above, the Tribe shall suspend such license and
shall notify in writing the licensee of the
suspension and the proposed revocation.

2. The Tribe shall notify the licensee of a time and a
place for a hearing on the proposed revocation of a
license.

3. After a revocation hearing, the Tribe shall decide
to revoke or to reinstate a gaming license. The
Tribe shall notify the National Indian Gaming
Commission of its decision.

Article X. - Class III Background Investigations/Licensing

With regard to Class III gaming, background investigations and
the issuance of licenses/registrations to gaming employees and to
gaming service enterprises shall be conducted pursuant to Sections
5 and 6 of the Compact.

Article XI. - Licensing Locations

The Tribe shall issue a separate license to each place,
facility, or location on Tribal land where it elects to allow Class
II or Class III gaming to be conducted under this Ordinance.

Article XII. - Establishment of the
8t. Regis Mohawk Tribal Gaming Commission

A. The St. Regis Mohawk Tribal Gaming Commission ("Tribal
Gaming Commission") shall be composed of five (5) persons, each of
whom shall carry the title "Tribal Gaming Commissioner."

B. The Tribal Gaming Commissioners shall be appointed, and
may be reappointed, by majority vote of the Tribal Council. A
Resolution of the Tribal Council as to the appointment or
reappointment of any Tribal Gaming Commissioner shall be conclusive
evidence of the due and proper appointment of the member.

Cc. A Tribal Gaming Commissioner may be a member or non-
member of the Tribe who must be twenty-one (21) years of age or
older. However, during the Tribal Gaming Commissioner's term of
office or for a period of one year following the expiration of such
term, no Tribal Gaming Commissioner shall (i) be a gaming employee
of any Tribal gaming operation, or (ii) have any direct or indirect
financial interest in or management responsibility for any Tribal
gaming facility or operation.

D. The term of office shall be five years and staggered.
When the Tribal Gaming Commission is first established, the Tribal
Gaming Commissioners’ terms shall be designated to expire in one,
two, three, four and five years, respectively. Thereafter, all

-11-


Article III. - Definitions

The following terms, wherever used or referred to in this
Ordinance, shall have the following respective meanings, unless a
different meaning clearly appears from the context:

"Class II gaming" means Class II gaming as defined in IGRA, 25
U.S.C. Section 2703(7)(A) and the regulations promulgated by the
National Indian Gaming Commission at 25 C.F.R. § 502.3.

“Class III gaming" means Class III gaming as defined in 25
U.S.C. § 2703(8) and regulations promulgated by the National Indian
Gaming Commission at 25 C.F.R. § 502.4.

"Compact" means the compact and any modifications or
amendments thereto, entered into between the Tribe and the State of
New York to govern Class III gaming operated by or on behalf of the
Tribe, effective upon the approval of the Secretary of the
Interior.

“Enterprise shall have the meaning set forth in Section 2(f)
of the Compact.

“Gaming employee" means any natural person employed in the
operation or management of Class II or Class III gaming authorized
by this Ordinance or as defined in Section 2(g) of the Compact,
whether employed by the Tribe or by any enterprise or management
contractor providing on-site services to the Tribe within a Class
II or Class III gaming facility.

“Gaming facility" means any place, facility or location in
which Class II or Class III gaming is conducted on Tribal land.

“Gaming operation" means any business or activity operated by
or for the Tribe on Tribal lands for the purpose of conducting any
form of Class II or Class III gaming in any Class II or Class III
gaming facility.

“Gaming services" shall have the meaning set forth in Section
2(k) of the Compact.

"“IGRA" means the Indian Gaming Regulatory Act, Pub. L. 100-
497, 102 Stat. 2467, codified at 25 U.S.C. §§ 2701-21 and 18 U.S.C.
$§ 1166-68.

“Net revenues" means gross revenues of a Class II or Class III
gaming activity less amounts paid out as, or paid for, prizes and
total operating expenses, excluding management fees.

