the Tribal

Gaming Commission for neglect of duty, malfeasance in office or for

other good cause shown following a hearing upon written notice to the

Commissioner;

(d) by a majority vote of the Council, terminate the Director for inadequate

performance of duties required to be performed or for associations or

conduct that would tend to bring the Gaming operation into disrepute;

(e) review and modify the Commissions annual budget at the Councils

discretion;

(f) hear appeals by applicants from final decisions of the Tribal Gaming

Commission regarding the issuance, renewal, or revocation of gaming

licenses, subject to the criteria listed at Section 4.19 of this Ordinance;

(g) hear appeals by persons aggrieved by decisions or actions of the

Tribal Gaming Commission, following the Commissions final

decision on the matter;

(h) hear customer and employee appeals from final determinations of the

Tribal Gaming Commission;

(i) hear appeals from final Tribal Gaming Commission determinations as

to persons whose presence in the gaming establishment poses a threat

to the interests of the Tribe, public policy, or to licensed gaming;

(j) designate accounts for the deposit of civil fines paid under this

Ordinance;

- 24 -

Narragansett Gaming Ordinance
Sec. ~?./7

(k) approve any revision, repeal, or amendment of this Ordinance and

regulations of the Tribal Gaming Commission promulgated under

authority of this Ordinance;

(1) establish and/or approve standards and procedures for inspection and

enforcement by which a gaming facility licensed under this Ordinance

shall be maintained in a manner which adequately protects the

environment and the public health and safety;

(m) take such other actions and issue such orders as the Council may deem

necessary to properly and fully perform its duties and responsibilities

under this Ordinance.

CHAPTER 3-- GAMING AUTHORIZED

3.1 Gaming Authorized (a) Class I and Class II gaming as provided herein are

hereby authorized on trust lands of the Tribe. Class III gaming is hereby

authorized on the trust lands of the Tribe to the extent provided under the

Tribal-State Compact approved by the Secretary of the Interior, or

procedures issued by the Secretary of the Interior. Gaming on tribal trust

lands is subject to the this Ordinance, regulations of the Tribal Gaming

Commission, the indian Gaming Regulatory Act and regulations of the

NIGC. The Tribal Gaming Commission shall, as to Class III gaming,

develop standards of operation and management for all gaming activities

consistent with the requirements of the Compact or procedures of the

Secretary of the Interior.

(b) Class II games shall include:

(i) bingo (whether or not electronic, computer, or other technologic

aids are used in connection therewith), including, if played in

the same location, pull-tabs, lotto, punch boards, tip jars, instant

bingo, and other games similar to bingo as defined under 25

C.F.R. § 502.9.

(ii) non-banking card games defined as class II gaming under 25

C.F.R. § 502.3(c).

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25 -

Narragansett Gaming Ordinance
Sec. 3.1/b

(iii) any game determined to be a class II game by Congressional

amendment of the Act, by regulation, or by decision of the NIGC

or the federal courts.

(c) Class III games as follows may be licensed for conduct on tribal lands:

(i) such games as may be provided for in the Tribal-State compact

between the Tribe and the State of Rhode Island.

(ii) Such games authorized under the procedures set forth in the

Indian Gaming Regulatory Act at 25 U.S.C. § 2710(d)(7)(B).

3.2 Prohibition Against Gaming No person duly authorized by the

Commission shall engage, conduct or condone any game unless such game

is approved by this Tribal Gaming Commission and regulations governing

such game have been duly promulgated by the Tribal Gaming Commission

as required herein.

3.3 Authorization of Gaming The Tribal Gaming Commission shall, subject to

Council approval, promulgate regulations for rules governing all

authorized games, including regulations governing the equipment used in

such game; provided, however, that as to minimum standards of operation

governing Class III gaming, the Tribal Gaming Commission shall comply

with the provisions of the Tribal-State compact, or procedures issued by the

Secretary of the Interior, regarding such standards. In the event that the

State fails to carry out duties arising under the compact, the Tribal Gaming

Commission shall assume such duties and responsibilities in accordance

with the provisions of the compact.

3.4 Approval of Gaming Equipment The Tribal Gaming Commission shall

review and approve all gaming equipment and other devices used in the

gaming operation as to quality, design, integrity, fairness, honesty and

suitability.

- 26 -

Narragansett Gaming Ordinance
Sec. ~4

(a) The Tribal Gaming Commission may require a prototype or sample

of any model of gaming equipment or other device used in the

gaming operation to be placed in the custody of the Director and

retained by him as a control for comparison purposes.

(b) Any evidence that gaming equipment or other devices used in the

gaming operation has been tampered with or altered in any way

which would affect the integrity, fairness, honesty or suitability of the

equipment or device shall be immediately reported to the Tribal

Gaming Commission.

3.5 Posting of Rules The Rules of each authorized game offered at any duly

licensed establishment shall be posted in a conspicuous location and shall be

clearly legible.

CHAPTER 4-- LICENSING OF GAMES AND PERSONNEL

4.1 Licensing and Regulation of Class II and Class III Gaming Activity

(a) A separate gaming license is required for:

(i) each person or entity having a management contract;

(ii) each primary management official and each key employee

whether employed by the management contractor or directly by

the Tribe; and

(iii) all other employees.

(iv) each place, facility, or location on Tribal Lands at which Class II

or Class III gaming is conducted.

(b) Except as provided herein, the Tribe will have the sole proprietary

interest and responsibility for the conduct of such gaming activity.

4.2 License and Regulation of Class III Gaming Activities; Tribal-State Compact

Required The Tribal Gaming Commission may license and regulate Class

-27-

Narragansett Gaming Ordinance
Sec. 41~.

III gaming activity if conducted in conformance with the terms and

conditions of the Tribal-State Compact entered into by the Tribe and the

State of Rhode Island approved by the United States Department of the

Interior, or pursuant to procedures provided by the Secretary of the Interior,

and/or the Chairperson of the NIGC and/or pursuant to any amendments

to the Indian Gaming Regulatory Act (IGRA, 25 U.S.C. 2701 ~t. ~

In addition to the above, the Tribal Gaming Commission may license and

regulate Class III gaming if:

(i) such gaming activity is subject to annual outside audits, which

may be encompassed within existing independent, tribal audit

systems, and provided to the Tribal Council;

(ii) all contracts for supplies, services, or concessions for any

aggregate amount in excess of $25,000 annually relating to such

gaming are also subject to independent audits;

(iii) the construction and maintenance of the gaming facility, and

the operation of that gaming is conducted in a manner which

adequately protects the environment and the publics health

and safety; and

(iv) all primary management officials and key employees of the

Class III gaming operation have successfully passed a

background investigation and have obtained licenses from the

Tribal Gaming Commission.

4.3 Mandatory License Any person seeking to conduct, operate, or manage any

gaming activity on Indian lands, or any person seeking employment

therefrom, shall apply for, and receive, all the required licenses and/or

approvals from the Tribal Gaming Commission, including the renewal of

an existing gaming license, prior to engaging in such gaming activities. The

license shall be conspicuously displayed at all times at the gaming

establishment. All licensed gaming employees actively employed by the

- 28 -

Narragansett Gaming Ordinance
Sec. #.3

Tribe or having access to the Gaming establishment shall be provided by the

Tribal Gaming Commission with identification badges which shall be

displayed or carried within the Gaming establishment. Engaging in such

gaming activities without first obtaining the required licenses and/or

approvals shall be deemed a violation of this Ordinance and shall be

punishable in accordance with this Ordinance. This provision shall not

preclude the Tribal Gaming Commission from entering into consulting

contracts, pending Council approval, for specified services, the payment of

which is fixed and not determined by a percentage of the net profits from

the gaming operation and otherwise meets the requirements of a consulting

contract as set forth by the NIGC.

