RE: ORDINANCE OF THE SEMINOLE TRIBE OF FLORIDA FOR GANING ON

TRIBAL LANDS

SEMINOLE TRIBE OF FLORIDA

HOLLYWOOD, FLORIDA

ORDINANCE NO.C-02--94

WHEREAS, the SEMINOLE TRIBE OF FLORIDA is an organized Tribe as

defined in Section 16 of the Act of June 18, 1934, as

amended; and

WHEREAS, the Tribal Council of the Seminole Tribe of Florida did

enact on June 26, 1991, the Seminole Tribal Gaming

Ordinance No. C-01-91 regulating and providing for the

licensing of class II and class III gaming on tribal

lands of the Seminole Tribe of Florida; and

WHEREAS, 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. Sec. 2701 et seq.; and

WHEREAS, said Indian Gaming Regulatory Act requires all Indian

tribes to review their gaming ordinances and amend said

ordinances so as to comply with the provisions of the Act

for the conduct of gaming activities on Indian

reservations and lands; and

WHEREAS, 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

WHEREAS, the General Counsel for the Seminole Tribe of Florida has

prepared a new ordinance so as to comply 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 ORDAINED: that Seminole Tribal Gaming

Ordinance No. C-Ol-91 is hereby repealed and of no further force or

effect, upon approval by the Chairman, National Indian Gaming

Commission of this Ordinance; and

BE IT FURTHER ORDAINED: that this Ordinance shall be effective

upon approval by the Chairman, National Indian Gaming Commission;

and

BE IT FURTHER ORDAINED: that the attached Ordinance No.C-02-94 of

the Seminole Tribe of Florida for gaming on tribal lands is hereby
RE: ORDINANCE OF THE SEMINOLE TRIBE OF FLORIDA FOR GAMING ON

TRIBAL LANDS

Page Two Ord. No.C-02-94

approved and adopted and shall govern all future class II and class

III gaming activities on all Seminole Tribe of Florida reservations

and tribal lands; and

BE IT FURTHER ORDAINED: that the Chairman of the Tribal Council is

hereby designated as the Seminole Tribe of Floridas 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; and

BE IT FURTHER ORDAINED: that this Ordinance is hereby adopted

after a motion made by Max B. Osceola, Jr., seconded by David R.

Cypress, and a roll call vote as follows:

Chairman James E. Billie Not Present

Vice Chairman Fred Smith Aye

Council Representative David R. Cypress Aye

Council Representative Jack Smith, Jr Aye

Council Representative Max. B. Osceola, Jr Aye

DONE THIS THE 30th DAY OF SEPTEMBER , 1993, at a regular meeting of

the Tribal Council, duly convened at Hollywood, Florida, with a

quorum being present, by a vote of 4 for, 0 against, with 0

abstentions, and James E. Billie not present.

TRIB L COUNCIL

ATTEST:

ecretary/Treasurer / TRIBAL COUNCIL

DATE:___________________

APPROVED BY:

ANTHONY J. HOPE

CHAIRMAN, NATIONAL INDIAN

GAMING COMMISSION

U.S. DEPARTMENT OF

THE INTERIOR

C:\WP\Ross\c-02-94 .ord
ORDINANCE NO. C-02-94

ORDINANCE

OF THE SEMINOLE TRIBE OF FLORIDA

FOR GAMING ON

TRIBAL LANDS

An Ordinance to regulate and

provide for the licensing of

Class II and Class Ill gaming

on Tribal lands of the

Seminole Tribe of Florida

GENERAL PROVISIONS

SECTION 1 -

SHORT TITLE

This Ordinance may be cited as the Seminole Tribal Gaming Ordinance.

SECTION 2- DECLARATION OF TRIBAL POLICY

§ 2 - 1. It is the policy of the Seminole Tribe of Florida, hereinafter referred to as Tribe:

(a) that the Tribe shall have the sole proprietary interest in any gaming operation;

(b) that all gaming operations on Tribal lands shall be conducted by the Tribe,

through employees of the Tribal Council or its management contractors only;

(c) that it is the objective of this Ordinance to provide revenue to promote (i) Tribal

economic development and self-sufficiency and (ii) the health, education, and

welfare of Tribal members; and

(d) that the gaming activities provided for by this Ordinance within lands of the Tribe

shall be conducted in conformance with the requirements of this Ordinance and

the Indian Gaming Regulatory Act, 102 Stat. 2467, 25 U.S.C. § 2701, et seq.,

as implemented by the regulations promulgated by the National Indian Gaming

Commission.

