San 9vfanuet~Ban~1 ofI?v(i,ssion itulians

CERTIFICATE

OF

RESOLUTION

GENERAL COUNCIL

OF ThE

SAN MANUEL BAND OF MISSION INDIANS

WHEREAS, the General Council of the San Manuel Band of Mission Indians, a

federally recognized Indian tribe (Tribe) desires to amend the San Manuel Gaming Act of

1989 adopted by the General Council on August 31, 1989 as Ordinance 89.02 (the

Ordinance) in order to facilitate the Tribes regulation of certain forms of gaming

conducted on the Tribes reservation;

WHEREAS, the Tribe finds that tribally controlled gaming on its reservation is a

valuable means of promoting tribal economic development, self-sufficiency, employment, job

training and strong triba~ government;

WHEREAS, the Tribe determines that when regulated by the Tribe, gaming on its

reservation can remain free from organized crime and other corrupting influences, and can be

conducted fairly and honestly by both the operators and the players;

WHEREAS, the Tribe has determined that the attached Ordinance, as amended, is

necessary to establish additional terms for gaming on tribal land in connection with the

continuing development and operation of such gaming consistent with the Ordinance and in

compliance with the federal Indian Gaming Regulatory Act (25 U.S.C. § 2701 ~ ~g.)

and regulations promulgated thereunder;

NOW, THEREFORE, IT IS AGREED that the attached Ordinance, as amended, is

hereby adopted and approved by the Tribes General Council pursuant to its authority under

Tribal law.

CERTIFICATION

By a vote of the General Council of the San Manuel Band of Mission Indians at a

duly noticed meeting at which a quorum was present, held at approximately 9:00 p.m. on

September 19, 1994, at the Tribal Meeting Hall on the San Manuel Indian Reservation, the

above-recited resolution was passed by the General Council following a vote of 10 for, 0

against and 0 abstentions. ,, /

-.

DATED: September 19, 1994 ~

Lynn Le Ro ,

Triba7 hairperson

DATED: September 19, 1994 ~

Christine I-Iernandez, Tribal S~ietary

5771 1N~~rt!i Vktoria~venuE 5f~gfitand Q~ 92346 Office: (909)864.8933 ~(909) 864-3370

T.O. ~Bo~ 266 !Pafltm, C~ 92369 3:cH~n\zc~oI\~tiflcjcs
CHAPTER 6. THE SAN MANUEL GAMING ACT OF 1989.1

SMTC 6.1 Title

This Chapter shall be kno~ as the SAN MANUEL GAMiNG ACT OF 1989.

SMTC 62 Findings and Policy

This (~)rdinance is adopted by the General Council of the Tribe, a federally recognized

Indian Tribe, pursuant to its authority under the Tribal Constitution; for the purpose of

establishing the terms for gaming on Tribal Lands for Tribal governmental and charitable

pulposes, and to continue to develop and operate such gaming consistent with the findings herein

and in conformity with the federal Indian Gaming Regulatory Act (IGRA), 25 U.S.C. § 2701

~ ~q., and regulations promulgated thereunder. The Tribe has been engaged in controlled

gaming on its reservation for Tribal governmental and charitable purposes for over three years

prior to the enactment of this Act. Based on its experience and observations in connection with

such gaming and its studies of similar experiences by other Indian tribes, the Tribe finds that

Tribally controlled gaming on its reservation is a valuable means of promoting Tribal economic

development, self-sufficiency, employment, job Iraining and strong Tribal government. The Tribe

further finds that when regulated by the Tribe, such gaming can remain free from organized

crime and other comipting influences and can be conducted fairly and honestly by both the

operators and the players.

The General Council finds that:

6.2.1 Revenues from gaming activities are needed for economic development, to promote

Tribal self-sufliciency and a strong Tribal government, and to fund and ensure essential social

programs and services;

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

to the Tribe and to regulate and control such gaming in a manner that will protect the

environment; the reservation; the health, security and general welfare of the Tribe; the players;

and the community; and

6.2.3 The Tribe desires to manage and regulate such gaming as authorized under this

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

Adc~ed by t1~ Ger~ra1 Oxirdil on August 31, 1989 as Onlimire 89.02.

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M1edSq%cnter1~94 6i
SMTC 6.3 Definitions

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

IGRA and any regulations promulgated thereunder, including but not limited to references to

Class I, Class II, and Class III gair~ing

6.3.2 Applicable Law shall mean the IGRA and regulations promulgated thereunder,

any Compact between the Tribe and the State, and all other applicable laws and regulations under

State, Federal, and Tribal law, including ordinances and regulations.

6.3.3 Closely Associated Independent Contractors shall mean any contractor that shares

common o~ership, officers or directors with any management principal or person related

thereto.

6.3.4 Commissioner shall mean a commissioner of the San Manuel Gaming

Commission.