4. 4 Non-Transferability of License Any license issued pursuant to the

provision of this Ordinance is valid only for the person or entity at the place

of business shown on the face thereof and for the period set forth by the

Tribal Gaming Commission. It is not assignable or otherwise transferable to

any other person or entity for any other location without approval of the

Tribal Council and/or NIGC as required by law.

4.5 Application Fee The Tribal Gaming Commission shall set a fee for

applications, background investigations and licenses. All such fees shall be

made payable to the Narragansett Indian Tribal Gaming Commission.

4.6 Failure of Applicant to Disclose Material Information An applicant for

licensing shall make true and full disclosure of all information to the

Director and Tribal Gaming Commission as necessary or appropriate in the

publics interest or as required in order to carry out the policies of this Tribe

relating to licensing and control of the gaming industry. It is the duty of the

applicant to disclose all information material to whether the applicants

involvement with gaming would jeopardize or compromise the Tribal

interest, whether or not the applicant has been specifically requested to

provide that information. It shall constitute a violation of this Ordinance to

fail to disclose, to mislead, to misstate, or to fail to keep current any such

material information to the Tribal Gaming Commission, or to any

licensees employer.

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29 -

Narragansett Gaming Ordinance
Sec.~~

4.7 Application Forms An application for any license or permit shall be signed

by the applicant if a natural person; or, in the case of an association or

partnership, by a member or partner thereof; or, in the case of a corporation,

by an executive officer thereof, or by some other person specifically

authorized by the corporation to sign the application, in which case written

evidence of the signators authority shall be attached. In addition, the

applicant shall provide evidence of authority of the signator or any other

representative to act for and bind the applicant. If any change is made in

that authority the Tribal Gaming Commission shall be immediately

informed in writing and until that information is filed with the Tribal

Gaming Commission any action of the representative shall be presumed to

be that of the applicant.

4. 8 Organizational Chart and Job Descriptions The management contractor shall

file along with the application an organizational chart of its management

organization and job descriptions of the employees of the gaming operation.

The chart shall identify which employees are or will be the primary

management officials and the key employees of the gaming operation.

4.9 Notices

(a) The following privacy notice prescribed by 25 C.F.R. § 556.2 shall be

placed on the application form for a key employee or a primary

management official before that form is filled out by an applicant:

In compliance with the Privacy Act of 1974, the following

information is provided: Solicitation of the information on this

form is authorized by 25 U.S.C. §~ 2701 et seq. The purpose of the

requested information is to determine the eligibility of

individuals to be employed in a gaming operation. The

information will be used by NIGC members and staff who have

need for the information in the performance of their official

duties. The information may be disclosed to appropriate Federal,

Tribal, State, local or foreign law enforcement and regulatory

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Narragansett Gaming Ordinance
Sec. .ç/~9~(~z)

agencies when relevant to civil, criminal or regulatory

investigations or prosecutions or when pursuant to a

requirement by a tribe or the NIGC in connection with the

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

gaming license, or investigations of activities while associated

with a tribe or a gaming operation. Failure to consent to the

disclosures indicated in this notice will result in a tribes being

unable to hire you in a primary management official or key

employee position.

The disclosure of your Social Security Number (SSN) is

voluntary. However, failure to supply a SSN may result in

errors in processing your application.

(b) The following notice regarding false statements prescribed by 25 C.F.R.

556.3, shall be placed on the application form for a key employee or a

primary official before that form is filled out by an applicant:

A false statement on any part of your application may be

grounds for not hiring you, or for firing you after you begin

work. Also, you may be punished by fine or imprisonment.

(U.S. Code, Title 18, Section 1001.)

(c) In accordance with federal law, all information provided to the

Tribal Gaming Commission shall be kept strictly confidential

and shall only be disclosed to authorized entities.

4.10 Application Information

(a) The Tribal Gaming Commission shall request from each Primary

Management Official, Key Employee and all other applicants, the

following information. Applicants, other than primary management

officials, key employees and persons or entities with a financial

interest in, or management responsibility for, the Management

Agreement, are exempt from subsections (a)(xvi)-(a)(xviii) below, and

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Narragansett Gaming Ordinance
Sec. ~j~)

such other background information the Tribal Gaming Commission

deems unìnecessary.

Any person licensed pursuant to this Ordinance shall have an

affirmative duty to inform the Tribal Gaming Commission in writing

of any subsequent events which may effect their continued eligibility

for a license.

(i) Full name, other names used (oral or written), social security

numbers(s), birth date, place of birth, citizenship, gender, all

languages (spoken or written);

(ii) Currently and for the previous 5 years: business and

employment positions held, ownership interests in those

businesses, business and residence addresses, and drivers

license numbers;

(iii) The names and current addresses of at least three personal

references, including one personal reference who was

acquainted with the applicant during each period of residence

listed under paragraph (a)(ii) of this section;

(iv) Current business and residence telephone numbers;

(v) A description of any existing and previous business

relationships with Indian tribes, including ownership interests

in those businesses;

(vi) A description of any existing and previous business

relationships with the gaming industry generally, including

ownership interests in those businesses;

(vii) The name and address of any licensing or regulatory agency

with which the person has filed an application for a license or

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32-

Narragansett Gaming Ordinance
Sec. 4~~~/)

permit related to gaming, whether or not such license or

permit was granted;

(viii) For each felony for which there is an ongoing prosecution or a

conviction, the charge, the name and address of the court

involved, and the date and disposition if any;

(ix) For each misdemeanor conviction or ongoing misdemeanor

prosecution (excluding minor traffic violations), within 10

years of the date of the application, the name and address of the

court involved and the date and disposition;

(x) For each criminal charge (excluding minor traffic charges)

whether or not there is a conviction, if such criminal charge is

within 10 years of the date of the application and is not

otherwise listed pursuant to paragraph (viii) or (ix) of this

section, the criminal charge, the name and address of the court

involved and the date and disposition;

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

with which the person has filed an application for an

occupational license or permit, whether or not such license or

permit was granted;

(xii) A current photograph;

(xiii) A history of the applicants educational background;

(xiv) A description of the applicants immediate family including an

explanation of the relationships described (e.g., parents,

guardians, etc.);

(xv) Marital status;

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Narragansett Gaming Ordinance
Sec. i/i~/a)

(xvi) Any financial statement from the applicants accountant or

other financial information specifically requested on the

application form, for example, income sources, assets owned,

insurance policies, mortgages, and other information relating

to the filing of bankruptcy or other obligations;

(xvii) When specifically requested by the NIGC, copies of the

applicants tax returns for the prior three (3) years;

(xviii) Fingerprints of the applicant to be taken by the Department of

Law Enforcement of the Narragansett Tribe or other law

enforcement agency designated by the Tribal Gaming

Commission for a criminal history check. A criminal history

check will include a check of criminal history records

information maintained by the Federal Bureau of

Investigation;

(xix) A statement authorizing law enforcement agencies and prior

employers to release information and respond to questions

relating to the applicants records, habits, reputation, and

associations;

(xx) All applicants are required to submit to a drug screening test

and, if employed, random screening tests thereafter; and

(xxi) Any other information the Tribal Gaming Commission deems

relevant.