SECTION 3- FINDINGS

§ 3 -

1. The Tribal Council fmds that -

1

EXH~~T~~ A
(a) class II gaming may be conducted on Tribal lands of the Tribe by reason of the

fact that the State of Florida permits -

(i) bingo;

(ii) pull tabs; and

(iii) penny-ante card games.

(b) class III gaming may be conducted on Tribal lands of the Tribe by reason of the

fact that the State of Florida permits -

(i) lottery;

(ii) jai alai or pelota;

(iii) pari-mutuel wagering on horse and dog racing;

(iv) card games, including poker, pinochle, bridge, rummy, canasta,

hearts, dominoes, and mah jongg;

(v) casino nights; and

(vi) off-track betting and/or simulcasting horse and dog races.

SECTION 4- DEFINITIONS

§ 4 - 1. For the purpose of this Ordinance, the following definitions shall apply:

(a) Act means the Indian Gaming Regulatory Act, Public Law 100-497, 102 Stat.

2467, codified 25 U.S.C. § 2701, et seq.

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

a gaming license.

(c) Assessable gross revenues means the annual total amount of money wagered

and admission fees, less any amounts paid out as prizes or paid for prizes

awarded, and less an allowance for amortization of capital expenditures for

structures.

(d) Bingo means that game of chance (whether or not electronic, computer, or

other technologic aids used in connection therewith):

2
(i) which is played for prizes, including monetary prizes, with cards

bearing numbers or other designations;

(ii) in which the holder of the cards covers such numbers or

designations when objects, similarly numbered or designated, are

drawn or electronically determined; and

(iii) in which the game is won by the first person covering a previously

designated arrangement of numbers or designations on such cards.

(e) Chairman means Chairman of the National Indian Gaming Commission or his

or her designee.

(I) Cheating means operating or playing in a game in a manner in violation of the

written or commonly understood rules of the game, with the intent to create for

himself/herself or someone in privity with himlher an advantage over and above

the chance of the game.

(g) Class II gaming means that gaming defined in 25 C.F.R. § 502.3.

(h) Class III gaming means that gaming defined in 25 C.F.R. § 502.4.

(i) 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 the 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).

(j) Commission means the National Indian Gaming Commission.

(k) Council means the Tribal Council as described in the Constitution of the

Seminole Tribe of Florida.

(1) Employee manager is a manager other than a management contractor

employed by the Tribe to manage a tribal gaming establishment.

(m) 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.

(n) Gaming establishment means any location or structure, wherein gaming is

licensed, promoted, performed, conducted, or operated.

3
(o) Gaming license means the permit granted by the Tribe to an applicant for

employment with a gaming operation or to a gaming establishment.

(p) Gaming operation means each economic entity that is licensed by the Tribe,

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.

(q) Gross gaming revenues means the annual total amount of money wagered and

admission fees.

(r) 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.

(s) Key employee means:

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

(1) bingo caller;

(2) counting room supervisor;

(3) chief of security;

(4) custodian of gaming supplies or cash;

(5) floor manager;

(6) pit boss;

(7) dealer;

(8) croupier;

(9) approver of credit; or

(10) 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 Fifty Thousand ($50,000) Dollars per

year; or

4
(iii) if not otherwise included, the four most highly compensated

persons in the gaming operation.

(t) Management contract means any contract, subcontract, or collateral agreement

between the 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.

(u) Management contractor means the person or entity holding a contract entered

into pursuant to 25 U.S.C. § 2710 (d) (9) or § 2711.

(v) Minor means a person less than eighteen (18) years of age.

(w) Net revenues means gross gaming revenues of a Tribal gaming operation less -

(i) amounts paid out as, or paid for, prizes; and

(ii) total gaming-related operating expenses, excluding management

fees.

(x) Operating expenses means total gaming-related expenses excluding management

fees.

(y) Person means any individual, firm, partnership, corporation, company, or

association.

(z) Person having a direct or indirect fmancial interest in a management contract

means:

(i) when a person who is a party to a management contract, any

person having a direct fmancial interest in such management

contract;

(ii) when a trust is a party to a management contract, any beneficiary

or trustee;

(iii) when a partnership is a party to a management contract, any

partner;

(iv) when a corporation is a party to a management contract, any

person who is a director or who holds at least ten percent (10%)

of the issued and outstanding stock alone or in combination with

another stockholder who is a spouse, parent, child, or sibling; or

5
(v) when an entity other than a natural person has an interest in a

trust, partnership, or corporation that has an interest in a

management contract, all parties of that entity are deemed to be

persons having a direct financial interest in a management contract.

