JUL. -

~ I&56

SALT RIVER PIMA-MARICOPA

INDIAN COMMUNITY

Rt. 1, Box 216

Scottsdale, AZ 85256

SRO 219-96

AN ORDINANCE TO GOVERN, REGULATE, AND CONTROL, GAMING ON THE SALT

RIVER PIMA-MARICOPA INDIAN COMMUNITY RESERVATION.

BE IT ENACTED BY THE SALT RIVER PIMA-MARICOPA INDIAN COMMUNITY:

The Communitys ordinance SRO-212-96 is hereby amended in

Sections 9(b) and 11. The amended Ordinance is herewith set forth

in its entirety, as follows.

Section 1. Purpose

It is the purpose of this Ordinance to govern and regulate the

operation and conduct of all gaming activities on lands within the

jurisdiction of the Salt River Pima-Maricopa Indian Community, in

order to protect the public interest in the integrity of such

gaming activities, to prevent improper or unlawful conduct in the

course of such gaming activities, and to promote the development of

a balanced tribal economy by dedicating all of the net revenues

from such gaming activities to the public purposes of the Tribe,

including the support of Community government programs which

promote economic development and the health, education and welfare

of the Community and its members.

Section 2. Definitions

For purposes of this Ordinance:

(a) Act means the Indian Gaming Regulatory Act, Pub.L. 100-

497, 25 U.S.C. Sections 2701 et seq

(b) Applicant means any person who has applied for a

license under the provisions of this Ordinance.

(c) Application means a request for the issuance of a

license under the provisions of this Ordinance.

(d) Class II gaming means Class II gaming as defined in

accordance with the Act, 25 U.S.C. Sec. 2703(7) (A), and the

regulations promulgated thereunder by the Commission.

(e) Class III gaming means Class III gaming as defined in

accordance with the Act, 25 U.S.C. Sec. 2703(8).
(f) Commission means the National Indian Gaming Commission.

(g) Community means the Salt River Pima-Maricopa Indian

Community.

(h) Community Council means the Salt River Pima-Maricopa

Indian Community Council, the duly constituted governing body

of the Salt River Pima-Maricopa Indian Community, empowered by

the Salt River Pima-Maricopa Indian Community Constitution to

adopt this Ordinance.

(i) Community law enforcement agency means the police force

of the Salt River Pima-Maricopa Indian Community established

and maintained by the Community to carry out law enforcement

on the Reservation.

(j) Community President means the President of the Salt

River Pima-Maricopa Indian Community.

(k) Community Regulatory Agency means the Salt River Pima

Maricopa Indian Community Gaming Regulatory Agency established

pursuant to this Ordinance.

(1) Compact means such compact governing the conduct of

Class III gaming on the Communitys Reservation as may be

entered into pursuant to the Indian Gaming Regulatory Act

between the State of Arizona and the Salt River Pima-Maricopa

Indian Community, and approved by the Secretary of the

Interior, or such procedures promulgated by the Secretary of

the Interior pursuant to the Indian Gaming Regulatory Act

governing the conduct of Class III gaming on the Communitys

Reservation.

(m) Director means the Executive Director of the Salt River

Pima-Maricopa Indian Community Regulatory Agency established

pursuant to this Ordinance.

(n) Enterprise means the Salt River Pima-Maricopa Indian

Community Gaming Enterprise established by the Salt River

Pima-Maricopa Indian Community Council to conduct all gaming

operations of the Community on the Reservation.

(0) Game means any game played with cards, dice, equipment

or any mechanical, electromechanical or electronic device or

machine for coin, currency, property or other consideration or

thing of value.

(p) Gaming or gambling means to deal, operate, carry on,

conduct, maintain or expose for play any game.

(q) Gaming device means a microprocessor-controlled

electronic device which allows a player to play games of

2
chance, some of which are affected by skill, which device is

activated by the insertion of a coin, currency, tokens or by

the use of credit, and which awards game credits, cash,

tokens, replays or a receipt that can be redeemed by the

player for any of the foregoing. Game play may be displayed

by video facsimile, or mechanical rotating reels whereby the

software of the device predetermines the stop positions and

the presence, or lack thereof, of a winning combination and

pay out, if any.

(r) Gaming employee means any key employee, any primary

management official, and any other person employed by the

Enterprise, including but not limited to any person whose

employment duties require or authorize access to restricted

areas of a gaming facility not otherwise open to the public.

(s) Gaming employee license means a license issued by the

Community Regulatory Agency pursuant to section 9 of this

Ordinance permitting a person to be employed as a gaming

employee.

(t) Gaming equipment means any machine, equipment or device

which is specially designed or manufactured for use in the

operation of any Class II or Class III gaming activity,

including any gaming device.