“Ordinance" means this St. Regis Mohawk Tribal Gaming
Ordinance.


standards of management and operation adopted pursuant to this
Ordinance or any management or service agreement with a third
party, and may upon consideration of such complaint recommend to
the Tribal Council such remedial action as it deems appropriate to
bring the Tribal gaming operation into compliance with such
provisions. The Tribal Gaming Commission may for this purpose, in
its sole discretion, conduct a hearing and receive evidence with
regard to such complaint if it deems an evidentiary proceedings
useful in the resolution of such complaint. In addition, the
Tribal Gaming Commission may receive any suggestions from any
employee of any Tribal gaming operation or any member of the public
regarding ways in which a gaming operation may be improved.

N. The Tribal Gaming Commission may adopt an annual
operating budget and may in accordance with that budget employ such
staff from time to time as it deems necessary to fulfill its
responsibilities under this Ordinance. The Tribal Gaming
Commission shall appoint an individual to serve as a full-time
Executive Director of the Tribal Gaming Commission to administer
its responsibilities on a day to day basis and to oversee
inspectors appointed by the Tribal Gaming Commission as well as
such other staff as the Tribal Gaming Commission may from time to
time employ. The Tribal Gaming Commission may delegate to the
Executive Director those powers not expressly limited to the Tribal
Gaming Commission. The Tribal Gaming Commission may also enlist
legal counsel and other professional services, including
investigative services, available to the Tribe, to assist the
Tribal Gaming Commission with respect to any of the issues over
which the Tribal Gaming Commission exercises jurisdiction.

oO. To undertake and carry out studies and analyses of Tribal
gaming operations.

P. To adopt such by-laws as the Tribal Gaming Commission
deems necessary and appropriate.

Q. The Tribal Gaming Commission shall submit an annual
report, in written form, signed by the Chairman of the Tribal
Gaming Commission, to the Tribal Council showing (a) a summary of
the year's activities, (b) the financial condition of the gaming
operations, (c) any significant problems and accomplishments,
(d) plans for the future, (e) such other information as the Tribal
Gaming Commission or the Tribal Council may deem pertinent.

R. To oversee and implement any responsibilities of the
Tribe or Tribal Gaming Commission pursuant to any management or
service agreement with a third party for the management of Tribal
gaming operations.

s. To take such further actions as are commonly engaged in
by public bodies of this character as the Tribal Gaming Commission
may deem necessary and desirable to effectuate its purposes,
including without limitation the power to adopt rules and
regulations governing the procedures for the meetings of the Tribal
Gaming Commission.

-15-


a. Complete a new application form that contains
a notice regarding false statements; or
b. Sign a statement that contains the notice
regarding false statements.
Cc. Background Investigations
1. The Tribe shall request from each primary

management official and from each key employee all
of the following information:

a.

Full name, other names used (oral or written),
social security number(s), birth date, place
of birth, citizenship, gender, all languages
(spoken or written) ;

Currently and for the previous five years:
business and employment positions held,
ownership interests in those businesses,
business and residence addresses, and drivers
license numbers;

The names and current addresses of at least
three personal references, including one
personal reference who was acquainted with the
applicant during each period of residence
listed under subparagraph (1)(b) of this
Article;

Current business and residence telephone
numbers;

A description of any existing and previous
business relationships with Indian tribes,
including ownership interests in those
businesses;

A description of any existing and previous
business relationships with the gaming
industry generally, including ownership
interests in those businesses;

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;

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;

-7-


A. To fund Tribal government operations or programs;

B. To provide for the general welfare of the Tribe and its
members, but not including direct per capita distributions to the
general membership;

Cc. To promote Tribal economic development; and
D. To help fund operations of local government agencies.
Article VII. - Audits

A. The Tribe shall require an annual independent audit by a
certified public accounting firm of gaming operations, with results
of each such audit to be provided to the National Indian Gaming
Commission pursuant to 25 C.F.R. § 522.4(b)(3) subject to terms
that shall protect the confidentiality of the results;

B. All contracts for supplies, services or concession for a
contract amount in excess of $25,000 annually (except contracts for
professional, legal, or accounting services) relating to such
gaming shall be specifically included within the scope of such
independent audits as described in Paragraph A, above.

Article VIII. - Public Health and Safety

The construction and maintenance of all gaming facilities and
the operation of all gaming activities shall be conducted in a
manner which adequately protects the environment and the public
health and safety of all individuals.