6.3.5 Gaming shall mean an activity in which a person stakes or risks something of

value on the outcome of a contest of chance or a ftiture contingent event, not under his or her

control or influence, upon an agreement or understanding that the person, or someone else, will

receive something of value in the event of a certain outcome, but shall not include bona fide

business transactions.

6.3.6 Gaming Activities shall mean any Class I, Class II, or Class III gaming

conducted by or under the jurisdiction of the Tribe.

6.3.7 Gaming Commission mean the gaming commission established by the Tribe

to monitor gaming activities, investigate wrongdoing conduct background investigations and

issue licenses, and perform other duties as required for the regulation of gaming on the

Reservation. For the purpose of conducting background investigations of and issuing licenses

to the Commissioners and Gaming Commission staff; such persons shall be deemed to be key

employees under this ordinance and shall be required to hold a valid license consistent therewith.

6.3.8 Gaming Contractor shall mean any Person or entity supplying materials, supplies,

equipment, food, beverages, or services to the Gaming Enterprise.

6.3.9 Gaming-Related Contract shall mean any agreement under which materials,

supplies, equipment, food, beverages or services are to be supplied to the Gaining Enterprise.

6.3.10 Gaming Enterprise shall mean any gaming business, event, enterprise or activity

conducted by or under the jurisdiction of the Tribe.

6.3.11 General Council shall mean the governing body of the Tribe.

~,SANMAN~GAMIN-O9.OZ

~...k~XO1 Sq1fflt~ ~

6-2
6.3.12 Key Employeet shall mean a person who performs one or more of the following

functions: bingo caller, counting room supervisor, chief of security, custodian of gaming supplies

or cash, floor manager, pit boss, dealer, croupier, approver of credit, or custodian of gaming

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

If not otherwise included, any other person whose total cash compensation is in excess of

$50,000 per year, and the four most highly compensated persons in the gaming enterprise are

included in the definition of Key Employees. At the discretion of the Gaming Commission, other

positions or Persons may be included under the definition of Key Employee and shall be subject

to the requirements thereof.

6.3.13 National Indian Gaming Commission (NTGC) shall mean the federal gaming

commission established under IGRA.

6.3.14 Ordinance or Act shall mean the San Manuel Gaming Act of 1989.

6.3.15 Person shall mean any natural person or entity, including but not limited to

corporations, partnerships and trusts.

6.3.16 Primaiy Management Official shall mean the person who has management

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

employees or to set up working policy for the gaming enterprise; or the chief fmancial officer

or other person who has financial management responsibility. At the discretion of the Gaming

Commission, other positions or Persons may be included under the definition of Primary

Management Official and shall be subject to the requirements thereof.

6.3.17 Related to shall refer to persons who are related as a father, mother, sister or

brother.

6.3.18 Reservation shall mean all lands under the jurisdiction and control of the Tribe.

6.3.19 State shall mean the State of California.

6.3.20 Tribal Court shall mean any court established by the Tribe to hear disputes, or

if there is none, the General Council.

SMTC 6.4 Gaming Commission

6.4.1 There is established by the Tribe hereby a Commission to be known as the San

Manuel Gaming Commission. The Gaming Commission shall be composed ofthree (3) members

of the San Manuel General Council, all of whom shall be elected by the General Council. The

Commissioners shall serve for two (2) year terms, except that immediately after enaciment ofthis

Act two (2) of the Commissioners shall serve for three (3) years and the other Commissioner

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Mçwi Sqimixr I~4
shall serve for two (2) years. Commissioners may serve for more than one term, and may serve

past the expiration of their term until replaced or removed. A Commissioner may not be an

elected official of the Tribe or employed in any Gaming Enterprise while serving as a

Commissioner.

6.4.2 Background investigations of Gaming Commissioners and staff shall be conducted

by an independent investigator under the direction of the Tribes attorney. The attorney shall

keep the details ofthe investigation confidential, but the attorney may confer with the investigator

or any other person experienced in conducting or evaluating background investigations provided

such other person agrees to maintain the confidentiality of the information obtained about the

applicant. The attorney shall make a determination as to whether this Ordinances requirements

for suitability have been met, and if so shall certiI~ that finding in writing to the General

Council. In the event the attorney determines there is any reason to believe the applicant may

not meet the suitability standards under this Ordinance, the attorney shall so inform the applicant

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

in which to respond, by providing additional information or other reasons why the applicant

should be deemed suitable. If the attorney still believes the applicant is unsuitable, the attorney

shall so notif~, the applicant in writing, who shall have three (3) business days in which to either

withdraw from the employment committee (in which case the file shall be sealed) or request that

the application be reviewed by the Business Committee of the Tribe. In the event of such

review, only those items which the attorney believed rendered the applicant unsuitable shall be

revealed to the Business Committee by the attorney. The applicant can request any additional

information obtained by the attorney to be submitted to the Business Committee, and may

provide such further information as the Business Committee shall permit. Within ten (10) days

after closing its own review and investigation of such applicant, the Business Committee shall

render a final decision as to the applicant~s suitability. In the event of such a finding, the Gaming

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

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

6.4.3 Commissioners may only be removed from office before the expiration of their

terms by the General Council for neglect of duty, malfeasance or other good cause shown. Good

cause shall include repeated (at least three or more) failures to attend Commission meetings.