(u) Gaming facility or gaming facilities means any room

or rooms in which Class II gaming or Class III gaming is

conducted on the Reservation.

(v) Gaming facility license means a license issued by the

Community Regulatory Agency pursuant to section 11 of this

Ordinance allowing permitting gaming operations at a gaming

facility.

(w) Gaming operation means any Class II or Class III gaming

conducted by the Enterprise pursuant to this Ordinance.

(x) Gaming operator license means a license issued by the

Community Regulatory Agency pursuant to Section 12 of this

Ordinance, permitting the Enterprise to conduct gaming

operations at a gaming facility.

(y) Gaming services means:

(i) the providing of any goods or services (except for

legal services) for the gaming facilities or the gaming

enterprise in an amount in excess of $5,000 in any single

month, including but not limited to equipment,

transportation, food, linens, janitorial supplies,

maintenance, or security services;

3
(ii) the providing of any amount of gaming equipment to

the Community or the Enterprise in connection with the

operation of Class II or Class III gaming in a gaming

facility;

(iii) the extension of or guarantee of any financing for

the Enterprise or the gaming facilities by any person or

entity other than the Community or an institutional

investor; 2

(iv) the provision of any services by a management

contractor.

(z) Gaming services license means a license issued by the

Community Regulatory Agency pursuant to Section 10 of this

Ordinance permitting a person or entity to provide gaming

services.

(aa) Institutional investor means an agency of the United

States; a lending institution licensed and regulated by the

State or the United States; a mutual fund that meets the

requirements of a qualified institutional buyer as defined

in Rule 144A of the Federal Securities Act; an insurance

company as defined in Section 2(a) (17) of the Investment

Company Act of 1940, as amended; and investment company

registered under Section 8 of the Investment Company Act of

1940, as amended; an investment adviser registered under

Section 203 of the Investment Advisers Act of 1940, as

amended; a finance company with net assets in excess of $250

million which regularly provides companies with asset-based

equipment leasing or financing; or a gaming company duly

licensed in such jurisdictions as the Community Regulatory

Agency deems acceptable.

(bb) 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 or management

(6) Pit boss;

(7) Dealer;

(8) Croupier;

(9) Approver of credit; or

(10) Custodian of gaming devices including persons

with access to cash and accounting records within

such devices;

4
(ii) If not otherwise included, any other person whose

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

or

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

compensated persons in the Enterprise.

(cc) Management contract means a contract within the meaning

of 25 U.S.C. Sections 2710(d) (9) and 2711.

(dd) Management contractor means a natural person or entity

that has entered into a management contract with the Community

or the Enterprise which has been approved pursuant to 25

U.S.C. Sections 2710(d) (9) and 2711.

(ee) Manufacturer means a natural person or entity that

manufactures Gaming Devices and/or component parts thereof as

defined herein for use or play in the Gaming Facilities.

(ff) National Indian Gaming Commission means the National

Indian Gaming Commission established pursuant to 25 U.S.C.

Section 2704.

(gg) Net revenues means gross revenues of Class II and Class

III gaming activities less amounts paid out as, or paid for,

prizes and total operating expenses including debt service but

excluding management fees paid to a management contractor

within the meaning of 25 U.S.C. Section 2711(c).

(hh) Ordinance means this Salt River Pima-Maricopa Indian

Community Gaming Ordinance, and any regulations and Standards

of Operation and Management promulgated by the Community

Regulatory Agency hereunder.

(ii) Person includes a corporation, company, partnership,

firm, association or society, as well as a natural person.

When person is used to designate the violator or offender of

any law, it includes a corporation, partnership, or any

association of persons.

(jj) Principal shall mean, with respect to any person:

(i) each of its officers and directors;

(ii) each of its principal management employees,

including any chief executive officer, chief financial

officer, chief operating officer or general management;

(iii) each of its owners or partners, if an

unincorporated business;

5
(iv) each of its shareholders who own more than ten

percent of the shares of the corporation, if a

corporation;

(v) each person other than a banking institution who has

provided financing for the entity constituting more than

ten percent of the total financing of the entity; and

(vi) each of the beneficiaries, or trustees of a trust.

(kk) Primary management official means:

(i) The person having management responsibility for or

under a management contract; or

(ii) Any person who has authority:

(1) To hire and fire employees; or

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

(iii) The chief financial officer or other person who

has financial management responsibility for the

Enterprise.

(11) Reservation means all lands within the limits of the

Salt River Pima-Maricopa Indian Community Reservation, and all

other lands title to which is held in trust by the United

States for the benefit of the Community or any individual

member or members of the Community or held by the Community or

an individual member of the Community subject to restriction

by the United States against alienation and over which the

Community exercises governmental power.