(aa) Person having management responsibility for a management contract means the

person designated in the management contract as having management

responsibility for the gaming operation, or a portion thereof.

(ab) Player 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.

(ac) Primary management official means:

(i) the person having management responsibility for a management

contract;

(ii) Any person who has authority;

(1) to hire and fire employees; or

(2) to set up working policy for the gaming operation;

or

(iii) the chief financial officer or other person who has financial

management responsibility.

(ad) Secretary means the Secretary of the Interior.

(ae) Tribal lands means all lands which are held in trust by the United States of

America for the Tribe and all lands owned by the Tribe which are subject to

restriction against alienation imposed by the United States of America.

(at) Tribe means the Seminole Tribe of Florida.

(ag) Tribal-State compact means an agreement between the Tribe and the State of

Florida about class III gaming under 25 U.S.C. § 2710 (d).

SECTION 5- AUTHORITY OF TRIBAL COUNCIL

§ 5 - 1. The Council shall have the power and responsibility to:

(a) enforce and administer the provisions of this Ordinance;

6
(b) issue and renew gaming licenses as provided in this Ordinance and in any

reguLation which may be promulgated by the Council;

(c) revoke, suspend, or condition a gaming license or deny an application for a

license for violation of applicable law or Ordinance regulating gaming, or

conviction of any offense involving a gaming related crime or moral turpitude;

(d) collect fees and interest as provided for in this Ordinance;

(e) assess and collect penalties provided for in this Ordinance;

(f) adjust the respective amounts of the annual license fees, provided that such fees

shall not be increased retroactively;

(g) audit or cause to be audited expenditures, receipts, and reports of a licensee

responsible for managing a Tribal gaming enterprise;

(h) review, on demand, such books and records and inspect the premises and

operations of licensees as it deems necessary for the enforcement of this

Ordinance;

(i) draw up such forms as it deems necessary;

(j) 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;

(k) conduct hearings provided for in this Ordinance;

(1) deposit all fees, penalties, and interest collected under authority of this Ordinance

into an account to the credit of the Tribe;

(m) maintain a correct and full accounting of all fees, penalties, and interest received

under authority of this Ordinance, and provide a monthly record of that

accounting; and

(n) take such other actions and issue such orders and promulgate such regulations as

the Council may deem necessary to properly and fully perform its duties and

responsibilities under this Ordinance.

§ 5 -

2. The Council may appoint a committee of not more than three (3) Tribal members to

exercise any or all of the powers and responsibilities set out in § 5 - 1 of this Ordinance, above.

7
SECTION 6- GAMES AUTHORIZED

§ 6 - 1. The Tribe shall have the sole proprietary interest in and responsibility for the conduct

of any gaming operation.

§ 6 -

2. If the Tribe elects to allow individually owned gaming operations it shall authorize such

operations in accordance with the requirements set forth in 25 C.F.R. §~ 522.10 and 522.11.

§ 6 -

3. Class II games as follows may be licensed for conduct on Tribal lands:

(a) bingo, pull-tabs, louo, punch boards, tip jars, instant bingo, and other gaines

similar to bingo as defined under 25 C.F.R. § 502.9.

(b) non-banking card games defined as class II gaming under 25 C.F.R. § 502.3 (c).

(c) any game determined to be a class II game by Congressional amendment of the

Act, by regulation, or by decision of the Commission or the federal courts.

§ 6 -

4. Class III games as follows may be licensed for conduct on Tribal lands:

(a) such class III games as may be authorized by a Tribal-State compact, and

(b) such class III games authorized under procedures specified in 25 U.S.C. § 2710

(d) (7) (B).

SECTION 7- GAMING LICENSES REQUIRED

§ 7 -

1. A separate gaming license is required for:

(a) (1) each person 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.

(b) each place, facility, or location on Tribal lands at which class II or class III

gaming is conducted.