4.11 Existing Management Contracts Each applicant for a gaming license who

has or will have a contract with the Tribe to manage a Tribal gaming

operation shall state whether or not he/she already has a management

contract to operate any Indian or non-Indian gaming operation and, if so, a

description of the location of each such operation.

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Narragansett Gaming Ordinance
Sec. 4

4.12 IGRA and NIGC Requirements for Applications A management

contractors application shall include information required by 25 U.S.C.

~ 2711 and 25 C.F.R. ~ 537.1.

4.13 Oualifications on Licensing The Tribal Gaming Commission may issue or

renew a gaming license to an applicant who submits a proper and

completed application and pays the appropriate annual fee, provided that

no license shall be issued to or renewed for an applicant:

(a) who is not a person of good character, honesty, and integrity;

(b) whose prior activities, criminal record, reputation, habits, and

associations pose a threat to the public interest of the Narragansett

Tribe and/or Tribal lands or to the effective regulation and control of

gaming, or create or enhance the dangers of unsuitable, unfair, or

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

the carrying on of the business and financial arrangements incidental

to the conduct of gaming;

(c) who has supplied false and/or misleading information or who has

omitted material information required under this Ordinance, the

Indian Gaming Regulatory Act and 25 C.F.R. Chapter III;

(d) who has had, or who is in privity with anyone who has had, a

gaming license revoked for cause in any jurisdiction;

(e) who is delinquent in the payment of any obligation owed to the Tribe

pursuant to this Ordinance or a management contract;

(f) who has failed to comply with any official written orders issued or

regulations promulgated by the Tribal Gaming Commission, this

Ordinance or any resolution adopted by the Tribal Council;

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35 -

Narragansett Gaming Ordinance
Sec. 4./s

(g) who occupies a competing position within a one hundred fifty mile

radius of the tribal gaming enterprise without a written agreement

with the Tribe; or

(h) who has violated any of the requirements set forth in 25 U.S.C.

§ 2711(a) and (e).

4.14 Eligibility Determination The Tribal Gaming Commission shall make the

initial decision as to whether a gaming license shall be issued, suspended or

revoked. The Tribal Gaming Commission shall make a finding concerning

the eligibility of a key employee or primary management official for

employment in a gaming operation in accordance with Section 4.13. If the

Tribal Gaming Commission determines, after applying the standards

adopted herein, that employment of the person poses a threat to the public

interest or to the effective regulation of gaming, or creates or enhances

dangers of unsuitable, unfair, or illegal practices and methods and activities

in the conduct of gaming, it shall deny the license application and a tribal

gaming operation shall not employ that person in a key employee, primary

management official, or other position. The applicant shall have the right

to appeal a determination to the Tribal Gaming Commission as provided at

Section 15. The Councils decision on the appeal shall be based solely upon

the criteria listed in this Section.

4.15 Background Investigation Procedures

(a) The Tribal Gaming Commission shall conduct, or cause to be

conducted, an investigation sufficient to make a determination under

Section 4.14. In conducting a background investigation, the Tribal

Gaming Commission and its agents shall keep confidential the

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

With regard to background investigations concerning Class III

gaming, the Tribal Gaming Commission shall also comply with the

requirements of the Tribal-State Compact or procedures of the

Secretary of the Interior.

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36-

Narragansett Gaming Ordinance
Sec. ~/5

(b) The procedures for conducting background investigations on key

employees and primary management officials in order to determine

their eligibility for employment shall include, at a minimum:

(i) Criminal history check by a law enforcement agency, under the

direction of the Director, including, at a minimum, a check of

criminal history records maintained by the Federal Bureau of

Investigation;

(ii) Civil history check;

(iii) Reference check;

(iv) Previous business and employment check;

(v) Business and personal associates check;

(vi) Educational verification;

(vii) Documentation of the disposition of all potential problem

areas and disqualifying information noted; and

(viii) Local police check in locations where applicant has resided.

(c) The procedures for conducting background investigations on any

other employee shall be appropriate to the employees job category.

4.16 Reports of Background Investigations to the NIGC

(a) The Tribal Gaming Commission shall prepare and forward to the

NIGC a completed investigation report summarizing each

background investigation of a primary management official or key

employee that the Tribal Gaming Commission employs or intends to

employ with a copy of the eligibility determination made under

Section 4.14.

(b) Within sixty (60) days after a key employee or primary management

official begins work, the Tribal Gaming Commission shall forward to

the NIGC the investigative report.

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Narragansett Gaming Ordinance
Sec. 4/c~

(c) Before issuing a license to a primary management official or key

employee, the Tribal Gaming Commission shall prepare and forward

to the NIGC an investigative report on each background

investigation which shall set forth, in detail, the:

(i) Steps taken in conducting the background investigation;

(ii) Results obtained;

(iii) Conclusions reached; and

(iv) The basis for those conclusions.

(d) When the Tribal Gaming Commission forwards its report to the

NIGC, it shall include a copy of the eligibility determination made in

accordance with 25 C.F.R. § 558.2.

(e) If a license is not issued to an applicant, the Tribal Gaming

Commission:

(i) Shall notify the NIGC and,

(ii) May forward copies of its eligibility determination and

investigative report (if any) to the NIGC for inclusion in the

Indian Gaming Individuals Records System.

(f) With respect to key employees and primary management officials,

the Tribal Gaming Commission shall retain applications for gaming

licenses and reports (if any) of background investigations for

inspection by the Chairman of the NIGC or his or her designee for no

less than three (3) years from the date of termination of employment.

(g) A gaming operation shall not employ as a key employee or primary

management official a person who does not have a gaming license

ninety (90) days after a license application has been submitted to the

NIGC.

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Narragansett Gaming Ordinance
Sec.

4.17 Temporary Employment Licenses The Tribal Gaming Commission shall

issue a temporary employment license to any person or entity applying for a

license to work in a licensed gaming establishment, unless the criminal

record check discloses that the applicant has a criminal history, or as for

Class III gaming, there are other grounds sufficient to disqualify the

applicant pursuant to the licensing provisions of the Compact apparent on

the face of the application. Such temporary license shall be valid pending

the background investigation of the applicant, but in no event shall such

temporary license be valid for longer than 90 days.

4.18 Granting a Gaming License

(a) If within a thirty (30) day period after the NIGC receives a report, the

NIGC notifies the Tribal Gaming Commission that it has no objection

to the issuance of a license pursuant to a license application filed by a

key employee or a primary management official for whom the Tribal

Gaming Commission has provided an application and investigative

report to the NIGC, the Tribal Gaming Commission may issue a

license to such applicant.

(b) The Director shall respond to a request for additional information

from the Chairman of the NIGC concerning a key employee or a

primary management official who is the subject of a report. Such a

request shall suspend the 30-day period under paragraph (a) of this

section until the Chairman of the NIGC receives the additional

information.