(mm) Revocation hearing means a hearing conducted to

consider the initial denial, or subsequent conditioning,

suspension or revocation of a gaming employee or gaming

services license.

(nn) State means the State of Arizona, its authorized

officials, agents and representatives.

(oo) State gaming agency means such agency of the State of

Arizona which the Governor may from time to time designate by

written notice to the Community as the single state agency

which shall act on behalf of the State under the Compact.

Section 3. Adoption of Compact

At such time as the Compact becomes legally effective pursuant to

the Act, the Compact shall be deemed to be incorporated herein and

enacted as an integral part of this Ordinance as if set forth in

full herein, and in the event of any conflict between a provision

6
of this Ordinance and a provision of the Compact, the provision set

forth in the Compact shall be deemed to be controlling, except in

the event that the provision set forth in this Ordinance is

stricter or more stringent. The adoption of the Compact and

incorporation herein shall under no circumstances be deemed to

affect the operation by the Community of any Class II gaming,

whether conducted within or without the gaming facilities, or to

confer upon the State any jurisdiction over such Class II gaming

conducted by the Community on the Reservation.

Section 4. Gaming Authorized

The Enterprise on behalf of the Tribe may conduct Class II gaming,

and the Enterprise on behalf of the Tribe may conduct all types of

Class III gaming authorized by the compact once the Compact becomes

legally effective pursuant to the Act. No person under the age of

21 shall be allowed to be permitted to place any wager, directly or

indirectly, on any Class II or Class III gaming.

Section 5. Ownership of Gaming

The Community shall have the sole propriety interest in and

responsibility for the conduct of any gaming operation authorized

by this Ordinance; provided, however, that nothing herein shall be

construed to prevent the Community from granting security interests

or other financial accommodations to secured parties, lenders or

others, or to prevent the Community from entering into true leases

or financing lease arrangements, or to interfere with the exercise

by any secured party of its rights under any financing agreement

with the Community to enforce its security interests in the

premises on which such gaming activities may be conducted, or to

enforce its rights against gross revenues of the Community from its

gaming activities for the purpose of repayment of the debt

obligations of the Community to such secured party in accordance

with the provisions of such agreements.

Section 6. Use of Gaming Revenue

(a) In compliance with Sec. 2710(b) (2) (B) of the Act, net

revenues from Class II and Class III gaming shall be used only for

the following purposes:

(i) to fund tribal government operations and programs;

(ii) provide for the general welfare of the Community

and its members.

(iii) promote tribal economic development;

(iv) donate to charitable organizations; or

(v) help fund operations of local government agencies.

7
(b) If the Community elects to make per capita payments to

Community members, it shall authorize such payments only upon

approval of a plan submitted to the Secretary of the Interior under

Sec. 2710(b) (3) of the Act.

Section 7. Audit

The Enterprise shall cause to be conducted annually an independent

audit of all gaming operations and shall submit the resulting audit

reports to the National Indian Gaming Commission. All gaming

related contracts that result in the purchase of supplies,

services, or concessions in excess of $25,000.00 annually, except

contracts for professional legal and accounting services, shall be

specifically included within the scope of such audit.

Section 8. Protection of the Environment and Public

Realth and Safety

All gaming facilities shall be constructed, maintained and operated

in a manner that adequately protects the environment and the public

health and safety, and for that purpose shall comply with the

standards generally imposed by the Uniform Laws Annotated Codes

covering the Uniform Building Code, Uniform Mechanical Code,

Uniform Plumbing Code, and Uniform Fire Code, the public health

standards for food and beverage handling requirements of the United

States Public Health Service, and all other applicable health,

safety and environmental standards of the Community.

Section 9. Gaming ~ployee Licenses

All Class II and Class III gaming employees shall be required to

obtain a gaming employee license from the Community Regulatory

Agency, and no person may commence or continue employment as a

gaming employee unless he or she is the holder of a valid current

gaming employee license or temporary gaming employee license issued

by the Community Regulatory Agency, and is certified by the State

gaming agency if so required by the Compact. No person may

commence employment as a gaming employee unless such person is at

least 18 years of age, and no person shall be employed in the

service of alcoholic beverages at any gaming facility, if such

service of alcoholic beverages is allowed by the Community, unless

such person is at least 21 years of age. The Community Regulatory

Agency shall ensure that the policies and procedures set out in

Appendix A attached hereto and made a part hereof are implemented

with respect to gaming employee licensure for all Class II and

Class Ill gaming employees. The Community Regulatory Agency shall

be empowered to create a dual or multi-tiered licensure system

which requires a greater degree of information be provided and a

more comprehensive background investigation be employed with

respect to prospective key employees and primary management

officials.