SECTION 8- APPLICATION FOR GAMING LICENSES

§ 8 -

1. Each person having a management contract, each primary management official and

each key employee whether employed by the management contractor or directly by the Tribe,

8
and all other employees shall complete an application for an initial gaming license or renewal

of an existing gaming license for each gaming establishment on an application form prescribed

by the Council. The application shall set forth:

(a) the name under which the applicant transacts or intends to transact business on

Tribal lands; and

(b) the location of the gaming establishment for which the gaming license is sought;

and

(c) the application shall be signed by the applicant if a natural person, or, in the case

or 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. 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 Council shall

be immediately informed in writing and, until that information is filed with the

Council, any action of the representative shall be presumed to be that of the

applicant.

§ 8 -

2. Each application shall be accompanied by payment of the appropriate annual license

fee, and an appropriate fee to cover the cost of the background investigation conducted pursuant

to Section 11 below.

§ 8 -

3. 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.

§ 8 -

4. An application for a gaming license shall include:

(a) a description of the place, facility, or location on Tribal lands where the applicant

will operate a gaming operation or where the applicant will be employed.

(b) the following privacy notice prescribed by 25 C.F.R. § 556.2:

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

provided : Solicitation of the information on this form is authorized by

25 U.S.C. § 2701, et seq. The purpose of the requested information is

to determine the eligibility of individuals to be employed in a gaming

operation. The information will be used by National Indian Gaming

Commission members and staff who have need for the information in the

performance of their official duties. The information may be disclosed to

9
appropriate Federal, Tribal, State, local, or foreign law enforcement and

regulatory agencies when relevant to civil, criminal or regulatory

investigations or prosecutions or when pursuant to a requirement by a

Tribe or the National Indian Gaming Commission 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.

(c) the following notice regarding false statements prescribed by 25 C.F.R. § 556.3:

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).

(d) the following background investigation information from each primary

management official and each key employee:

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

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

languages (spoken or written);

(ii) currently and for the previous ten (10) 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 five (5) personal

references, including one personal reference who was acquainted

with the applicant during each period of residence listed under

paragraph (d) (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

10
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 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 ten (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 ten

(10) years of the date of the application and is not otherwise listed

pursuant to paragraph (d) (viii) or (d) (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 applicant 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 complete history of the applicants educational background,

including the names of any colleges, universities, trade or

vocational schools, and high schools attended;

(xiv) a description of the applicants military status;

(xv) a description of the applicants family including an explanation of

the relationships described (e.g., parents, guardians, etc.);

(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;

11
(xvii) copies of the applicants tax returns for the prior three (3) years;

(xviii) a description of the applicants spousal status including, if

applicable, the existence of any previous marriages;

(xix) fingerprints of the applicant to be taken by the Seminole

Department of Law Enforcement 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;

(xx) 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;

(xxi) all applicants are required to submit to a drug screening test and,

if employed, random screening tests thereafter; and

(xxii) any other information the Council deems relevant.

§ 8 -

5. 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.

§ 8 -

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

§ 2711 and 25 C.F.R. § 537.1.

§ 8 -

7. Existing key employees and primary management officials shall be notified in writing

that they shall either:

(a) complete a new application form that contains the Privacy Act notice described

in Section 8 -

4 (b) above; or

(b) sign a statement that contains the Privacy Act notice described in Section 8 - 4

(b) above and consent to the routine uses described in that notice.

§ 8 -

8. Existing key employees and primary management officials shall be notified in writing

that they shall either:

(a) complete a new application form that contains the notice regarding false

statements described in Section 8 - 4 (c) above; or

(b) sign a statement that contains the notice regarding false statements described in

12
Section 8 - 4 (c) above.

§ 8 -

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

operation the Council shall forward a copy of the persons completed application for a gaming

license to the Commission.

SECTION 9- QUALIFICATIONS FOR GAMING LICENSES

§ 9 -

1. The Council may issue or renew a gaming license to an applicant who submits a proper

and completed application and pays the appropriate annual license fee, provided that the Council

determines that the applicant:

(a) is not a minor;

(b) is a person of good character, honesty, and integrity;

(c) has no prior activities, criminal record, reputation, habits, and associations which

pose a threat to the public interest or the interest of the Tribe 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;

(d) has not supplied false and/or misleading information or who has not omitted

material information required under this Ordinance, the Act, and 25 C.F.R.

Chapter III;

(e) has not had, or is not in privity with anyone who has had, a gaming license

revoked for cause in any jurisdiction since the effective date of the Act;

(f) has complied with this Ordinance or any resolution adopted by the Council;

(g) does not occupy a competing position in the employ of another Tribe within a five

hundred (500) mile radius of any Tribal gaming operation; and

(h) does not violate any of the requirements set forth in 25 U.S.C. § 2711(a) and

(e).