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

6.4.5 The Gaming Commission shall annually elect, by majority vote, a Chairman,

Secretary, and Treasurer to serve one-year terms. The Chairman shall preside over meetings of

the Gaming Commission. No Conmiissioner shall hold more than one position except where

there are insufficient Commissioners seated to fill all positions. The Secretary shall record in

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

Gaming Commission, and shall preside over meetings in the absence of the Chairman The

Treasurer will oversee receipt and disbursement of Gaming Commission funds. Checks drawn

on Gaming Commission accounts must be signed by any two (2) Commissioners.

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6.4.6 All actions of the Gaming Commission shall be taken by majority vote. The

Commission Chainnan may vote on any issue.

6.4.7 Subject to approval by the General Council, Commissioners may be reimbursed

for expenses incun~ed in connection with the performance of their duties as Commissioners.

6.4.8 Meetings of the Gaming Commission shall be held at least once per nionth~, on the

second Friday of the month at 10:00 a.m. at the offices of the Gaming Commission (Scheduled

Meetings). Any Tribal member may attend Scheduled Meetings. Scheduled Meetings may be

changed at any time by the Gaming Commission, with notice of such change posted prominently

at least five (5) business days in advance at the Office of the Gaming Commission. Additional

meetings shall be held as called by the Chairman or by at least two (2) Gaming Commissioners.

Notice of meetings shall be given in writing to each Gaming Commissioner, served by first class

mail or personal delivery at least five (5) business days prior to such meeting. Meetings may

be called at any time, by any means, with unanimous consent of the Gaming Commissioners.

All Commission discussions, deliberations, and votes taken regarding specific license applications

and related background investigations, or any other investigations, and any other matter the

Commission deems must be kept confidential in order to preserve the integrity of the Gaming

Enterprise or Tribe or to protect the privacy of the applicant, shall be held in Executive Session.

6.4.9 The Commission shall be deemed to be an agency of the Tribal government and

as such shall be subject to the personnel and other governmental administrative policies of the

Tribal government as the General Council shall determine from time to time. In the absence

of specific personnel policies, those affecting management level employees of the Gaming

Enterprise shall be applied to the operation of the Commission. Any exceptions to such policies

must be approved by the Tribes Business Committee. The Commission shall be funded through

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

General Council shall deem necessary. The Commission shall propose a budget sixty (60) days

before the end of each Tribal fiscal year after meeting and conferring with the Business

Committee regarding such budget, ~4iich shall be submitted to the General Council for approval

or modification. Within five (5) days after approval of the budget, funds from the Tribes

treasury shall be appropriated and transferred to the Commissions bank account, except that at

any time the General Council may prescribe other schedules for disbursing such funds. The

Commission shall maintain its accounts, books and records, including records of all income and

expenditures, in accordance with generally accepted accounting principles and consistent with

Tribal governmental policies regarding management of funds and records. A financial report

shall be rendered by the Commission to the General Council at least quarterly. All expenditures

shall stay within ten percent (10%) of the approved budget. Notwithstanding the fact that the

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

behalf of the General Council, for its administration,, the decisions of the Commission regarding

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

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

Commission has exceeded its authority under this Ordinance and if it deems the allegation to be

oz.sANMAN\GAMIr4-09.o2

Adcçxcd ScpCa~r 1994
true, shall refer the allegation to the General Council for action, which may include removal of

a Commissioner for cause.

SMTC 6.5 Powers and Duties

The Gaming Commission shall have the power and duty to:

6.5.1 Inspect, examine and monitor gaming activities, including the power to demand

access to and inspect, examine, photocopy and audit all papers, books and records respecting such

gaining activities;

6.5.2 Investigate any suspicion of wrongdoing in connection with any gaming activity;

6.5.3 Conduct or cause to be conducted such investigations as may be necessaiy to

determine in connection with any gaming activity, compliance with law or this Act or any

contracts, agreements, goods, services, events, incidents, or other matters related to gaming

activities;

6.5.4 Conduct background investigations regarding any person or entity in any way

connected with any gaming activity and issue licenses to, at minimum, all Key Employees and

Primary Management Officials under requirements at least as stringent as those established in 25

C.F.R Parts 556 and 558;

6.5.5 Hold such hearings, sit and act at such times and places, summon persons to attend

and testi!~ at such hearings, take such testimony, and receive such evidence as the Gaming

Commission deems relevant in fulfilling its duties;