Article IX. - Licenses for Key Employees
and Primary Management Officials

The Tribe shall ensure that the policies and procedures set
out in this Article are implemented with respect to key employees
and primary management officials employed at any Class II gaming
enterprise operated on Indian lands, and at any Class III gaming
enterprise operated on Indian lands to the extent required by IGRA:

A. Definitions

For the purposes of this Article, the following definitions
apply:

1. Key employee means

a. A person who performs one or more of the
following functions:

(1) Bingo caller;

(2) Counting room supervisor;
(3) Chief of security;

-4-


"st. Regis Mohawk Tribal Gaming Commission" means the Tribal
Gaming Commission established pursuant to IGRA, which is the same
as the "Tribal Gaming Agency" or "Commission" as defined in Section
2(s) of the Compact.

"State" shall mean the State of New York.

"Tribal Council" means the official governmental body of the
St. Regis Mohawk Tribe recognized by the United States federal
government as the governmental body of the Tribe.

"Tribal Gaming Commission" means the St. Regis Mohawk Tribal
Gaming Commission established by this Ordinance, and is the same as
the "Tribal Gaming Agency" or "Commission as defined" in Section
2(s) of the Compact.

"Tribal lands" means the reservation lands of the Tribe or
lands over which the Tribe exercises governmental power and which
are either (i) held by the Tribe or an individual member of the
Tribe subject to restriction by the United States against
alienation; or (ii) held in trust by the United States for the
benefit of the Tribe or an individual member of the Tribe.

"Tribe" means the St. Regis Mohawk Tribe.
Article Iv. - Authorized Games

The following forms of Class II and Class III gaming shall be
lawful if operated by the Tribe as a Tribal enterprise or by any
other person or entity authorized by the Tribe:

A. Any Class II game; and

B. Any Class III game authorized by the Compact and any
amendments or modifications thereto executed by the State and the
Tribe and approved by the Secretary of the Interior.

Article Vv. - Tribal Ownership

The Tribe shall have the sole proprietary ownership of and
responsibility for the conduct of any gaming operation authorized
by this Ordinance. This shall not preclude the Tribe from entering
into a management or service agreement with persons or firms to
provide management or professional services to the gaming activity,
including the appointment or licensing of persons or firms to act
as the licensees or agents of the Tribe in the conduct of a
specific gaming activity.

Article VI. - Use of Revenue from Gaming

The net revenues received by the Tribe for any gaming activity
shall be used solely for the following purposes:


Article XIV. - Prior Ordinance Repealed
Upon execution of this Ordinance, any ordinance or any part
thereof which is not consistent with this Ordinance are hereby
repealed.
Article XV. - Interpretation
The provisions of this Ordinance, being necessary for the
benefit of the Tribe and its members, shall be liberally construed
to effect the purposes and objectives thereof.
Article XVI. - Effective Date
This Ordinance is effective upon enactment.
Article XVII.- Enforcement
This Ordinance shall be enforced by the Tribe.

ADopTeD THIs /@_ DAY oF DEcem Ber , 1993.

ST. REGIS MOHAWK TRIBE

By: EA, a

Chief L. Mavid Jacobs

wa Sv horan
By:

Chief Norman J. Tarbell

APPROVED this day of , 199__.

NATIONAL INDIAN GAMING COMMISSION

By:

Chairman of the Commission

-16-


information may be disclosed to
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 tribe's
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.

Existing key employees and primary management
officials shall be notified in writing that they
shall either:

a.

b.

The

Complete a new application form that contains
a Privacy Act notice; or

Sign a statement that contains the Privacy Act
notice and consent to the routine uses
described in that notice.

following notice shall be placed on the

application form for a key employee or a primary
official before that form is filled out by an
applicant.

A false statement on any part of
your application may be grounds for
not hiring you, or for firing you
after you begin work. Also, you may
be punished by fine or imprisonment. ¢
(U.S. Code, title 18, section 1001.)

The Tribe shall notify in writing existing key
employees and primary management officials that
they shall either:

-6-


|

NATIONAL ie
INDIAN ‘

GAMING .