§ 9 - 2. Subject to the requirement of payment of annual license fees, each gaming license shall

be valid for the three (3) fiscal years commencing July 1 and ending June 30 of a respective

year, provided that, in the discretion of the Council, a gaming license may be granted for a term

to run concurrently with the term of a management contract.

§ 9 - 3. A gaming license may not be assigned or transferred and is valid only for use by the

13
person in whose name it is issued and at the gaming establishment for which it is issued. A

gaming license shall be conspicuously displayed at all times at the gaming establishment for

which issued.

§ 9 -

4. The Council shall make the final decision as to whether a gaming license shall be

issued, suspended, or revoked.

§ 9 -

5. Until authorized by a Tribal-State compact, no gaming license shall be issued by the

Council for class III gaming.

SECTION 10- GAMING LICENSE FEES

§ 10 -

1. The annual fee for each gaming license issued pursuant to this Ordinance to the holder

of a valid management contract shall be Ten Thousand ($10,000) Dollars; and for each primary

management official and key employee it shall be One Hundred ($100) Dollars. The annual fee

for all other employees shall be Fifty ($50) Dollars. The Council may waive the annual fee on

a case-by-case basis.

§ 10 -

2. The Council may annually adjust, not exceeding ten percent (10%), the amount of the

annual fee, provided that any increase shall take effect only on the ensuing July 1.

§ 10 - 3. The initial annual license fee shall be paid with the submission of the applicants

completed application.

§ 10 -

4. The annual license fee shall be prorated in the case of each initially issued gaming

license. Licenses issued after December 31 each year shall be one half (1/2) the annual fee.

§ 10 -

5. All moneys collected or received at a gaming establishment, except any individual

winnings or prizes of Ten Thousand ($10,000) Dollars or less paid in cash immediately, shall

be deposited by the licensee in bank accounts approved by the Council, which accounts shall

contain only such moneys. Other cash prizes, the purchase prices of non-cash prizes, and all

expenses for such gaming activities shall be withdrawn from such accounts approved by the

Council by consecutively numbered checks duly signed by a specified officer or officers of the

licensee and payable to a specific person or organization. There shall also be documentation for

each check designating the nature of the expense or prize for which the check is drawn. No

check shall be drawn to cash or a fictitious payee. Wire transfers shall be allowed with proper

supporting documentation.

SECTION 11 - BACKGROUND INVESTIGATIONS

§ 11 - 1. The Council shall conduct, or cause to be conducted, a background investigation of

each applicant for a position which is designated as a key employee or primary management

official sufficient to make a qualification determination under Section 9 above. In conducting

the investigation, the Council shall keep confidential the identity of each person interviewed in

14
the course of the investigation.

§ 11 -

2. Investigative Reports.

(a) The Council shall prepare and forward to the Commission an investigative report

summarizing each background investigation of a key employee or primary

management official that the Council intends to employ.

(b) The Council shall forwarded an investigative report to the Commission within

sixty (60) days after a key employee or primary management official begins work

or within sixty (60) days of the approval of this Ordinance by the Commission.

(c) Each investigative report shall include the following:

(1) the steps taken in conducting the background investigation;

(ii) the results obtained;

(iii) the conclusions reached; and

(iv) the basis for those conclusions.

(d) The Council shall submit to the Commission, along with the investigative report,

a summary of the Councils qualification determination made under Section 9

above.

(e) If a gaming license is not issued to an applicant, the Council:

(i) shall notify the Commission; and

(ii) may forward copies of its qualification determination and

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

Indian Gaming Individuals Records System.

(t) With respect to key employees and primary management officials, the Council

shall retain applications for gaming licenses and reports (if any) of background

investigations for inspection by the Chairman 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.

§ 11 - 3. Granting a Gaming License.

15
(a) If, within a thirty (30) day period after the Commission received an investigative

report, the Commission notifies the Council that it has no objection to the

issuance of a gaming license pursuant to a license application filed by a key

employee or a primary management official, the Council may issue a license to

such applicant.

(b) The Council shall respond to a request for additional information from the

Chairman concerning a key employee or a primary management official who is

the subject of an investigative report. Such a request shall suspend the thirty (30)

day period under Subsection (a) above until the Chairman receives the additional

information.