8
(a) Application Forms The Community Regulatory Agency shall

ensure that all application forms for a gaming employee

license shall contain the notice described in Section A of

Appendix A, and require at a minimum that each prospective

employee provide the Community Regulatory Agency with the

information set out in Section B of Appendix A.

(b) Background Investigations The Community Regulatory

Agency shall ensure that a background investigation is

conducted on all prospective gaming employees upon receipt of

a completed application f or employment as a gaming employee.

Such background investigation shall commence immediately upon

receipt of the completed application and shall be conducted as

quickly as possible, /~a~n n~any event sha~1 be~.cornpIeted

withifl .

~hir~y days from tbe~ time of.. commencement.? ~~hŁ

Community law enforcement agency, or such other third-party

investigative entity with which the Community Regulatory

Agency may contract, shall assist the Community Regulatory

Agency in conducting background investigations as deemed

necessary and appropriate by the Community Regulatory Agency.

The Community Regulatory Agency shall conduct an investigation

sufficient to make a determination under subsection (c) below.

In conducting such background investigation, the Community

Regulatory Agency and its agents shall promise to keep

confidential the identity of each person interviewed in the

course of the investigation. The Community shall enter into

an agreement with the National Indian Gaming Commission as a

third-party investigative entity for purposes of taking and

checking fingerprints of all applicants and conducting any

additional criminal history checks as may be deemed necessary

by the Commission pursuant to 25 C.F.R. § 522.2(h).

(c) Eligibility Determination The Community Regulatory

Agency shall, as soon as possible after completion of the

background investigation, determine whether an applicant is

eligible for a gaming employee license. The Community

Regulatory Agency shall determine that an applicant is not

eligible for a gaming employee license if such applicant:

(i) has been determined to be a person whose prior

activities, criminal record, if any, or reputation,

habits and associations, pose a threat to the public

interest or to the effective regulation of gaming, or

creates or enhances dangers of unsuitable, unfair, or

illegal practices and methods and activities in the

conduct of the gaming activities permitted pursuant to

this Ordinance, or

(ii) has failed to provide any information reasonably

required to investigate the application for a gaming

employee license or to reveal any fact material to such

application, or has furnished any information which is

9
untrue or misleading in connection with such application,

or

(iii) has been convicted of any felony or gaming of fepse. . -

~/ 4,///(~e ~rn~fc Ikz /i~/d~i/ii~ 5 /~j/~ fl~ ~ L~7 ~IU

(d) Procedures for Forwarding Applications and Reports for ,~,

Key Employees and Primary Management Officials to the National

Indian Gaming Commission Upon completion of a background

investigation, and an eligibility determination for a gaming

employee license pursuant to subsection (d) of this section,

and in any event no later than the time when a key employee or

primary management official begins work, the community

Regulatory Agency shall forward to the National Indian Gaming

Commission a copy of the completed application for employment,

and a investigative report on the background investigation

required pursuant to subsection (b) of this section. Such

investigative report shall include the steps taken in

conducting the background investigation, the results obtained,

the conclusions reached, and the bases for those conclusions,

along with a copy of the eligibility determination made

pursuant to subsection (c) of this section. Such eligibility

determination and investigative report shall be forwarded to

the National Indian Gaming Commission for inclusion in the

Indian Gaming Individuals Records System, regardless of

whether a prospective licensee is granted or denied a license.

The Community Regulatory Agency shall retain applications for

employment of key employees and primary management officials

and reports of background investigations of such individuals

for inspection by the Chairman of the Commission or his or her

designee for no less than three years from the date of

termination of employment.

(e) Granting a Gaming License Upon completion of the

eligibility determination required pursuant to subsection (c)

of this section, the Community Regulatory Agency shall either

grant or deny a gaming employee license. Any individual

denied a gaming employee license shall be entitled to a

revocation hearing. In the event the Community Regulatory

Agency determines that a key employee or primary management

official is eligible to be granted a gaming employee license,

such individual shall be granted a temporary gaming license

pending completion of the following procedure. If, upon

completion of a 30-day period after receipt by the Chairman of

the National Indian Gaming Commission of the investigative

report required pursuant to subsection (d) of this section,

the Commission notifies the Community Regulatory Agency that

it has no objection to the issuance of a gaming employee

license, or fails to provide the Community Regulatory Agency

with a request for further information or a statement

itemizing objections to the issuance of a gaming employee

license to a key employee or primary management official, the

Community Regulatory Agency shall grant a gaming employee

10
license to such individual. If, however, the Chairman

requests further information during the 30-day period, the 30-

day period shall be suspended until the Chairman receives the

information requested, If, within the 30-day period, the

Commission provides the Community Regulatory Agency with a

statement itemizing objections to the issuance of a gaming

employee license to a key employee or to a primary management

official, the Community Regulatory Agency shall reconsider the

license application, taking into account the objections

itemized by the Commission. The Community Regulatory Agency

shall make the final decision whether to issue a gaming

employee license to such applicant. Each temporary gaming

employee license shall expire and become void and of no effect

upon the determination by the Community Regulatory Agency of

the applicants suitability for a gaming employee license.