6.5.6 Administer oaths or affirmations to witnesses appearing before the Gaming

Commission

6.5.7 Establish procedures and implement and administer the system for investigating,

licensing and monitoring employees and others connected with gaming activities, as described

in Section 6 below, including the issuance of licenses to gaming facilities, individuals and entities

as required under this Act and IGRA;

6.5.8 Carry out such other duties with respect to the regulation of gaming activities on

the Reservation as the General Council shall direct;

6.5.9 Issue any regulations it deems appropriate to implement the provisions of this Act;

6.5.10 Hear disputes against the gaming establishment, in accordance with procedures

established in this Act;

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6.5.11 Hire such staff and obtain support services as deemed necessary, subject to a

budget approved by the General Council;

6.5.12 Promulgate rules for each Class I game recognized hereunder, and of any Class

II or Class Ill games permitted hereunder, to govern the conduct of such games;

6.5.13 On or before April 30th of each year, provide to the General Council an Annual

Report summarizing the Gaming Commissions activities during the prior twelve month period

ending on December 31st, and accounting for all receipts and disbursements; and

6.5.14 To the extent required, comply ~vith any reporting requirements established under

a tribal-state compact to which the Tribe is a party and other applicable law, including IGRA.

SMFC 6.6 Enforcement

In the event any Commissioner determines that a licensee of the Gaming Enteiprise has

violated Applicable Law, including any internal control procedures or policy of the (laming

Enterprise, a written report of such incident shall immediately be made to the Commission. The

Commission shall then determine, by majority vote, what action should be taken, if any. If

action is required, the Commission shall issue a citation to the Gaming Enterprise, notifying it

of the specific violation(s) or issues, measures which must be taken for correction, and a

reasonable time limit in view of all the circumstances in which such action must be taken.

Copies of any such citation shall simultaneously be served on the Business Committee of the

Tribe. The Commission may enforce such citations by: (a) suspending or revoking the licenses

of any persons found to have violated Applicable Law; or (b) such lesser penalty or other remedy

as the Commission shall determine, including the imposition of fines not to exceed $100 per

offense. Nothing herein shall prevent or prohibit the Gaming Commission from seeking

compliance assistance from law enforcement agencies, the Bureau of Indian Affairs, or the

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

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

SMTC (1.7 Permitted Gaming Activities; Use of Funds; Regulation of Gaming Activities

6.7.1 All gaming activities on the reservation (whether Class I, II or III) are prohibited

except as expressly permitted under this Act.

6.7.2 Class I gaming activities are hereby permitted to the extent consistent with Tribal

custom and practice and provided the General Council is given at least seven (7) days prior

notice in writing of any intention to engage in such gaming. The General Council may prohibit

any conduct which is claimed to be Class I gaming if the Council finds that such conduct is not

in accordance with Tribal customs or practices or violates IGRA or any other law.

OLSANMAN~GAMIN-O9O2

M~i Sqx~tber 1994
6.7.3 Class Ii and Class III gaming on the Reservation is hereby authorized, provided that

such gaming is controlled and operated by the Tribe, which shall have the sole proprietary

interest in and responsibility for the conduct of such Gaming Enterprise, or has, to the extent

permitted, contracted with and licensed a person or entity to o~, operate or manage the Gaming

Enterprise pursuant to the provisions of IGRA or as otherwise authorized by law. Nothing herein

shall prohibit the Tribe from engaging the services of non-Tribal persons as employees thereof

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

pursuant to a management agreement entered into under the provisions of IGRA or any other

applicable law. Class Ill gaming shall be conducted in accordance with any Tribal-State compact

between the Tribe and the State of California, or any alternative thereto as provided by IGRA.

6.7.4 Except as provided for under the terms of an agreement pursuant to the provisions

of IGRA or as otherwise permitted by law, all revenues generated from any Class H or Class ifi

gaming activity are the property ofthe Tribe. Any profits or net revenues from gaming activities

(other than those which may constitute a fee to any consultant or manager) shall be deposited

into the general treasury of the Tribe and shall only be used:

A. to fund Tribal programs or operations;

B. to provide for the general welfare of the Tribe and its members;

C. to promote Tribal economic development;

D. to donate to charitable purposes; or

E. to help fund operations of local governmental agencies.

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

member shall have any interest or expectation in any funds generated by any gaming activity.

All such funds are deemed Tribal funds only and are and shall remain the property of the Tribe

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

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

shall lose any identity as gaming revenues except to the extent necessary to identif~ them as such

for accounting purposes or to comply with applicable law. Notwithstanding anything herein to

the contrary, if the Tribe elects at any time to make per capita payments to the members, it shall

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

under 25 U.S.C. § 2710(bX3). Payments out of general treas~.uy funds to tribal members under

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

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

tribes general treasury.