(c) If, within the thirty (30) day period described in Subsection (a) above, the

Commission provides the Council with a statement itemizing objections to the

issuance of a gaming license to a key employee or to a primary management

official application, the Council shall reconsider the application, taking into

account the objections itemized by the Commission. The Council shall make the

final decision whether to issue a gaming license to such applicant.

§ 11 -4. Gaming License Suspension.

If, after the issuance of a gaming license, the Tribe receives from the

Commission reliable information indicating that a key employee or a primary

management official is not eligible for employment under Section 9 of this

Ordinance, the Tribe shall suspend such license and shall notify in writing the

licensee of the suspension and the proposed revocation.

SECTION 12 - MAINTENANCE OF GAMING FACILITY

§ 12 -1. The Council shall establish 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.

SECTION 13 - USE OF~ NET REVENUES

§ 13 -

1. Net revenues from gaming permitted under this Ordinance shall only be expended for

one or more of the following purposes:

(a) to fund Tribal government operations or programs;

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

(c) to promote Tribal economic development;

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(d) to donate to charitable organizations; or

(e) to help fund operations of Tribal government.

§ 13 -

2. If the Council elects to make per capita payments to tribal members, it shall authorize

such payments only upon approval of a plan submitted to the Secretary pursuant to 25 U.S.C.

§ 2710 (b) (3).

SECTION 14 - RECORDS AND REPORTS

§ 14 -

1. 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 in

Title 25 C.F.R.

§ 14 -

2. No later than the fifteenth (15th) day of each month, each gaming operator shall

provide, in a report form prescribed by the Council, a statement of gross revenues, assessable

gross revenues and net revenues received or collect at each gaming establishment during the

immediate preceding month.

§ 14 -

3. 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 Council and the Commissions authorized representatives at any time during

reasonable hours. All such papers, books, and records shall be retained not less than six (6)

years.

SECTION 15- ANNUAL AUDIT

§ 15 -1 . (a) The Council shall cause to be conducted, at least annually, an independent

audit of the books and records of each gaming operation.

(b) Audit Standards. The Tribe shall engage an independent certified public

accountant, licensed in Florida, to provide an annual audit of the financial

statements of each gaming operation on Tribal lands. Such financial

statements shall be prepared in accordance with generally accepted

accounting principles and the audit(s) shall be conducted in accordance

with generally accepted auditing standards. Audit(s) 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 in Title 25 C.F.R. are met.

17
(c) Copies of Audit Reports. The Tribe shall submit to the Commission 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 Subsection (a) above.

(d) Relationship of Audited Financial Statements to Fee Assessment Reports.

The Tribe 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 Commissions authorized

representative.

§ 15 -

2. All gaming related contracts that result in purchases of supplies, services, or

concessions for more than Twenty Five Thousand ($25,000) Dollars in any year (except

contracts for professional legal or accounting services) shall be specifically included within the

scope of the audit conducted pursuant to this Section.

SECTION 16 - GROSS GAMING REVENUES

§ 16 -

1. The gross gaming revenues derived from gaming operations are Tribal funds and may

be expended by a licensee whose authority is either delegated or provided for by the Council in

an approved management contract.

SECTION 17 -

VIOLATIONS

§ 17 - 1. No person shall operate or conduct any gaming activity in a gaming operation within

the exterior boundaries of Tribal lands without a gaming license issued by the Council as

required by this Ordinance.

§ 17 -

2. No person shall knowingly submit false or misleading information to the Commission

or the Tribe in response to any provision of the Act, Chapter III in Title 25 C.F.R., or a Tribal

Ordinance or resolution that the Chairman has approved under parts 522 or 523 in Title 25

C.F.R.

§ 17 -

3. (a) No management contractor 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.

(b) A gaming operation shall not refuse to allow an authorized representative

of the Commission or an authorized Tribal official to enter or inspect a

gaming operation in violation of 25 C.F.R. § 571.5 or § 571.6, or of a

Tribal Ordinance or resolution approved by the Chairman under parts 522

or 523 in Title 25 C.F.R.

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§ 17 -

4. No person under the age of eighteen (18) years shall be employed by a gaming

operation or shall otherwise be permitted to participate in any gaming activities.

§ 17 -

5. No person shall engage in cheating (as that term is defined in § 4 - 1 (f) of this

Ordinance) in any gaming activity or engage in any fraudulent conduct affecting either the Tribe

or a customer of a gaming operation.