Each holder of a gaming employee license shall be required to

wear in plain view while at work an identification card issued

by the Community Regulatory Agency which includes the holders

photograph, first and last name, and an identification number

unique to the individual license which shall include a tribal

seal or signature, and an expiration date.

(f) License Suspension and Revocation The issuance of a

gaming employee license by the Community Regulatory Agency

shall not create or imply a right of employment or continued

employment. TEnterp~i.s.eshal.l-.not. emplay ,..a already

employed, shailt in.ate~, an&.the~Communit.y Regulatox~y~~e~cy I~

sMIYe~kØThhcenseofanyperson. who..has-.beenconv.ic.t.ed

of any~fe1onyor gamiug..Dffense. If, after the issuance of a

~i~.ng employee license, the Community Regulatory Agency

receives from the National Indian Gaming Commission reliable

information indicating that a key employee or a primary

management official is not eligible for employment pursuant to

the standard for eligibility determination contained in

subsection (c) of this section, the Community Regulatory

Agency shall suspend such license, shall notify in writing the

licensee of the suspension and proposed revocation of the

licensees gaming employee license, and shall hold a

revocation hearing. After the revocation hearing, the

Community Regulatory Agency shall decide to revoke or to

reinstate the gaming employee license, and shall notify the

licensee and the Commission of its decision. Additionally,

the Community Regulatory Agency shall have the right to

conduct additional background or other investigations of any

gaming employee at any time, and may suspend or revoke any

gaming employee license issued hereunder if new information

concerning facts arising either prior to or since the issuance

of the Regulatory Agency which information could justify

denial of such original license, or any renewal thereof;

provided, however, that no such license shall be suspended

without notice and a revocation hearing unless the Community

Regulatory Agency determines that continued licensing

11
constitutes an immediate threat to the public health, safety

or welfare, or the integrity of gaming on the Reservation, and

no license shall be revoked until the Community Regulatory

Agency has provided the licensee with a revocation hearing.

(g) License Duration and Renewal Any gaming employee

license shall be effective for one year from the date of

issuance; provided, that a licensee who has applied for

renewal may continue to be employed or engaged under the

expired license until action is taken on the renewal

application by the Community Regulatory Agency. Applicants

for renewal of a gaming employee license shall provide updated

material as requested, on the appropriate renewal forms, but

shall not be required to resubmit historical data already

available to the Community Regulatory Agency. Additional

background investigations shall not be required for applicants

for license renewal unless new information concerning the

applicants continuing eligibility for a license is discovered

by either the Community Regulatory Agency or the State gaming

agency.

Section 10. Gaming Services Licenses

No person or entity may provide gaming services to the Community or

the Enterprise, within or without the gaming facilities, unless it

is the holder of a valid current gaming services license issued by

the Community Regulatory Agency. Each manufacturer and supplier of

gaming devices used by the enterprise shall be required to hold a

valid current gaming services license before providing or supplying

gaming devices to any gaming operation. Any management contractor,

including the management contractors principals, shall be required

to hold a valid current gaming services license and to have

received approval of its management contract by the National Indian

Gaming Commission, before providing management services to any

gaming operation.

(a) Application Forms The Community Regulatory Agency shall

ensure that all application forms for a gaming service license

shall contain a form of the notice described in Section A of

Appendix A, and require at a minimum that each prospective

gaming service licensee provide the Community Regulatory

Agency with the information set out in Section B of Appendix

A concerning the applicant and the applicants principals.

The community Regulatory Agency shall require each prospective

provider of gaming services to provide the Community

Regulatory Agency with such information, documentation and

assurances as may be required by the Community Regulatory

Agency, which shall at a minimum identify all of said

applicants principals, and which shall concern the

applicants and each principals personal and family history,

personal and business references, criminal conviction record,

business activities, financial affairs, prior gaming industry

12
experience and general educational background; all of the

foregoing as may be applicable to such applicant or such

principal. Each such application shall be accompanied by the

fingerprint card(s) and current photograph(s) of each

principal of the applicant in form as required by the

Community Regulatory Agency.