O2.SA~lAN\GAMIN-~.O2

Mc~xed~ ixr 1994 6-8
SMTC 6.8 Operation of Gaming Establishments

6.8.1 Tribal License Except to the extent authorized by an agreement pursuant to the

provisions of IGRA or as otherwise permitted by law, Gaming Activities shall only be conducted

in Tribally owned, operated and licensed facilities. Such activities shall be conducted pursuant

to the terms and conditions of a license to be issued by the Tribe for such purposes as to each

facility before any gaming activities may occur therein. Such licenses shall specif~, the hours of

operation, type and scope of gaming activities allowed therein, permitted uses of the facility for

other activities, applicable niles of conduct, regulation of alcoholic beverages, food handling and

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

conduct of gaming activities therein.

6.8.2 Protection of Environment and Public Health and Safety Any construction or

maintenance of any gaming facility, and the operation of gaming therein, shall be conducted in

a manner which adequately protects the environment and the public health and safety.

6.8.3 Ownership of Gaming The Tribe shall have the sole proprietary interest in and

responsibility for the conduct of any gaming operation authorized by this gaming Ordinance,

except to the extent the Tribe may contract with and license a person or entity to own, operate,

or manage the enterprise pursuant to the provisions of IGRA or as otherwise permitted by law.

6.8.4 Dispute Resolution Patrons who have complaints against the gaming

establishment shall have as their sole remedy the right to file a petition for relief with the

Gaming Commission. For such purposes, disputes of patrons with any management contractor

or its employees shall be made to the Gaming Commission, and such shall be the exclusive

remedy for patron complaints. Complaints shall be submitted in ~ting and, at the discretion

of the Gaming Commission, the petitioner may be allowed to present evidence. The Gaming

Commission will render a decision in a timely fashion and all such decisions will be final when

issued. Any patron having a claim against the gaming establishment or a management contractor

or its employees must submit such claim to the Gaming Commission within thirty (30) days of

its occurrence. All claims by patrons shall be limited to a maximum recovety of $10,000 per

occurrence and a cumulative limit of $20,000 per patron in any twelve (12) month period.

SMTC 6.9 Audits

6.9.1 The Tribe shall cause to be conducted annually, by a recognized independent

accounting firm, an audit of all gaming operations. The results of the audit shall be submitted

to the General Council and, to the extent required by law, to the Bureau of Indian Affairs and

the National Indian Gaming Commission~

6.9.2 All Gaming-Related Contracts for an amount in excess of $25,000 annually (except

contracts for professional legal or accounting services) relating to the Gaming Enterprise shall

~S~MGAMIN-~J9~Q

s_,~ i~94 6-9
be subject to such independent audits. At least three (3) bids shall be required before any

contract for goods or services in connection with any gaming activity for an amount in excess

of $5,000 or to be performed over a period of more than twenty (20) days may be executed. The

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

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

Commission. The Gaming Commission shall receive a copy ofall Gaming-Related Contracts for

an amount in excess of $5,000 for filing and possible review. Any contract v.thich is the subject

of this Section must be approved by the General Council before becoming effective. To the

extent possible, the Tribe will approve the lowest responsive and qualified bid.

SMJC 6.10 Licenses

6.10.1 It is the declared policy of the Tribe that all gaming activities be licensed and

controlled so as to protect the morals, good order and welfare of Tribal members and other

persons on the reservation and to preserve the honesty, fairness and integrity of such gaming

activities. Accordingly, no person shall engage in any gaming activity on the reservation without

an appropriate and valid license issued by the Gaming Commission for such gaming activity,

except as provided in the Act or the regulations issued by the Gaming Commission. Any gaming

license which is issued, or finding of suitability or approval by the Gaming Commission, shall

be deemed a privilege subject to suspension or revocation. No License shall be issued that would

place the Tribe in violation of IGRA of any Tribal-State Compact to which the Tribe is a party,

or of any applicable law.

6.10.2 The burden of proving an applicants qualification to receive any license hereunder

is at all times on the applicant. Applicants must accept any risk of adverse public notice,

embarrassment or other action which may result from the application process and expressly waive

any claim for damages as a result thereof.

6.10.3 An applicant may claim any privilege afforded by law in connection with a

gaming license application or investigation, but a claim of privilege with respect to any testimony

or evidence pertaining thereto may constitute sufficient grounds for denial, suspension or

revocation.

6.10.4 Two classes of licenses shall be issued to Persons associated with gaming

activities, and a work permit shall be issued to minors employed in non-gaming activities:

A. Class A Licenses Before permitting any Person to become

associated with any gaming activity as an investor or other Person owning

or controlling 10% or more of any interest in any management entity, or

any Primamy Management Official, Key Employee, or Closely Associated

Independent Contractor, or at the discretion of the Gaming Commission,

any Gaming Contractor, or other Persons or positions the Gaming

~,SAN?~tAN\GAMIN-O9.Q2

M~Sq~I994 6-10
Commission may designate, shall obtain a Class A license. The Gaming

Commission shall conduct a background investigation to determine if such

Person has:

1. Any criminal record or any reputation, prior activities,

habits or associations which might pose a threat to the

public interest or to the effective regulation of gaming;

2. Anything else in their background which might create or

enhance the dangers of unsuitable, unfair, or illegal

practices and methods and activities in the conduct of

gaming.