(c) If, within the thirty (30) day period described above, the NIGC

provides the Tribal Gaming Commission with a statement itemizing

objections to the issuance of a license to a key employee or to a

primary management official for whom the Tribal Gaming

Commission has provided an application and investigative report to

the NIGC, the Tribal Gaming Commission shall reconsider the

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

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Narragansett Gaming Ordinance
Sec. 4/8&)

The Tribal Gaming Commission shall make the final decision

whether to issue a license to such applicant.

4.19 License Suspension

(a) If, after the issuance of a gaming license, the Tribal Gaming

Commission receives from the NIGC or an appropriate law

enforcement department reliable written information indicating that

a key employee or a primary management official is not eligible for

employment as provided herein, the Tribal Gaming Commission

shall suspend such license and shall notify in writing the licensee of

the suspension and the proposed revocation.

(b) The Tribal Gaming Commission shall notify the licensee in writing

of the time and place for a hearing on the proposed revocation of a

license.

(c) After a hearing as provided for at Section 15, the Tribal Gaming

Commission shall decide to revoke or to reinstate a gaming license.

The licensee shall have the right to appeal such a determination to

the Council, as provided at Section 15. The Tribal Gaming

Commission shall notify the NIGC of both its decision, and the

results of any appeal to the Council.

4.20 Request by State Upon the written request of the State, the Tribal Gaming

Commission shall suspend, revoke, or deny any Class III gaming employee

license, if the information provided by the State would justify denial of the

original license, or renewal thereof, pursuant to Section 4.13 of this

Ordinance. If the Tribal Gaming Commission does not agree with the States

determination, then the question shall be submitted to the NIGC for

resolution. During the period of review by the NIGC, the employee may be

allowed to work at a non-licensed position.

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Narragansett Gaming Ordinance
Sec. /

4.21 Authorization Required for Class III Licenses For any Class III gaming, no

license shall be issued by the Tribal Gaming Commission which is not in

compliance with the tribal-state compact or procedures set forth in the

Indian Gaming Regulatory Act at 25 U.S.C. § 2710(d)(7)(B).

4.22 Term of License Each license shall be valid for at least one year and shall

commence and expire as determined by the Tribal Gaming Commission.

4.23 Licensing of Distributors The Tribal Gaming Commission may authorize,

require and issue such annual licenses as the Tribal Gaming Commission by

regulation may provide, to any person or entity to engage in the selling,

distributing, or otherwise supplying of gambling equipment or

paraphernalia for use in connection with licensed gaming activity.

CHAPTER 5 -- GAMING LICENSE FEES

5.1 Annual Fee The annual fee for each gaming license issued pursuant to this

Ordinance to the holder of a valid management contract shall be Ten

Thousand Dollars ($10,000) and for each primary management official and

key employee shall be One-Hundred Dollars ($100) and for all other

applicants shall be Twenty-Five Dollars ($25). The Tribal Gaming

Commission may waive the annual fee on a case-by-case basis.

5.2 Adjustment of Fee The Tribal Gaming Commission may adjust the amount

of the annual fee, provided that any adjustment shall take effect only on the

ensuing date of renewal for licensees seeking renewal.

5.3 When Fee Due The initial annual gaming license fee shall be paid with the

submission of the applicants completed application, and subsequent annual

license fees shall be paid in advance of the issuance or renewal of a gaming

license.

5.4 Prorated Fee The annual license fee may be prorated in the case of each

initially issued gaming license.

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Narragansett Gaming Ordinance
Sec. ~.5

5.5 Deposit of Fees All moneys collected or received by the Tribal Gaming

Commission from the conduct of gaming regulation activities shall be

deposited daily in a separate bank account designated by the Tribal Treasurer,

which account shall contain only such moneys. All expenses shall be

withdrawn from such account by consecutively numbered checks duly

signed by the Director and payable to a specific person or organization. There

shall also be written on the check the nature of the expense for which the

check is drawn. No check shall be drawn to cash or a fictitious payee. Wire

transfers shall be allowed with proper documentation.

CHAPTER 6-- USE OF GAMING REVENUE

6.1 Use of Net Revenues The Tribes share of net revenues are not to be used

for purposes other than:

(i) to fund tribal government operations and programs;

(ii) to provide for the general welfare of the Tribe and its members;

(iii) to promote tribal economic development;

(iv) to donate to charitable organizations;

(v) to help fund operations of local government agencies.

6.2 Secretary Approved Plan Net revenues from the gaming establishment

may be used to make per capita payments to members of the Tribe upon the

preparation of a plan approved by the Tribal Council and submitted to the

Secretary of the Interior pursuant to the requirements of 25 U.S.C.

§ 2710(b)(3).

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Narragansett Gaming Ordinance
Sec. 7

CHAPTER 7-- RECORDS AND REPORTS

7J Required Records A Gaming Operation shall keep permanent books of

account or records, including inventory records of gaming supplies,

sufficient to establish the amount of gross and net income, deductions and

expenses, receipts and disbursements, and other information required in

any financial statement, report, or other accounting prepared pursuant to

the Act or Chapter III of Title 25 C.F.R. A Gaming Operation shall also

maintain all logs required by the Compact, which shall be available for

inspection by the State gaming agency in accordance with the enforcement

provisions of the Compact.

7.2 Report to Tribal Gaming Commission No later than the twenty-fifth (25th)

day of each month, Manager shall provide, in a report form prescribed by

the Tribal Gaming Commission, a statement of gross revenues (gaming and

non-gaming), Net Revenues (gaming and non-gaming), Operating

Expenses, and prizes paid at each Gaming Establishment during the

immediate preceding month, together with such other reports as are

required of Manager under an approved Management Agreement.

7.3 Access to Records All papers, books, and records including computer

records of the Gaming Operation relating to licensed gaming activities shall

be subject to inspection, examination, photocopying, and auditing by the

Tribal Gaming Commission and the Commissions authorized

representatives at any time. All such papers, books, and records shall be

retained not less than six (6) years.

7.4 Insurance Policies A copy of all insurance policies covering the gaming

enterprise or any part thereof shall be filed with the Tribal Gaming

Commission.

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Narragansett Gaming Ordinance
Sec. ~

CHAPTER 8-- AUDITING AND INTERNAL CONTROL

8.1 Minimum Procedures for Control of Internal Fiscal Affairs The Tribal

Gaming Commission shall promulgate or review, subject to Council

approval, regulations for control of internal fiscal audits of all gaming

operations. At a minimum, those regulations shall:

(a) Prescribe minimum procedures for safeguarding the gaming

operations assets and revenues, including recording of cash and

evidences of indebtedness, mandatory count procedures. Such

procedures shall establish a control environment, accounting system,

and control procedures that safeguard the assets of the organization,

assures that operating transactions are properly recorded, promote

operational efficiency, and encourage adherence to prescribed policies.

(b) Prescribe minimum reporting requirements to the Tribal Gaming

Commission.

(c) Provide for the adoption and use of internal audits, by internal

auditors and Certified Public Accountants licensed to practice

accounting in the State of Rhode Island.

(d) Formulate a uniform code of accounts and accounting classifications

to assure consistence, comparability and effective disclosure of

financial information. Such code shall require that records be

retained that, at a minimum, reflect statistical drop (amount of cash

wagered by patrons), statistical win (amount of cash won by the

gaming operating) and the percentage of statistical win to statistical

drop, or provide similar information, for each type of game, or each

gaming device.