(b) Background Investigations The Community Regulatory

Agency shall ensure that a background investigation is

conducted on all prospective gaming services providers upon

receipt of a completed application. Such background

investigation shall commence immediately upon receipt of the

completed application and shall be conducted as quickly as

possible,

~

a~dT~ any event shall be com~J ~~

The Community law

enforcement agency, or such other third-party investigative

entity with which the Community Regulatory Agency may

contract,

~(h) and

shall

shall

take

assist

fiuigerprints

the Community

pursuant

Regulatory

to 25

Agency

C.F.R. _

in

condu~ETng background investigations as deemed necessary and

appropriate by the Community Regulatory Agency. The Community

Regulatory Agency shall conduct an investigation sufficient to

make a determination under subsection (C) below. In

conducting such background investigation, the Community

Regulatory Agency or its agent shall promise to keep

confidential the identity of each person interviewed in the

course of the investigation.

(C) Eligibility Determination The Community Regulatory

Agency shall, as soon as possible after completion of the

background investigation, determine whether an applicant is

eligible for a gaming services license. The Community

Regulatory Agency shall determine that an applicant is not

eligible for a gaming services license if such applicant, or

any principal identified with such applicant:

(i) has been determined to be a person or entity whose

prior activities, criminal record, if any, or reputation,

habits and associations, pose a threat to the public

interest or to the effective regulation of gaming, or

creates or enhances dangers of unsuitable, unfair, or

illegal practices and methods and activities in the

conduct of the gaming activities permitted pursuant to

this Ordinance, or

(ii) has failed to provide any information reasonably

required to investigate the application for a gaming

services license or to reveal any fact material to such

application, or has furnished any information which is

untrue or misleading in connection with such application,

or

13
,, if

(iii) ~

has

~tlA~,

been~co~wicted ~

of a felony or a qamingoffense.~~/~

4 t~j1-~3 ~ ~ ~- ~~:- ~

(d) Granting a Gaming Services License Upon completion of

the eligibility determination required pursuant to subsection

(C) of this Section, the Community Regulatory Agency shall

either grant or deny a gaming services license. Any

gamingservices licensee applicant denied a gaming services

license shall be entitled to a revocation hearing.

(e) License Suspension and Revocation The issuance of a

gaming services license by the Community Regulatory Agency

shall not create or imply a right to supply gaming services on

a continuing basis. The Community Regulatory Agency shall

have the right to conduct additional background or other

investigations of any gaming services licensee or principal of

such licensee at any time, and may suspend or revoke any

gaming services license issued hereunder if new information

concerning facts arising either prior to or since the issuance

of the original license, or any renewal thereof, comes to the

attention of the Community Regulatory Agency which information

could justify denial of such original license, or any renewal

thereof; provided, however, that no such license shall be

suspended without notice and hearing unless the Community

Regulatory Agency determines that continued licensing

constitutes an immediate threat to the public health, safety

or welfare, or the integrity of gaming on the Reservation, and

no license shall be revoked until the Community Regulatory

Agency has provided the licensee with a revocation hearing;

and provided further, that the licensee shall be entitled to

any payment due for services provided or goods delivered prior

to the effective date of suspension or revocation of the

license.

(f) License Duration and Renewal Any gaming services

license shall be effective for one year from the date of

issuance; provided, that a licensee who has applied for

renewal may continue to supply gaming services under the

expired license until action is taken on the renewal

application by the Community Regulatory Agency. Applicants

for renewal of a gaming services license shall provide updated

material as requested, on the appropriate renewal forms, but

shall not be required to resubmit historical data already

available to the Community Regulatory Agency. Additional

background investigations shall not be required of applicants

for license renewal unless new information concerning the

applicants continuing eligibility for a license is discovered

by the Community Regulatory Agency.

Section 11. Gaming Facility Licenses

Upon issuance of a certificate of occupancy by the Tribes

Community Development Department, the Community Regulatory Agency

14
shall issue a separate gaming facility license to each gaming

facility, which license shall be required for each place, facility,

or location on Indian lands within the Community, prior to

commencement of any gaming operations at such gaming facility,

certifying that such gaming facility has been constructed in accord

with the standards set forth in Section 8 of this Ordinance. The

Community Regulatory Agency shall enforce the health and safety

standards applicable to the gaming facilities in accordance with

Section 8 of this Ordinance. Such gaming facility license shall be

renewed on an annual basis by the Community Regulatory Agency,

provided that the gaming facility is maintained and operated in

accord with the standards set forth in section 8 of this Ordinance.

The Community Regulatory Agency shall not renew a gaming facility

license, and shall suspend or revoke a gaming facility license, in

the event that the Community Development Department suspends or

revokes the certificate of occupancy for the gaming facility, or

the Community Development Department determines the gaming facility

is not maintained and operated at all times in accord with the

standards set forth in Section 8 of this Ordinance.