B. Class B Licenses Persons who are not among those identified in

subsection A but are to be employed in Gaming Activities or non-gaming

employment in the gaming facility, or are otherwise associated with or doing

business with the Gaming Enterprise, shall be required to obtain a Class B license

from the Gaming Commission. Such Persons must establish that they have not

been convicted of a crime, or engaged in any activity, which the Gaming

Commission in its sole discretion deems to render such Person a danger to the

safety or integrity of the Gaming Activities or the safety or property of the Tribe,

any Tribal member, any gaming employee or patron, or the public.

C. Class C Work Permits Minors employed in non-gaming activities

at the Reservation may be issued a Class C work permit, provided such

minors are not deemed by the Gaming Commission to pose any threat to

the safety or integrity of Gaming Activities or the safety or property of the

Tribe, any Tribal member, any gaming employee or pairon, or the public,

and such work permits shall be valid for no more than two (2) years.

Minors shall not be employed as dealers or otherwise to operate or

supervise the Gaming Activities, or to serve liquor.

6.10.5 All Class A and Class B licenses, as well as Class C work permits, shall be

subject to renewal at least eveiy two (2) years, and may be revoked or suspended upon the

occurrence of any act which, if known during the application process, would have tended to

disqualify such Person for such a license or permit.

6.10.6 Pending completion of an investigation for a Class A or Class B license,

temporaly licenses of no more than ninety (90) days duration may be issued by the Gaming

Commission if in its sole discretion it deems it appropriate to do so. Notwithstanding anything

in this Act to the contraiy, prior to obtaining a temporaly license, natural persons may be hired

to perform Class A or Class B duties for no more than three (3) days in any one (1) year period.

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M~x~ISqx~19~ 6-11
6.10.7 The Gaming Commission may employ all reasonable means, including the

engagement of outside services and investigators and the holding of hearings, to acquire the

information necessaly to determine whether or not a license should issue. Unless specifically

waived by the Gaming Commission, each applicant for a Class A or B license, as well as for

Class C work permits, shall be required to pay the established license fee and reimburse the

Gaming Commission for all costs incuned in obtaining background information for processing

such application. Unless otherwise waived by the Gaming Commission, all fees and costs must

be received by the Gaming Commission prior to issuance of the license. Estimates of such costs

will be provided to an applicant upon request.

6.10.8 All Persons applying for a license or work permit shall agree to release all

information necessaly in order for the Gaming Commission to achieve its goals under this

Section and to furnish such information to the Bureau of Indian Affairs, the NIGC or such other

governmental agency as may be required by law.

6.10.9 Any Person engaged by or associated with any Gaming Activities on the

Reservation shall conduct themselves with honesty, integrity, and with such decorum and

manners as may be necessaly to reflect positively on the Tribe, its members and the Gaming

Activities involved. Any failure to abide by such standards, or any violation of any rule,

ordinance, custom or iradition of the Tribe, the Reservation or the Gaming Activity, or the terms

or conditions of the license, may be grounds for immediate suspension or revocation of any

license issued hereunder.

6.10.10 Background Investigations

A. The Gaming Commission shall request from, at minimum, each applicant

for a Key Employee or Primary Management Official license all of the

information specified in subsections (1) through (14) below. The Gaming

Commission may, at any time, request additional information either prior to,

during, or subsequent to any background investigation for any license applicant.

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

number(s), date of birth, place of birth, citizenship, gender, all languages (spoken

or written);

(2) Cunently and for at least the previous five (5) years; business and

emplo~ent positions held, ownership interest in those business, business and

residence addresses and drivers license number(s);

(3) Names and cunent addresses of at least three (3) personal

references, including one personal reference who was acquainted with the

applicant during each period of residence as listed above under subsection (2);

6-12
(4) Current business and residence telephone numbers;

(5) Description of any existing and previous business relationships with

the Indian tribes, including oi~wiership interest in those businesses;

(6) A description of any existing and previous business relationships

with the gaming industiy generally, including o~ership interests in those

businesses;

(7) Name and address of any licensing or regulatoiy agency with which

the person has ever filed an application for a license or permit related to gaming,

v~thether or not such license or permit was granted;

(8) For each felony for which there is an on-going prosecution or a

conviction: the charge, the name and address of the court involved, and the date

and disposition, if any, of the case;

(9) For each misdemeanor conviction or on-going misdemeanor

prosecution (excluding minor iraffic violations), whether or not such information

is still listed on the applicants records, within ten (10) years of the date of the

application; the name and address of the court involved, and the date and

disposition, if any, of the case;