(e) Prescribe the intervals at which such information shall be furnished.

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Narragansett Gaming Ordinance
Sec. ~.

(f) Provide for the maintenance of documentation (i.e., checklists,

programs, reports, etc) to evidence all internal work performed as it

relates to the requirements of this section.

(g) Provide that all financial statements and documentation referred to

in section (f) be maintained for a minimum of five (5) years.

8.2 Tribal Gaming Commission Oversight of Internal Fiscal Affairs The Tribal

Gaming Commission shall, by regulation approved by the Tribal Council,

require audits to be conducted no less frequently than annually of the

financial statements of all gaming operations. Such audits must:

(a) be made by independent Certified Public Accountants holding a

permit issued by the State of Rhode Island to practice public

accounting;

(b) include an opinion that the financial statement fairly and accurately

presents the financial condition of the gaming operation in

accordance with generally accepted accounting principles (GAAP) and

in accordance with the standards of the accounting profession

established by rules and regulations of the American Institute of

Certified Public Accountants. Audits of the gaming operation

required under this Section may be conducted in conjunction with

any other independent audit of the Tribe, provided that the

requirements of Chapter III of Title 25 C.F.R. are met;

(c) disclose whether the accounts, records, and control procedures

maintained by the gaming operation are as required by the

regulations promulgated by the NIGC and this Ordinance; and

(d) provide for a preliminary review of the internal control structure,

upon adoption of the polices and procedures by the entity, to disclose

any deviation from prescribed rules and regulations and report such

findings to the Tribal Gaming Commission.

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Narragansett Gaming Ordinance
Sec. ~

(e) The scope of these audits shall include all gaming related contracts

that result in the purchase of supplies, services or concessions in

excess of $25,000 annually (except contracts for professional, legal and

accounting services). Resulting audit reports shall be submitted to

the NIGC.

8.3 Commissions Right to Conduct Audit The Tribal Gaming Commission

shall be able to retain its own appointed accountants, or direct an accountant

employed by the Tribe to conduct its own audit of any gaming operation.

8.4 Prohibition Against Embezzlement Any delay, maneuver or action of any

kind which in the opinion of the Tribal Gaming Commission is effectuated

by any licensee to unlawfully divert gaming or other proceeds properly

belonging to the Tribe shall constitute grounds for taking disciplinary action

against that licensee. If the Tribal Gaming Commission finds an unlawful

diversion was attempted, it shall sanction the licensee. Sanctions may

include fining, revoking, suspending, limiting or refusing to renew the

license.

8.5 Copies of Audit Reports The Tribal Gaming Commission shall submit to

the NIGC a copy of the audit report(s) and management letter(s) setting

forth the results of each annual audit within one hundred twenty (120) days

after the end of each fiscal year of the gaming operation(s) resulting from

the audit(s) conducted pursuant to Section 8.2 above.

8.6 Relationship of Audited Financial Statements to Fee Assessment Reports

The Tribal Gaming Commission shall reconcile its quarterly fee assessment

reports, submitted under 25 C.F.R. Part 514, with its audited financial

statements and make available such reconciliation upon request by the

NIGCs authorized representative.

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Narragansett Gaming Ordinance
Sec. 9

CHAPTER 9-- EXCLUSION OR EJECTION OF INDIVIDUALS

9.1 Notice of Rules Notice regarding the improper conduct set out in this

Ordinance or other gaming rules established and enforced by the Tribal

Gaming Commission shall be posted at the entrance of each gaming

establishment and/or given to the customer upon entering the premises.

9.2 Ejection for Improper Conduct The following improper conduct shall

result in ejection of a customer from any gaming establishment:

(a) cheating as defined in this Ordinance;

(b) possession of any weapon or firearm in the gaming establishment;

(c) possession of alcohol that has been brought by a customer into the

gaming establishment;

(d) possession of a controlled substance in the gaming establishment;

(e) disorderly conduct, including the willful, or wanton disregard for the

rights of others; and

(f) any other act which is disruptive to the gaming operation.

9.3 Failure to Provide Proof of Age Failure by a customer to provide proof of

age when requested by gaming operation personnel shall result in ejection

of the customer from the premises but the admission fee, if any, shall be

refunded.

9.4 Ejection by Appropriate Personnel Ejection of a customer shall be

accomplished by authorized security personnel of the gaming operation, or

such other authorized law enforcement agency conducting security and law

enforcement on Tribal trust lands.

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Narragansett Gaming Ordinance
Sec. 9

9.5 List of Undesirables The Tribal Gaming Commission may, by regulation

approved by the Tribal Council, provide for the establishment of a list of

persons who are to be excluded or ejected from any duly licensed gaming

operation. The list may include any person whose presence in the gaming

establishment is determined by the Tribal Gaming Commission to pose a

threat to the interests of the Tribe, the public, or to licensed gaming. Race,

color, creed, national origin or ancestry or sex must not be grounds for

placing the name of a person on the list.

9.6 Notice and Opportunity to be Heard The Tribal Gaming Commission shall

promulgate regulations, approved by the Tribal Council, providing fair

notice and opportunity to be heard to any individual whose name is being

contemplated by the Tribal Gaming Commission to be placed on the list

referred to in Section 9.5. Such regulations must provide the person an

opportunity to show cause why his name should be deleted from the list.

The individual may appeal any decision of the Tribal Gaming Commission

to place his name on the list.

9.7 Prohibition Against Listed Individuals It shall be a violation of this

Ordinance for any licensee to knowingly fail to exclude or eject from the

gaming establishment any persons placed on the list referred to in section

9.5. It shall a violation of this Ordinance for any person whose name

appears on the list referred to in section 9.5 to enter, or engage in any game

at, a duly licensed gaming establishment.

CHAPTER 10-- CHEATING

10.1 Unlawful Acts It is unlawful for any person:

(a) to alter or misrepresent the outcome of a game or other event on

which wagers have been made after the outcome is made sure but

before it is revealed to the players;

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Narragansett Gaming Ordinance
Sec. JO.

(b) to place, increase or decrease a bet or to determine the course of play

after acquiring knowledge, not available to all players, of the outcome

of the game or knowledge of any event that affects the outcome of the

game or knowledge that is the subject of the bet or wager;

(c) to aid anyone in acquiring such knowledge as set forth in

subparagraph (b), for the purpose of increasing or decreasing a bet or

wager, or for the purpose of determining the course of play

contingent upon that event or outcome;

(d) to claim, collect or take, or attempt to claim, collect or take, money or

anything of value in or from a gambling game with intent to defraud,

without having made a wager contingent thereon, or to claim, collect

or take an amount greater than the amount won;

(e) to knowingly entice or induce another to go to any place where game

is being conducted or operated in violation of the provisions of this

chapter, with the intent that the other person play or participate in

that gambling game;

(f) to place or increase a bet or wager after acquiring knowledge of the

outcome of the game or event which is the subject of the bet or wager,

including past-posting and pressing bets;

(g) to reduce the amount wagered or cancel the bet after acquiring

knowledge of the outcome of the game or other event which is the

subject of the bet or wager, including pinching bets; or

(h) to manipulate with intent to cheat, any component of a gaming

device in a manner contrary to the designed and normal operational

purpose for the component, with knowledge that the manipulation

affects the outcome of the game or with knowledge of any event that

affects the outcome of the game.