COMMISSION JAN 21 1994

». David Jacobs, Head Chief
tt. Regis Mohawk Tribe
Community Building
Hogansburg, New York 13655

*Dear Chief Jacobs:

This letter responds to your request to review and approve the
tribal gaming ordinance submitted on January 3, 1994, for the St.
Regis Mohawk Tribe (the Tribe). This letter constitutes such
approval under the Indian Gaming Regulatory Act (IGRA).

Under the IGRA and the regulations of the National Indian Gaming
Commission (NIGC), the Chairman is directed to review ordinances
with respect to the requirements of the IGRA and the implementing
regulations. Thus, the scope of the Chairman's review and
approval is limited to the requirements of the IGRA and. the NIGC
regulations. Provisions other than those required under the IGRA
or the NIGC regulations that may be included in a tribal
ordinance are not subject to review and approval. Also, such
approval does not constitute approval of specific games.

It is important to note that the gaming ordinance is approved for
gaming only on Indian lands as defined in the IGRA.

With the Chairman's approval of the Tribe's gaming ordinance, the
Tribe is now required to conduct background investigations on its
key employees and primary management officials. The NIGC expects
to receive a completed application for each key employee and
primary management official pursuant to 25.C.F.R. § 556.5(a) and
an investigative report on each background investigation before
issuing a license to a key employee or primary management
official pursuant to 25 C.F.R. § 556.5(b).

Thank you for submitting the ordinance of the St. Regis Mohawk

Tribe for review and approval. The NIGC staff and I look forward
to working with you and the Tribe in implementing the IGRA.

Sincerely yours,

. Anthany J. Hope

Anthony J. Hope
Chairman

cc: John S. Loran, Tribal Chief
Arthur J. Gajarsa, Esq.

1850 M STREET. NW.. SUITE 250 ___ WASHINGTON. D.C. 20036 TEL: 202-632-7003 FAX: 202-632-7066



E.

Procedures for Forwarding Applications and Reports for
Key Employees and Primary Management Officials to the National

Indian Gaming Commission.

F.

1.

When a key employee or primary management official
begins work at a gaming operation authorized by
this Ordinance, the Tribe shall forward to the
National Indian Gaming Commission a completed
application for employment and conduct the
background investigation and make the determination
referred to in Paragraph D of this Article.

The Tribe shall forward the report referred to in
Paragraph F of this Article to the National Indian
Gaming Commission within 60 days after an employee
begins work or within 60 days of the approval of
this Ordinance by the Chairman of the National
Indian Gaming Commission.

The gaming operation shall not employ as a key
employee or primary management official a person
who does not have a license after 90 days.

Report to the National Indian Gaming Commission

1.

Pursuant to the procedures set out in Paragraph E
of this Article, the Tribe shall prepare and
forward to the National Indian Gaming Commission an

investigative report on each background

investigation. An investigative report shall

include all of the following:

a. Steps taken in conducting a _ background
investigation;

b. Results obtained;

c. Conclusions reached; and

da. The bases for those conclusions.

The Tribe shall submit, with the report, a copy of
the eligibility determination made under Paragraph
D of this Article.

If a license is not issued to an applicant, the
Tribe:

a. Shall notify the National Indian Gaming
Commission; and

b. May forward copies of its eligibility
determination and investigative report (if

~9-


i. For each misdemeanor conviction or ongoing
misdemeanor prosecution (excluding minor
traffic violations), within 10 years of the
date of the application, the name and address
of the court involved and the date and
disposition;

j. For each criminal charge (excluding minor
traffic charges), whether or not there is a
conviction, if such criminal charge is within
10 years of the date of the application and is
not otherwise listed pursuant to subparagraph
(1) (h) or (1) (i) of this Article, the criminal
charge, the name and address of the court
involved and the date and disposition;

k. The name and address of any licensing or
regulatory agency with which the person has
filed an application for an occupational
license or permit, whether or not such license
or permit was granted;

1. A current photograph;

m. Any other information the Tribe deems
relevant; and
n. Fingerprints consistent with procedures
adopted by the Tribe according to 25 C.F.R.
§ 522.2(h).
2. The Tribe shall conduct an investigation sufficient

to make a determination under Paragraph D. below.
In conducting a background investigation, the Tribe
or its agent shall promise to keep confidential the
identity of each person interviewed in the course
of the investigation.