(10) For each criminal charge (excluding minor traffic charges), whether

or not there is or was a conviction and whether or not such information is still

listed on the applicants records, if such criminal charge is within ten (10) years

of the date of the application and is not otherwise listed above pursuant to

subsections (8) or (9): the criminal charge, the name and address of the court

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

(11) Name and address of any licensing or regulatoiy agency (Federal,

Tribal, State, local or foreign) with which the person has filed an application for

an occupational license or permit, whether or not such license or permit was

granted;

(12) Current photograph;

(13) Any other information the Tribe deems relevant, and

(14) Fingerprints consistent with procedures adopted by the Tribe

according to 25 C.F.R § 522.2(h).

O2.SANMAN~GAM1N-O9.O2

MSei~rt~1994 6-13
B. The Gaming Commission shall conduct or cause to be conducted an

investigation sufficient to make a determination ofeligibility as required under this

Ordinance. In conducting the background investigation, the Gaming Commission

or its agents shall promise to keep confidential the identity of each person

interviewed in the course of the investigation, except to the extent such

information must be disclosed in a hearing conducted under this Ordinance on the

licensees suitability and qualifications for a license. The Gaming Commission

may establish guidelines and procedures for disclosure of licensing information,

as appropriate.

6.10.11 Eligibility Determination

The Gaming Commission shall 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. If the

Gaming Commission determines 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, the gaming

enterprise shall not employ that Person except as specifically established by the Gaming

Commission.

6.10.12 Forwarding Licensing Applications and Reports to the NIOC

6.10.12.1 On or before the date any Key Employee or Primary

Management Official is employed by a gaming enterprise authorized under this

Ordinance, the Gaming Commission shall forward to the MGC the Persons

completed application for employment containing the information required above

under Section 6.10.10 A. of this Ordinance.

6.10.12.2 Prior to issuing a license to a Primary Management Official

or Key Employee, the Gaming Commission shall forward to the NIGC, together

with a copy of the eligibility determination made under Section 6.10.11 above, an

investigative report on each background investigation. The investigative report on

each background investigation shall be forwarded to the NTGC within sixty (60)

days after the employee begins work, or within sixty (60) days of the approval of

this Ordinance by the NIOC. In no case shall the gaming enterprise employ or

continue to employ any Person as a Key Employee or Primary Management

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

The investigative report shall include the following information:

6.10.12.2.1 Steps taken in conducting a background

investigation;

O2.SA4\GA~M.~~Q

M~Sq~a~I~4 6-14
6.10.12.2.2 Results obtained;

6.10.12.2.3. Conclusions reached; and

6.10.12.2.4 The bases for those conclusions.

6.10.12.3 The Gaming Commission shall provide to the NIGC or other

agency, any other reports and information required by IGRA and regulations

promulgated thereunder. Further, with respect to Key Employees and Prirnaiy

Management Officials, the Gaming Commission shall retain applications for

employment and reports (if any) of background investigations for inspection by

the NIGC for no less than three (3) years from the date of tennination of

employment.

6.10.12.4 If a license is not issued to an applicant, the Gaming

Commission shall noti!~ the NIGC and may forward copies of its eligibility

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

Indian Gaming Individuals Records System.

6.10.13 Granting a Gaming License

6.10.13.1 If, within a thirty (30) days period after the NTGC receives

a report as required under subsection 6.10.12.2 above, the NTGC notifies the

Gaming Commission that it has no objection to the issuance of a license pursuant

to the license application filed for a Key Employee or Primaiy Management

Official for whom the Gaming Commission has provided an application and

investigative report, the Gaining Commission may issue the license.

6.10.13.2 The Gaming Commission shall provide any additional

information requested by the NIGC concerning a Key Employee or Piimaiy

Management Official who is the subject of a report as required under

subsection 6.10.12.2 above. A NIGC request for additional information shall

suspend the thirty (30) day period under subsection 6.10.13.1 above until the

NIGC receives the additional information.

6.10.13.3 If, within the thirty (30) thy period established under

subsection 6.10.13.1 above, the NIGC provides a statement itemizing objections

to issuance of a license to a Key Employee or Primary Management Official, the

Gaming Commission shall reconsider the application, taking into account such

objections. The Gaming Commission retains the right to make the fmal

determination whether to issue the license to such applicant.

W..SANMAN~GAM1N-4~.O2

6-15
6.10.14 Appeals

All decisions of the Gaming Commission regarding the issuance of licenses shall be

considered final and effective when issued. Provided, within fifteen (15) days of receipt of the

written decision regarding issuance of the license, an applicant may file a petition for

reconsideration with the Gaming Commission. Any member ofthe Tribe who is denied a license

by the Gaming Commission may, within thirty (30) days of receiving written notice of such

denial, appeal the denial to the General Council, which shall have the power to order that such

license be issued, provided that no such license shall be issued for more than one (1) year,

subject to the renewal procedures set forth in this Ordinance. No license issued shall be valid

if such issuance would place the Tribe in violation of any Tribal-State Compact to which the

Tribe is a party, or of any applicable law.