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Narragansett Gaming Ordinance
Sec. lO

10.2 Prohibition Against Electronic Device Except as specifically permitted by

the Tribal Gaming Commission, no person shall possess with the intent to

use, or actually use, at any game, either by himself or in concert with others

any calculator, computer or other electronic, electrical, or electromechanical

device to assist in projecting an outcome at any game, to keep track of or

analyze the cards having been dealt, to change the probabilities of any game

or the playing strategies to be utilized.

CHAPTER 11-- VIOLATIONS

11.1 Gaming Without a License No person shall operate or conduct any gaming

activity in a gaming establishment within the exterior boundaries of the

Narragansett Tribal lands without a gaming license issued by the Tribal

Gaming Commission, as required by this Ordinance.

11.2 False or Misleading Information No licensee or license applicant shall

knowingly provide false or misleading information in connection with any

document or proceeding under this Ordinance, Tribal resolution, Indian

Gaming Regulatory Act, or 25 C.F.R. Chapter III.

11.3 Accounting for Money No licensee shall fail to account fully for all moneys

received or collected in connection with gaming activities or to file any

report required by the management contract.

11.4 Access to Gaming Operation No gaming operation shall refuse to allow a

duly authorized representative of the Tribal Gaming Commission, duly

authorized Tribal Councilmember, or duly authorized representative of the

NIGC to enter or inspect a gaming operation in accordance with 25 C.F.R.

§~ 571.5 or 571.6, or a Tribal Ordinance or resolution approved under 25

C.F.R. §~ 522 or 523. No gaming operation shall refuse to allow a duly

authorized representative of the State to enter or inspect a Class III gaming

operation in accordance with the provisions of the Compact.

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11.5 Minimum Age No person under the age of twenty-one (21) years shall be

permitted to participate in any gaming activities. Notwithstanding any

other Tribal ordinance or regulation, no person under twenty-one (21) years

of age shall be employed by the gaming operation to serve alcoholic

beverages.

11.6 Cheating No person shall engage in cheating (as that term is defined in this

Section, Section 1.2(f) and Section 10 of this Ordinance) in any gaming

activity or engage in any fraudulent conduct affecting either the Tribe or a

customer of a gaming operation.

11.7 Firearms and Other Weapons (a) No person, other than an authorized law

enforcement officer, may enter or remain in a gaming establishment

licensed under this Ordinance while in the possession of a firearm or other

weapon.

(b) Upon the written authorization of the Tribal Gaming Commission,

individuals licensed by the Tribe and the State to possess and carry firearms,

who are hired to transport deposits to or from the gaming operation may

carry firearms only in designated areas of the gaming facility.

11.8 Violation of Rules or Regulations No person shall intentionally violate

any of the regulatory provisions of the other sections of this Ordinance, nor

any rule, regulation or order of the Tribal Gaming Commission or the

Tribal Council.

11.9 Privity with Violator Any person who is in privity with a violator (as the

term in privity with is defined in Section 1.2(x) of this Ordinance) shall be

deemed to be in violation of this Ordinance to the same extent as the

violator, and shall be treated accordingly.

11.10 Responsibility of Licensee The licensee is responsible to ensure that all

primary management officials and key employees assisting in operating any

gaming activity on the licensees behalf comply with this Ordinance. A

violation of this Ordinance by any such officials or employees, unless

otherwise provided in an approved management agreement, shall be

deemed a violation by the licensee, subjecting such licensee to civil

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enforcement action consistent with an approved management agreement,

and it shall not be a defense that the licensee was unaware of the violation.

11.11 Prohibited Conduct No person, whether playing in or conducting any

gaming activity authorized under this Ordinance, shall:

(a) use bogus or counterfeit cards, or substitute or use any game cards

that have been tampered with;

(b) employ or have on ones person any cheating device to facilitate

cheating in any gaming activity;

(c) use any fraudulent scheme or technique, including when an operator

or player of games of charitable gaming tickets directly or indirectly

solicits, provides, or receives inside information of the status of a

game for the benefit of either person; or

(d) knowingly cause, aid, abet, or conspire with another person or cause

any person to violate any provision of this Ordinance or any rule

adopted under this Ordinance.

11.12 Sanctions Any person who engages in activities on property subject to the

provisions of this Gaming Ordinance without a license, in violation of any

license or terms imposed thereon, in violation of terms of suspension, or in

violation of the Ordinance, including any person who unlawfully trespasses

upon any premises licensed by this Ordinance without the consent of the

licensee and/or the Tribal Gaming Commission shall be guilty of an offense

and be fined in accordance with the provisions of Section 13 of this

Ordinance.

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CHAPTER 12 -- NOTICE OF VIOLATION

12.1 Issuance of Notice of Violation The Tribal Gaming Commission may issue

a written notice of violation to any person for violation of any provision of

this Ordinance.

12.2 Content of Notice of Violation A notice of violation shall contain:

(a) a citation to the Ordinance provision that has been or is being

violated;

(b) a description of the circumstances surrounding the violation, set

forth in common and concise language;

(c) measures, if any, required to correct the violation;

(d) where applicable, a statement that the violation must be corrected

within five (5) Business Days from the date the notice was issued;

(e) a statement of the alleged violators rights of appeal; and

(f) the amount of any civil fines which the alleged violator may be

required to pay pursuant to Section 13 below.

CHAPTER 13 -- CIVIL FINES

13.1 Violations of Ordinance -

Fines; Penalties In issuing a notice of violation

under Section 12 of this Ordinance, the Tribal Gaming Commission may:

(a) Impose a civil fine of no more than Five Thousand Dollars ($5,000),

unless another amount is stated, for each separate count or violation.

Each day of violation shall constitute a separate count or violation

under this Ordinance. A violator may also be required to pay court

costs, storage fees, and auction or sales fees. All property used or

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which may be used in activities in each and every separate violation

of this Ordinance may become the property of the Tribe; persons may

be prohibited from trespassing on premises licensed under this

Ordinance, licenses may be suspended, revoked, or limited and/or

establishments may be forcibly closed. AU such action shall be taken

at the discretion of the Tribal Gaming Commission consistent with

this Ordinance, subject to the right of appeal. Winnings found to

have been received in violation of this Ordinance are forfeited and

become the property of the Tribe.

(b) Impose a penalty of One Hundred ($100) Dollars per day for failure to

submit to the Tribal Gaming Commission any report required under

this Ordinance when it is due, and One Thousand ($1,000) Dollars per

day for failure to file any such report after three-day written notice

and demand.

13.2 How Assessments are Made The Tribal Gaming Commission shall review

each notice of violation to determine whether a civil fine will be assessed,

the amount of the fine, and, in the case of a continuing violation, whether

such daily violation will be deemed a separate violation for purposes of the

total civil fine assessed.

13.3 Procedures for Assessment of a Civil Fine

(a) Within five (5) Business Days after service of a notice of violation,

the alleged violator shall submit written information to the Tribal

Gaming Commission about the violation and any corrective

measures undertaken. The Tribal Gaming Commission shall

consider any information so submitted in determining the facts

surrounding the violation and the amount of the civil fine;

(b) The Tribal Gaming Commission shall serve a copy of the proposed

assessment on the alleged violator within ten (10) Business Days after

the notice of violation was issued, when practicable; and

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(c) The Tribal Gaming Commission may review and reassess any civil

fine if necessary to consider facts that were not reasonably available

on the date of issuance of the proposed assessment.