§ 17 -

6. No person, other than an officer of the Seminole Department of Law Enforcement,

may enter or remain in a gaming establishment licensed under this Ordinance while in the

possession of a firearm or other weapon.

§ 17 - 7. Any person who is in privity with a person who violates this Ordinance shall be

deemed to be in violation of this Ordinance to the same extent as the violator, and shall be

treated accordingly.

§ 17 - 8. The management contractor is responsible for ensuring that all primary management

officials and key employees assisting in the operation of any gaming activity on the management

contractors behalf comply with this Ordinance. A violation by any such officials or employees,

unless otherwise provided in an approved management contract, shall be deemed a violation by

the management contractor and shall subject the contractor to civil enforcement action. It shall

not be a defense that the management contractor was unaware of the violation.

§ 17 -

9. 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

tamped with;

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

gaming activity; or

(c) 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.

§ 17 - 10. A gaming operations facility shall be constructed, maintained, and operated in a

maimer that does not threaten the environment or the public health and safety.

§ 17 -11. Alcohol, which is not for sale by the licensee to customers, and/or controlled

substances are not to be brought into the gaming establishment.

§ 17 -

12. If the management contractor fails to correct violations within the time permitted in

a notice of violation issued by the Chairman or within fifteen (15) calendar days after the Tribe

provides notice of a violation, such failure shall be deemed a further violation by the

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management contractor.

SECTION 18 -

NOTICE OF VIOLATION

§ 18 - 1. The Council may issue a notice of violation to any person for violation of any

provision of this Ordinance.

§ 18 -

2. 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 required to correct the violation;

(d) a statement that the violation must be corrected within five (5) calendar days from

the date the notice was issued;

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

(f) the amount of civil fines that the alleged violator must pay pursuant to Section 19,

below.

SECTION 19- CIVIL FINES

§ 19 -

1. In issuing a notice of violation under Section 18 of this Ordinance, the Council may:

(a) impose a civil fine not to exceed Five Hundred ($500) Dollars for each violation

and, if such violation is a continuing one, for each day, that the violation occurs;

and/or

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

the Council 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 notice and demand.

§ 19 -

2. How assessments are made.

The Council 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.

20
§ 19 -

3. Procedures for assessment of a civil fine:

(a) within five (5) calendar days after service of a notice of violation, the alleged

violator shall submit written information about the violation and any corrective

measures undertaken to Council. The Council shall consider any information so

submitted in determining the facts surrounding the violation and the amount of the

civil fine;

(b) the Council shall serve a copy of the proposed assessment on the alleged violator

within ten (10) calendar days after the notice of violation was issued, when

practicable; and

(c) the Council 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.

§ 19 -

4. Final assessment:

(a) if the alleged violator fails to request a hearing as provided in § 21 of this

Ordinance, the proposed civil fine assessment shall become a final order of the

Council;

(b) civil fines assessed under this Section shall be paid by the person assessed and

shall not be treated as an operating expense of the gaming operation; and

(c) the Council shall transfer civil fines paid under this Ordinance to the SecretaryTreasurer of the Tribe for deposit into the Tribal Treasury.

SECTION 20- ENFORCEMENT

§ 20 - 1. The Council shall 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 gaining license issued by Council; or

(b) bring an action in a court of competent jurisdiction for imposition of one or more

of the following sanctions:

(1) seizure of any gaming apparatus, proceeds, or other property of a

licensee connected with the gaining activities engaged in by the

licensee;

(ii) collection of any unpaid fees, interest, penalties, and of any civil

fines unpaid after thirty (30) calendar days; or

21
(iii) execution on any nonexempt property of a violator located within

the exterior boundaries of Tribal lands.

§ 20 -

2. Civil actions may be brought by the Council pursuant to this Ordinance in any court

of competent jurisdiction to enforce the imposition of any and all sanctions provided for under

this Ordinance.

§ 20 - 3. Before taking any action authorized in § 19 and § 20 - 1 of this Ordinance, the

Council 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 himlher, and allow the alleged violator an

opportunity for a prompt hearing. If the alleged violator fails to respond, or cannot be found,

the Council 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.

§ 20 -

4. Every person who applies for a gaming license and accepts such license thereby

acknowledges the civil enforcement jurisdiction and authority of the Council 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, upon a proper finding of the Council or the court that the person has

violated a provision of this Ordinance, despite lack of actual notice, provided that the Council

has used its best efforts to notify the person, in person or by letter delivered to his/her last

known address.