6.10.15 License Suspension

6.10.15.1 If, after issuance of a gaming license, the Gaming

Commission receives reliable information from the NTGC or other reliable sources

indicating that a Key EmpLoyee or a Primaiy Management Official is not eligible

for employment under the eligibility criteria established in Section 6. 10.10 above,

the Gaming Commission shall suspend the license and shall notify the Licensee in

writing of the license suspension and proposed revocation.

6.10.15.2 The Gaming Commission shall notify the licensee of a time

and place for a hearing on the proposed revocation of a license.

6.10.15.3 After the revocation hearing, the Gaming Commission shall

determine whether to revoke or to reinstate the gaming license. For actions taken

in response to information provided by the NIGC, the Gaming Commission shall

notify the NIGC of its decision.

6.10.16 Application Forms

A. Each application form for a Key Employee or Primary Management

Official, as well as for all other Class A license applicants, unless other~vise

specifically exempted by the Gaming Commission, shall contain the notices set

forth in subsections (1) and (2) below:

(1) Privacy Act Notice

In complicinee with the Privcvy Act of 1974, the following infonnation is

pfl7~i(J94~ Solicitation ofthe infonnation on thisfonn is authorized by 25

US.C § 2701 ~ seq The pw~se of the i~quested infonnation is to

detennine the eligibility of individuds to be employed in a gaming

~.SANMAN~GAMIN-~.O2

M~x~iSqi~1994 6-16
operation The infonnation ivill be used by the National Indian Gaming

Commission members and stcff who ha~e needfor the information in the

peifonnance of their official duties. The infonnation may be disclosed to

appmpriate Federal, Tribal, State, local, orforeign law enfomement and

regulatory c~eneies when relevant to civil, criminal or regulatoiy

investigations or pmsecutions or when pwYuant to a requirement by a

Tribe or the National Indian Gaining Commission in connection with the

hiring orfiring of an employee, the issuance or revocation of a gaming

license, or investigations of ci~tivities 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 Primaiy

Manr~ement Official or Key Employee position.

The disclosure of your Socid Secw1~y Number (SSN) is voluntary.

However; failure to supply a SSN may result in envrs in pmcessing your

application

(2) Notice Regarding False Statements

A false statement on ~paii ofyour application may be graundsfor not

hiring you, orforfiring you cfter you begin work. Also, you may be

punished by fine or imprisonment. (US. Code, title 18, § 1001).

B. Any existing Key Employee or Primary Management Official, or

other Class A licensee unless otherwise specifically exempted by the Gaming

Commission, shall be notified that they shall either:

(1) Complete a new application form that contains the Privacy

Act notice and the notice regarding false statements; or

(2) Sign a statement that contains the Privacy Act notice and

consent to the routine uses described in that notice, and sign a statement

that contains the notice regarding false statements.

SMTC 6.11 Class III Gaming Tribal-State Compacts

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

reservation pursuant to a Tribal-State compact or alternative as provided by IGRA. All

negotiations for such compacts shall be conducted through the Tribal Chairman, ~vith the advice

and suggestion of the Gaming Commission, and shall be finalized only upon majority vote of the

General Council after consideration of the terms of such compact.

UlSANMAN~GAM1N-O9.O2

6-17
SMTC 6.12 Tribal Corporation

Nothing in this Ordinance shall prevent the Tribe, through its General Council, from

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

(3arning Enterprise to v~thich such authority is delegated agrees to meet all criteria and

requirements established under this Ordinance.

SMTC 6.13 Gaming by Tribal Members; Interest in Management Contracts by Tribal Officials

No Tribal member shall engage in or be pemiitted to engage in either directly or

indirectly through another person, any Class II or Class III Gaming Activities authorized

hereunder. No elected official of the General Council, Gaming Commission, or any other

committee or agency of the Tribe shall have a financial interest in or management responsibility

for, any management agreement entered into pursuant to IGRA, nor shall such elected official

serve on the board of directors or hold (directly or indirectly) ten percent (10%) or more of the

issued and outstanding stock of any corporation having a financial interest in, or management

responsibility for, such contract.

SMTC 6.14 Service of Process

The Tribe designates as its agent for the service of any official deteimination, order, or

notice of violation, the Chairperson of the Tribe.

SMTC 6.15 Repeal of Prior Gaming Ordinances; Effective Date

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

repealed on the effective date of this Ordinance. After adoption by the Tribes General Council,

this Ordinance becomes effective on the date of final approval by the NIGC.

02.SANMAN\GAMIN-09.02

6-18