13.4 Final Assessment

(a) If the alleged violator fails to request a hearing as provided in Section

15 of this Ordinance, the proposed civil fine assessment shall become

a final order of the Tribal Gaming Commission;

(b) Civil fines assessed under this Section shall be paid by the person

assessed and in the event a management contractor is assessed, such

assessment shall not be treated as an operating Expense of the gaming

operation; and

(c) The Tribal Gaming Commission shall transfer civil fines paid under

this Ordinance to the Treasurer of the Tribe for deposit into an

account designated by the Council.

CHAPTER 14 -- CIVIL ENFORCEMENT

14.1 Enforcement Actions The Tribal Gaming Commission may take any one or

a combination of the following actions with respect to any person who

violates any provision of this Ordinance:

(a) Suspend or revoke any gaming license issued by the Tribal Gaming

Commission; and

(b) Impose any civil fines as determined appropriate by the Tribal

Gaming Commission under this Ordinance;

(c) Upon approval of the Council, bring an action in a court of

competent jurisdiction for imposition of one or more of the

following sanctions:

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(i) seizure of any gaming apparatus, proceeds, or other property of

a licensee or connected with the gaming activities engaged in

by the licensee;

(ii) collection of any unpaid fees, interest, penalties, and of any

civil fines unpaid after thirty (30) days; and

(iii) execution of any nonexempt property of a violator located

within the exterior boundaries of tribal lands;

(iv) in the case of an nonmember of the Tribe, expulsion from the

Tribal lands.

(d) Seize and impound any patrons winnings which the Tribal Gaming

Commission may have reasons to believe may have been won or

obtained in violation of this Ordinance pending a civil forfeiture

hearing on such seizure;

14.2 Court Jurisdiction Civil actions may be brought by the Tribal Gaming

Commission, after approval by the Tribal Council, in any court of

competent jurisdiction to enforce the provisions of this Ordinance.

14.3 Efforts of Commission Before Enforcement Action Before taking any action

authorized in Sections 13 and 14 of this Ordinance, the Tribal Gaming

Commission shall use its best efforts to notify the alleged violator, in person

or by letter delivered to his/her last known address, of the charges against

him/her, and allow the alleged violator an opportunity for a prompt

hearing. If the alleged violator fails to respond, or cannot be found, the

Tribal Gaming Commission may proceed with a hearing notwithstanding,

and take such action as it deems appropriate. Said notice of the alleged

violation shall be served at least three (3) Business Days prior to the hearing.

14.4 Acknowledgement of Authority and Jurisdiction Every person who applies

for a gaming license and accepts such license thereby acknowledges the civil

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enforcement jurisdiction and authority of the Tribal Gaming Commission

or a court of competent jurisdiction under this Ordinance to order an

execution on his/her nonexempt property, the suspension or termination

of his/her further conduct of gaming activities and the seizure of his/her

gaming equipment or proceeds or other property, located on tribal lands

upon a proper finding of the Tribal Gaming Commission or the court that

the person has violated a provision of this Ordinance, despite lack of actual

notice, provided that the Tribal Gaming Commission has made best efforts

to notify the accused personally or by letter delivered to his/her last known

address.

14.5 Subpoena Power The Tribal Gaming Commission shall have full power

and authority to issue subpoenas and compel the attendance of witnesses for

hearing at any place within the Reservation, to administer oaths and to

require testimony under oath. Any process or notice may be served in the

manner provided for service of process and notices in civil actions. The

Tribal Gaming Commission may pay such transportation and other

expenses of witnesses as it may deem reasonable and proper.

CHAPTER 15-- HEARINGS AND APPEALS

15.1 Scope This Chapter provides procedures for appeals to the Tribal Gaming

Commission regarding:

(a) the failure to issue, or the revocation, modification or suspension of a

license;

(b) a violation alleged in a notice of violation;

(c) civil fines assessed by the Tribal Gaming Commission in this

Ordinance; and

(d) amendments to this Ordinance or regulations or procedures issued

by the Tribal Gaming Commission.

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15.2 Notification of Hearing The Tribal Gaming Commission shall hold a

hearing on the proposed revocation or reinstatement of a suspended

gaming license under Section 4.19 held by a primary management official or

key employee pursuant to 25 C.F.R. § 558.5, or any other licensee, and before

modifying, suspending or revoking a contract. The licensee shall be notified

in writing by the Tribal Gaming Commission of the time and place for

hearing. After the hearing, the Tribal Gaming Commission shall decide to

revoke, modify or reinstate the gaming license. The Tribal Gaming

Commission shall notify the NIGC of its decision regarding primary

management officials or key employees in accordance with 25 C.F.R. § 558.5.

15.3 Petition for Waiver of Fines or Penalties Any licensee paying a civil fine or

penalty for any violation enumerated in this Ordinance may petition the

Commission for a partial or full waiver of suit, fine, or penalty. The

petition must set forth an explanation for the waiver and shall be filed

within thirty (30) days after the payments was made.

15.4 Petition for Hearing Any person aggrieved by a decision made or action

taken by the Tribal Gaming Commission without notice and opportunity

for hearing to the aggrieved person may petition the Tribal Gaming

Commission for a hearing and reconsideration. The petition shall be filed

within thirty (30) days after the petitioner knew or should have known of

the decision or action. The Tribal Gaming Commission shall grant a

prompt hearing upon receiving such a petition, and shall reconsider its

decision or action, affirm, modify, reverse and/or vacate its decision in light

of what is presented at a hearing.

15.5 Petition for Rehearing Any person aggrieved by a decision made or action

taken by the Tribal Gaming Commission after notice and opportunity for

hearing may petition the Tribal Gaming Commission for a rehearing and

reconsideration. Such petition shall specifically set forth the reasons for

aggrievement and be filed within thirty (30) days after the Commissions

initial decision. The Commission shall set the matter for hearing no later

than thirty (30) days and no sooner than ten (10) days after receipt of the

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petition for rehearing, and may affirm, modify, reverse and/or vacate its

initial decision in light of what is presented at a hearing.

15.6 Notification of Tribal Gaming Commission Decision Within three (3)

Business Days following its determination, the Tribal Gaming Commission

shall inform the subject in writing of its determination.

15.7 Right to Appeal to Tribal Council Any aggrieved party shall have the right

to appeal an adverse determination of the Tribal Gaming Commission to

the Tribal Council. Such appeal must be filed with the Tribal Council in

written form on or before the thirtieth (30th) day following receipt of the

final written determination of the Tribal Gaming Commission. In any

appropriate case which has been referred to the Tribal Council for final

action, the Tribal Council shall review the determination of the

Commission. The Council is the final interpreter of the Tribes regulations

and ordinances. The Councils decision shall be final and no further

appeals may be had.

(a) At the hearing before the Tribal Council, the burden of proof shall be

on the applicant to show cause why the Tribal Gaming Commissions

determination was incorrect. Following such hearing, the Tribal

Council shall reach a determination concerning:

(i) the accuracy of the preliminary certification of facts;

(ii) whether the license in question should be granted, continued,

suspended, revoked, conditioned, or limited; and

(iii) whether or not any other recommended action including, but

not limited to forfeitures, should be taken.