SECTION 21 -HEARINGS AND APPEALS

§ 21 -

1. This Section provides procedures for appeals to the Council regarding:

(a) a violation alleged in a notice of violation; and

(b) civil fmes assess by the Council in this Ordinance.

§ 21 - 2. The Council shall hold a hearing on the proposed revocation of a gaming license held

by a primary management official or key employee after it has suspended such license pursuant

to 25 C.F.R. § 558.5. The licensee shall be notified by the Council of the time and place for

hearing. After the hearing, the Council shall decide to revoke or reinstate the gaming license.

The Tribe shall notify the Commission of its decision.

§ 21 -

3. Any licensee paying a civil fine or penalty for any violation enumerated in this

Ordinance because of excusable neglect may petition the Council for a partial or full waiver of

suit, fme, or penalty. The petition shall be filed within thirty (30) business days after the

payment was made.

§ 21 - 4. Any person aggrieved by a decision made or action taken by the Council without

22
notice and opportunity for hearing to the aggrieved person, may petition the Council for a

hearing and reconsideration. The petition shall be filed within thirty (30) business days after the

petitioner knew or should have known of the decision or action. The Council shall grant a

prompt hearing upon receiving such a petition, and shall reconsider its decision or action, affirm,

modify, reverse and/or vacate the Councils order in light of what is presented at a hearing.

§ 21 - 5. Any person aggrieved by a decision made or action taken by the Council after notice

and opportunity for hearing may petition the Council for review. Such petition shall specifically

set forth the reasons for aggrievement and be filed with the Council no later than thirty (30)

business days after the Councils decision or action. The Council shall set the matter for hearing

no later than thirty (30) business days and no sooner than three (3) business days after receipt

of the petition, and may, upon establishing that it has jurisdiction, affirm, modify, reverse and/or

vacate the Councils order.

SECTION 22 - SERVICE

§ 22 -

1. The Council shall designate by written notification to the Commission an agent for

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

§ 22 -

2. A management contractor or a Tribal operator shall designate by written notification

to the Commission an agent for service of any official determination, order, or notice of

violation.

SECTION 23- RESOLUTION OF DISPUTES BETWEEN MANAGEMENT CONTRACTOR

OR TRIBE AND CUSTOMERS

§ 23 -

1. Notice of warning regarding the improper conduct set out in § 23 - 2 of this

Ordinance or other gaming rules established and enforced by the gaming operation shall be

posted at the entrance of each gaming establishment and/or given to customer upon entering the

premises.

§ 23 - 2. The following improper conduct shall result in ejection of a customer from any

gaming establishment:

(a) cheating;

(b) possession of weapons 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

23
others; and

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

§ 23 - 3. 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 shall

be refunded.

§ 23 -

4. Ejection of a customer shall be accomplished by the Seminole Department of Law

Enforcement, upon request of the gaming operation.

§ 23 - 5. (a) Either the employee manager or management contractor of the gaming operation

or an alternate designated by either shall be present at all times to resolve

complaints by customers involving the operation of bingo and other class II games

at the establishment.

(b) If the employee manager or management contractor or their alternates are unable

to resolve any dispute, as provided in (a) the matter may, upon request of the

customer, be referred to the Council for resolution. Action by the Council may

be initiated by making a written request to the Legal Department of the Seminole

Tribe of Florida, 6073 Stirling Road, Hollywood, Florida 33024. The decision

of the Council on any dispute so referred to it for resolution shall be final.

SECTION 24- APPLICABLE LAW

§ 24 - 1. All controversies involving contracts relating to gaming entered into under the

authority of the Council on Tribal lands shall be resolved, as appropriate, in accordance with:

(a) the Indian Gaming Regulatory Act;

(b) National Indian Gaming Commission Regulations;

(c) the laws of1

the Tribe; and

(d) if no Triba! laws exist, the laws of the State of Florida, which are incorporated

herein by reference.

SECTION 25 -

SAVINGS PROVISION

§ 25 - 1. If any provision of this Ordinance or the application thereof to any person or

circumstance is held invalid, the invalidity shall not affect other provisions or applications of the

Ordinance which can be given effect without the invalid provisions or application, and, to this

end, the provisions of this Ordinance are severable.

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SECTION 26 -

EFFECTIVE DATE/REPEAL

§ 26 -

1. This Ordinance shall be effective immediately upon approval by appropriate

governmental authority and, once approved, all previous gaming Ordinances shall be repealed.

25