Section 12. Gaming Operator License

The Community Regulatory Agency shall issue a gaming operator

license prior to commencement of any gaming operations at a gaming

facility, certifying that each principal, primary management

official and key employee of the Enterprise holds a valid current

gaming employee license issued in accordance with Section 9 of this

Ordinance. Such gaming operator license shall be renewed on an

annual basis by the Community Regulatory Agency, provided that each

principal, primary management official and key employee of the

Enterprise continues to hold a valid current gaming employee

license, and such license may be suspended or revoked by the

Community Regulatory Agency in the event that such requirements are

not met.

Section 13. Gaming Regulatory License

Until the Executive Director notifies the Director of the Community

Development Department and the members of the Community Regulatory

Agency Board that the Community Regulatory Agency has the ability

to take over all gaming regulator licensing, no person may commence

or continue employment as a Board member, Director, staff or

inspector in the Salt River Pima-Maricopa Gaming Regulatory

Department unless he or she is the holder of a valid current gaming

regulator license issued by the Community Development Department

and the Community Regulatory Agency, after the notification

described in this paragraph (hereafter called Regulatory

Licenser). The Community Development Department shall ensure that

the policies and procedures set out in Appendix A attached hereto

and made a part hereof are implemented with respect to gaming

regulator licensure for prospective gaming regulator licensees.

15
(a) Application Forms The Regulator Licenser shall ensure

that all application forms for a gaming regulator license

shall contain the notice described in Section A of Appendix A,

and require at a minimum that each prospective licensee

provide the Regulator Licenser with the information set out in

Section B of Appendix A.

(b) Background Investigations The Regulator Licenser shall

ensure that a background investigation is conducted on all

prospective Gaming Regulatory licensees upon receipt of a

completed application for employment as a gaming regulator.

Such background investigation shall commence immediately upon

receipt of the completed application and shall be conducted as

quickly as possible, and in any event shall be completed

within thirty days from the time of commencement. The

Community law enforcement agency, or such other third-party

investigative entity with which the Regulator Licenser may

contract, shall assist the Regulator Licenser in conducting

background investigations as deemed necessary and appropriate

by the Regulator Licenser. The Regulator Licenser shall

ensure that an investigation is conducted sufficient to make

a determination under subsection (c) below. In conducting

such background investigation, the Regulator Licenser or its

agent shall promise to keep confidential the identity of each

person interviewed in the course of the investigation. All

actions of the Director not subject to the policies and

procedures of the Community, except those policies and

procedures adopted pursuant to the regulatory provisions of

this ordinance, may be reviewed by the Board at the request of

any person or at the Boards own initiative upon the Boards

written finding that the review will deal with a matter which

significantly effects the operation of the Community

Regulatory Agency or any entity subject to its regulation.

(c) Eligibility Determination The Regulator Licenser shall,

as soon as is practicable after completion of the background

investigation, determine whether an applicant is eligible for

a gaming regulator license. The Regulator Licenser shall

determine that an applicant is not eligible for a gaming

regulator license if such applicant:

(i) has been determined to be a person whose prior

activities, criminal record, if any, or reputation,

habits and associations, pose a threat to the public

interest or to the effective regulation of gaming, or

creates or enhances dangers of unsuitable, unfair, or

illegal practices and methods and activities in the

conduct of the gaming activities permitted pursuant to

this Ordinance, or

(ii) has failed to provide any information reasonably

required to investigate the application for a gaming

16
employee license or to reveal any fact material to such

application, or has furnished any information which is

untrue or misleading in connection with such application,

or

(d) Granting

(iii)

~e~(P~

has

~c~4~Ld~

a

beencpn~victed

Gaming Requlator

~

of ~

any.~felony,~or

License

~, ~

Upon

gaming ~~:

completion

of

-~

~

~

of

the eligibility determination required pursuant to subsection

(c) of this section, the Regulator Licenser shall either grant

or deny a gaming regulator license. Any person denied a

gaming regulator license shall have the opportunity to appeal

such denial to the Community Council, or such body delegated

by the Community Council to hear such appeals, pursuant to

procedures similar in form to the procedures used in a

revocation hearing.

(e) License Suspension and Revocation The issuance of a

gaming regulator license by the Regulator Licenser shall not

create or imply a right of employment or continued employment.