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CHAPTER 16-- SERVICE

16.1 Service on Tribe Any official determination, order, or notice of violation

issued by the NIGC, or notice, appeal or other official document shall be

served upon the Director, Narragansett Tribal Gaming Commission, P.O. Box

268, Charlestown, Rhode Island 02813. The Director shall promptly provide

copies of any such determination, order or notice to the Commissioners, the

Chief Sachem and Council, the Tribes attorneys, the Management

Contractor, and its attorneys.

16.2 Service on Management Contractor or Tribal Operator A management

contractor or a Tribal operator shall designate by written notification to the

NIGC an agent for service of any official determination, order, or notice of

violation.

CHAPTER 17-- DISPUTES

17.1 Disputes Between Patrons and the Tribal Gaming Operation

(a) Manager and a representative of the Tribal Gaming Commission

(Commission inspectors) shall be present at all times to resolve

complaints by customers.

(b) If Manager or a Tribal Gaming Commission inspector are unable to

resolve any dispute, as provided in (a), the matter may, upon request of

the customer, be referred to the Tribal Gaming Commission for

resolution. Action by the Tribal Gaming Commission

on a dispute may be initiated by the customer by making a written

request to the Narragansett Tribal Gaming Commission. The decision

of the Tribal Gaming Commission on any dispute so referred to it for

resolution may be appealed to the Tribal Council whose decision shall

be final.

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17.2 Development of Procedures for Tort and Other Contract Claims The Tribal

Gaming Commission shall develop or review procedures for the disposition

of tort claims arising from alleged injuries to patrons of the Tribes Gaming

establishment as well as contract claims arising from activities and

transactions relating to the gaming operation, subject to approval of the Tribal

Council. Nothing herein is intended as a waiver of the Tribes sovereign

immunity from suit.

17.3 Disputes Between Manager and Tribe Disputes between the management

contractor and the Tribe shall be handled in accordance with the provisions of

the approved Management Agreement.

17.4 Limitation of Actions The Tribal Gaming Commission and the Tribal

Council shall have no jurisdiction over any action brought more than three

(3) years after the cause of action arose, except that no statute of limitations

shall bar an action brought by the Tribe.

CHAFFER 18-- APPLICABLE LAW

18.1 Applicable Law All controversies involving contracts relating to gaming

entered under the authority of the Narragansett Tribe on its Tribal lands

shall be resolved, as appropriate, in accordance with:

(i) the Indian Gaming Regulatory Act, NIGC Regulations, other applicable

Federal laws, and

(ii) the laws and regulations of the Tribe.

18.2 Conflict Between Compact and Ordinance To the extent that the provisions

of any Tribal-State Compact entered into between the Narragansett Tribe of

Rhode Island and the State of Rhode Island are inconsistent with any

provisions of this Ordinance relating to Class III gaming, the provisions of

the compact shall govern Class III gaming on Narragansett Tribal lands.

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18.3 Incorporation by Reference If so required by the terms of a Tribal-State

Compact between the Narragansett Tribe and the State of Rhode Island, the

provisions set forth in the Compact are incorporated herein by reference.

CHAPTER 19 -- NATIONAL INDIAN GAMING COMMISSION

AND TRIBAL-STATE COMPACTS

19.1 NIGC -

Regulations Notwithstanding any provision in this Gaming

Ordinance or any regulation promulgated thereunder, the Tribal Gaming

Commission is fully empowered to comply with all regulations

promulgated by the NIGC, including but not limited to, all requirements to

report ordinances, contracts, license applications, background checks, and

other information to the NIGC.

19.2 NIGC -

Assessment Notwithstanding any provision in the Gaming

Ordinance or any regulation promulgated thereunder, the Tribal Gaming

Commission is fully empowered to comply with all assessments authorized

by the NIGC. Such assessments shall be considered an Operating Expense.

19.3 Compact with the State of Rhode Island (Class III only) Notwithstanding

any provision in this Gaming Ordinance or any regulation promulgated

thereunder pertaining to Class III gaming, the Tribal Gaming Commission

is fully empowered to implement and to comply with the provisions of any

compact executed between the Tribe and the State of Rhode Island, or

procedures issued by the Secretary of the Interior, including provisions

requiring background investigations of persons not subject to such

investigations under this Ordinance.

CHAPTER 20 -- MISCELLANEOUS

20.1 Security Each licensed gaming establishment must provide for reasonable

security by professionally qualified personnel. All security personnel must

be licensed by the Tribal Gaming Commission.

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Narragansett Gaming Ordinance
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20.2 Law Enforcement Plan The Tribe will work with the State of Rhode Island

to develop a law enforcement plan as required by the law enforcement

provisions of the Compact.

20.3 Changes in Ownership Interest Subject to the terms of any management

agreement, any transfer of an ownership interest in a management contract

shall require the approval of the Tribal Council and is void until and unless

so approved. The management contractor shall provide the information

required as to such transfer. Nothing herein shall alter the applicability of

25 C.F.R. § 535.2.

20.4 Conveying Interest in Land No management contract for the operation of a

gaming activity regulated by this Ordinance shall transfer or, in any other

manner, convey any interest in land or other real property, unless specific

applicable statutory authority exists and unless clearly specified in writing in

said contract.

20.5 Maintenance of Ordinance and Regulations Each licensed gaming

establishment shall obtain, maintain and keep current a copy of the Gaming

Ordinance and regulations promulgated thereunder, which shall be located

at the premises used for the conduct of a licensed activity. The Ordinance

and regulations shall be produced by the gaming establishment and shown to

any person upon demand. That the establishment may not have a current

copy of the Ordinance, or each of the rules of the Tribal Gaming

Commission, shall not in any way diminish the licensees obligation to abide

by the Ordinance and regulations.

20.6 Compliance with Other Laws The construction, maintenance and operation

of any facility in which gaming activities are to take place shall be in a

manner which adequately protects the environment and the publics health

and safety and shall comply with any otherwise applicable tribal and federal

laws relating to environmental protection and public health and safety. The

Tribal Gaming Commission shall establish or review standards and

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procedures to ensure the proper maintenance of the gaming facility and

other facilities and structures.

20.7 Amendments (a) All regulations promulgated by the Tribal Gaming

Commission are subject to proper revision, repeal or amendment by the

Tribal Council. The Tribal Gaming Commission may initiate and shall

advise the Tribal Council on all proposed amendments to this Ordinance.

(b) The Tribal Council shall approve, by majority vote, any such revision,

repeal or amendment of this Ordinance.

(c) Within fifteen (15) days after adoption by the Tribal Council, and as

required by 25 C.F.R. § 522.3, the Tribal Gaming Commission shall

submit for the NIGCs approval, any amendment to this Ordinance.

20.8 Severability If any provision of this Ordinance, or its application to any

person, purpose or circumstance, is held invalid, the full remainder of the

provision, or the application of the provision through another person or

circumstances, shall not be affected, nor shall the invalidity affect other

provisions or applications of the Ordinance which can be given effect and, to

this end, the provisions of this Ordinance are severable.

20.9 Repeal To the extent that they are inconsistent with this ordinance, all prior

gaming ordinances are hereby repealed.

20.10 Effective Date This Ordinance shall be effectively upon approval by the

Chairman of the NIGC.

Narr f/Gaming Ordinance 7395 (711)

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