D. Eligibility Determination

The Tribe shall review a person's 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
Tribe 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, a
Tribal gaming operation shall not employ that person in a key
employee or primary management official position.


(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.

If not otherwise included, any other person
whose total cash compensation is in excess of
$50,000 per year; or

If not otherwise included, the four most
highly compensated persons in the gaming
operation.

Primary management official means

a.

b.

The person having management responsibility
for a management contract;

Any person who has authority:

(1) To hire and fire employees; or

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

The chief financial officer or other person
who has financial management responsibility.

B. Application Forms

1.

The

following notice shall be placed on the

application form for a key employee or a primary
management official before that form is filled out
by an applicant:

In compliance with the Privacy Act
of 1974, the following information
is provided: Solicitation of the
information on this form is
authorized by 25 U.S.C. 2701 et seq.
The purpose of the requested
information is to determine the
eligibility of individuals to be
employed in a gaming operation. The
information will be used by National
Indian Gaming Commission members and
staff who have need for the
information in the performance of
their official duties. The

-5-


8ST. REGIS MOHAWK TRIBAL
GAMING ORDINANCE

Pursuant to the authority vested in the St. Regis Mohawk Tribe
(hereinafter referred to as the "Tribe") and its Tribal Council, by
virtue of the Tribe's inherent powers of self-government recognized
by the federal government in the Treaty with the Seven Nations of
Canada, 7 Stat. 55 (May 31, 1796) and the power of a majority of
the Tribal Council to act on behalf of the Tribe pursuant to the
customs and traditions of the Tribe, the Tribe hereby authorizes
the operation of a variety of Class II and Class III games (as
defined by IGRA and this Ordinance) as a means to promote the
Tribe's economic development, self-sufficiency, and strong Tribal
government, and establishes a public body known as the St. Regis
Mohawk Tribal Gaming Commission (hereinafter referred to as the
"Tribal Gaming Commission") to regulate such gaming.

Article I. - Declaration of Need
It is hereby declared that

A. There is a high level of poverty and unemployment among
members of the Tribe;

B. Economic development, self-sufficiency and strong Tribal
government improve the health, safety and welfare of the Tribe, and
serve to preserve its unique culture; and

c. The Tribe is committed to economic development, self-
sufficiency and strong Tribal government.

Article II. - Purposes

A. Gaming is a means of generating Tribal revenue and full
employment.

B. The Federal courts and Congress have declared that Indian
gaming operations are a lawful and valid means of promoting
economic development, self-sufficiency, and strengthening Tribal
governments.

Cc. Congress has established Federal regulatory authority and
standards for gaming on Indian lands in order to protect such
gaming from organized crime and other corrupting influences and to
preserve such gaming as a means of generating Tribal revenue.

D. The Tribe enacts this Ordinance to set the terms for
Class II and Class III gaming operations, as defined herein, on
Tribal lands.


appointments shall be for five years, except that in the case of a
prior vacancy, an appointment shall be only for the length of the
unexpired term. If physically able, each Tribal Gaming
Commissioner shall hold office until his/her successor has been
appointed.

E. The Tribal Council shall name one of the Tribal Gaming
Commissioners as the Chairman of the Tribal Gaming Commission. The
Chairman of the Tribal Gaming Commission shall have the authority
to call meetings of the Tribal Gaming Commission and shall preside
over such meetings. The Tribal Gaming Commission shall select from
among its Tribal Gaming Commissioners a Vice Chairman, a Secretary
and a Treasurer; a member may not hold two of these positions, and
no Tribal Gaming Commissioner may hold the positions of both
Chairman and Vice Chairman. In absence of the Chairman, the Vice
Chairman shall preside.

F. A Tribal Gaming Commissioner may be removed before the
end of his/her term only for good cause shown by the Tribal Council
after appropriate notice and hearing.

G. No Tribal Gaming Commissioner or employee of the Tribal
Gaming Commission shall participate as a player in any gaming
activity conducted by the Tribe.

H. The Tribal Gaming Commissioners may receive compensation
for their services and shall be entitled to compensation for their
expenses, including travel expenses, incurred in the discharge of
their duties.

I. A majority of the full Tribal Gaming Commission shall
constitute a quorum for the transaction of business, taking into
account any vacancies which may exist.

J. The Secretary shall keep complete and accurate records of
all meetings and actions taken by the Tribal Gaming Commission.

K. The Treasurer shall keep full and accurate financial
records, prepare the Tribal Gaming Commission's annual budget, make
quarterly reports to the Tribal Council, and assist in the
preparation of the annual report to the Tribal Council as required
by Paragraph Q of Article XIII of this Ordinance.

L. Meetings of the Tribal Gaming Commission shall be held at
regular intervals as provided in the by-laws. Emergency meetings
may be held upon 24 hours actual notice and business transacted,
provided that at least a quorum exists and that there is a majority
vote of those Tribal Gaming Commissioners present with respect to
the proposed action.

M. Any action required or permitted to be taken at a meeting
of the Tribal Gaming Commission may be taken without a meeting if
all of the members sign written consents setting forth the action
taken or to be taken, at any time before or after the intended
effective date of such action. Such consents shall be filed with

-12-


gaming operation and to compel any person employed by any such
operation, or doing business with such operations to appear before
it and to provide such information, records or other materials as
may be in their possession to assist in any investigation.

C. To license any gaming facility on Tribal land where the
Tribe elects to allow Class II or Class III gaming and to enter and
inspect at any time such gaming facility in which games are
operated pursuant to this Ordinance. Such inspections may be
conducted by non-uniformed inspectors employed by and under the
direction of the Tribal Gaming Commission.

D. To require an annual audit by a certified public
accounting firm of all gaming activities and gaming facilities and
such other audits as it deems necessary.

E. To license any gaming employee.

F. To acknowledge the registration of gaming service
enterprises by the state for purposes of contracting with the Tribe
and to assist the State in the registration of gaming service
enterprises that seek to do business with a Tribal gaming
operation.

G. To ensure that background investigations and licensing
procedures are conducted on primary management officials and key
employees of the gaming operations in accordance with IGRA and the
Compact, and to oversee such officials and their management on an
ongoing basis.

H. To prohibit undesirable conduct from occurring in, and
undesirable persons from admission to, any gaming facility.

I. To coordinate and cooperate with any legitimate law
enforcement effort to protect the Tribe and its gaming operations
from harm.

J. To provide information to the federal and state
governments in accordance with IGRA and the Compact.

K. To ensure that the construction and maintenance of all
gaming facilities and the operation of all gaming activities is
conducted in a manner that adequately protects the environment and
the public health and safety of all individuals.

L. To carry out each responsibility and duty of the Tribal
Gaming Agency set forth in IGRA and the Compact not otherwise set
forth in this Ordinance.

M. To receive any complaint from an employee of any gaming
operation or any member of the public who is or claims to be
adversely affected by an act or omission of a gaming operation that
is asserted to violate this Ordinance, the Act, the Compact, or the

-14-


-2-
Tribal Council Resolution
93 -/82
CERTIFICATION: This is to certify that the above resolution was

duly passed by the Saint Regis Mohawk Tribal Council pursuant to
the authority vested therein.

Ea. sh lege Mite .b, JEP
Carol Herne, Tribal Cler Date”



WHEREAS ,

WHEREAS ,

WHEREAS ,

WHEREAS ,

WHEREAS ,

‘Tribal Chiefs

St. Regis Mohawk Tribe L. David Jacobs

John S. Loran
Norman J. Tarbell
Community Building ‘Tribal Clerk
Hogansburg, New York 13655 Carol Herne
Tel 618-358-2272 Tribal Administrator

Fax 518-358-3203 Angus N. McDonald

Tribal Council Resolution
93 -/0R

the St. Regis Mohawk Tribe, a federally recognized Indian
Tribe pursuant to the Treaty with the Seven nations of
Canada, 7 Stat. 55 (May 31, 1796) and possess sovereign
governmental power over the St. Regis Reservation;

the Tribal Council is the federally recognized governing
body on behalf of the St. Regis Mohawk Tribe with
authority to issue ordinances and regulations;

the Tribe has executed a Compact with the State of New
York which has been approved by the Secretary of the
Interior on December 4, 1993;

the Tribe wishes to establish a Tribal Gaming Commission
to supervise and license the operation of Class II and
Class III gaming facilities on its reservation;

the Tribal Council, in order to supervise and extend the
governmental authority over the Tribal gaming operations
has adopted and ratified a Gaming Ordinance which
establishes the Tribal Gaming Commission and other

regulatory structures to coordinate Tribal gaming on the
Reservation;

NOW, THEREFORE, BE IT RESOLVED that the Tribal Council hereby
adopts and ratifies the Tribal Gaming Ordinance attached hereto and
hereby authorizes it to be submitted to the Indian Gaming
Commission for its review and approval.

L. David ZaceDs, Head Chief

oo LLhhy Vea

¢Date

lIpan-- 93

Date

Norman J. Tarbell, Chief Date

APPROVED


any) to the National Indian Gaming Commission
for inclusion in the Indian Gaming Individuals
Records System. -

4. With respect to key employees and primary
management officials, the Tribe shall retain
applications for employment and reports (if any) of
background investigations for inspection by the
Chairman of the National Indian Gaming Commission
or his or her designee for no less than three (3)
years from the date of termination of employment.

G. Granting a Gaming License

If, within a thirty (30) day period after the National Indian
Gaming Commission receives a report, the National Indian Gaming
Commission notifies the Tribe that it has no objection to the
issuance of a license pursuant to a license application filed by a
key employee or a primary management official for whom the Tribe
has provided an application and investigative report to the
National Indian Gaming Commission, the Tribe may issue a license to

such applicant.

1. The Tribe shall respond to a request for additional
information from the Chairman of the National
Indian Gaming Commission concerning a key employee
or a primary management official who is the subject
of a report. Such a request shall suspend the
thirty (30) day period under this paragraph G of
this Article until the Chairman of the National
Indian Gaming Commission receives the additional
information.

2. If, within the thirty (30) day period described
above, the National Indian Gaming Commission
provides the Tribe with a statement itemizing
objections to the issuance of a license to a key
employee or to a primary management official for
whom the Tribe has provided an application and
investigative report to the National Indian Gaming
Commission, the Tribe shall reconsider the
application, taking into account the objections
itemized by the National Indian Gaming Commission.
The Tribe shall make the final decision whether to
issue a license to such applicant.

H. License Suspension

1. If, after the issuance of a gaming license, the
Tribe receives from the National Indian Gaming
Commission reliable information indicating that a
key employee or a primary management official is
not eligible for employment under Paragraph D.

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the minutes of the Tribal Gaming Commission and shall have the same
effect as consent obtained at a meeting.

N. Tribal Gaming Commissioners may participate in a meeting
of the Tribal Gaming Commission by means of conference telephone or
similar communications equipment by means of which all persons
participating in the meetings can hear each other, and
participation in a meeting in such manner by any Tribal Gaming
Commissioner who does not object at the beginning of such meeting
to the holding thereof in such manner shall constitute presence in
person of that Tribal Gaming Commissioner at such meeting.

Article XIII. - Powers and Duties
of the Tribal Gaming Commission

The Tribal Gaming Commission shall be responsible for the
regulation of any gaming activity authorized by this Ordinance,
shall perform in place of the Tribe the duties of the Tribal
Council set forth in Articles IX and XI of the Ordinance, and shall
have the following powers that it may exercise consistent with the
purposes for which it is established and in compliance with the
Compact:

A. To adopt written standards of operation and management as
provided in the Compact to govern all authorized gaming which shall
include:

1. the rules of each game of chance operated by the
Tribe;

2. permissible methods of payment;

3. procedures to license gaming employees, to conduct
or cause to be conducted background investigations
on employees and management officials, and to train
and instruct gaming employees;

4. internal organization and management of the gaming
operations;

5. security and surveillance methods;

6. accounting and cash control procedures; and

7. other record keeping requirements.
Such standards shall protect the public interest in the integrity
of the gaming operations, and shall reduce the dangers of

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

B. To investigate any aspect of a gaming operation; and, in
doing so, to require and review any records of or concerning any

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