The Regulator Licenser shall have the right to conduct

additional background or other investigations of any licensee

at any time, and may suspend or revoke any gaming regulator

license issued hereunder if new information concerning facts

arising either prior to or since the issuance of the original

license, or any renewal thereof, comes to the attention of the

Regulator Licenser which information could justify denial of

such original license, or any renewal thereof; provided,

however, that no such license shall be suspended without

notice and hearing unless the Regulator Licenser determines

that continued licensing constitutes an immediate threat to

the public health, safety or welfare, or the integrity of

gaming on the Reservation, and no license shall be revoked

until the Regulator Licenser has provided the licensee with

the opportunity to appeal such denial to the Community

Council, or such body delegated by the Community Council to

hear such appeals, pursuant to procedures similar in form to

the procedures used in a revocation hearing.

(f) License Duration and Renewal Any gaming regulator

license shall be effective for one year from the date of

issuance; provided, that a licensee who has applied for

renewal may continue to be employed or engaged under the

expired license until action is taken on the renewal

application by the Regulator Licenser. Applicants for renewal

of a gaming regulator license shall provide updated material

as requested, on the appropriate renewal forms, but shall not

be required to resubmit historical data already available to

the Regulator Licenser. Additional background investigations

shall not be required of applicants for license renewal unless

17
new information concerning the applicants continuing

eligibility for a license is discovered by or made available

to the Regulator Licenser.

Section 14. Co=uxzity Regulatory Agency

(a) Establishment of the Community Regulatory Agency and

Board The Salt River Pima-Maricopa Indian Community

Regulatory Agency is hereby established. The Community

Regulatory Agency shall be a regulatory agency of ,~he Salt

~

River Pima-Maricopa Indian Community, ~geve~ned-. byL~7~oard

of three members~ ~~od-_s1~a-cTh-t-of~

Chairman and two other mem1~ers, at!~st two of whom shall be

members of the Community, and all of whom shall be selected by

the Community Council. Each Board member shall serve for a

term of three years commencing on the date of their

appointment; provided, that the initial members so appointed

shall serve for terms deemed to commence on October , 19961

and one of the initial members appointed shall be designated

to serve for an initial term of one year and one of the

initial members appointed shall be designated to serve for an

initial term of two years. Board members shall serve on a

part-time basis, and the Community Council shall establish the

compensation of the Board members. Board members shall serve

at the pleasure of and may be removed with or without cause by

a vote of a majority of the members of the Community Council

then in office. Vacancies in the Board may be filled by

appointment by the Community President pending action by the

Community Council. All decisions of the Board are final and

are not subject to further judicial or political review or

appeal.

(b) Director The Community Council shall appoint an

individual to serve as a full-time Director of the Community

Regulatory Agency to administer its responsibilities on a day

to day basis. The Director shall be required to have a

minimum of five years of experience as a gaming regulator.

The compensation of the Director shall be established by the

Community Council. The Director shall be responsible for

coordination of the functions of the Community Regulatory

Agency with the Community Council, the Enterprise, the

Community law enforcement agency, the State gaming agency,

state and federal law enforcement agencies, and the National

Indian Gaming Commission. The Board may request the Director

to conduct investigations and render recommendations to the

Community Regulatory Agency with respect to the grant or

denial, suspension or revocation of any license, the

imposition of any penalty, the investigation of any complaint,

or any other action within the jurisdiction of the Community

Regulatory Agency. The Director shall hire, pursuant to the

authorized budget for the Community Regulatory Agency, and

supervise and oversee inspectors and such other staff,

18
consultants and counsel as the Community Regulatory Agency may

from time to time employ. The Director shall have the power,

in the name of the Community Regulatory Agency, to conduct any

hearing, investigation or inquiry, compel the production of

any information or documents, and otherwise exercise the

investigatory powers of the Community Regulatory Agency, which

the Community Regulatory Agency may exercise under this

Ordinance and any other applicable law. The Director shall

further have the power, in the name of the Community

Regulatory Agency, to issue, deny, condition, suspend or

revoke any gaming employee license, gaming services license,

gaming facility license, or gaming operator license, and to

take any other action on behalf of and in the name of the

Community Regulatory Agency, unless such power is reserved to

the Board by this Ordinance or regulations adopted hereto.

The Director shall be the agent of the Community for the

service by the National Indian Gaming Commission of process,

or any official determination, order or notice pursuant to the

Act or to 25 C.F.R. § 522.2(g). All actions of the Director

may be reviewed by the Board, acting on its own initiative or

at the request of the Director, and subject to such review any

action of the Director may be upheld, vacated or revised by

the Board.

(c) Restriction on Activities Neither the Board members,

the Director nor the staff of the Community Regulatory Agency

shall participate as a player in any gaming activity conducted

by the Community, or have any personal financial interest in

any gaming activity conducted by the Community, or engage in

any business or have any personal financial activity in any

business which is licensed or regulated by the Community

Regulatory Agency pursuant to this Ordinance, or be employed

by the Enterprise.

(d) Powers and Duties of the Community Regulatory Agency

The Community Regulatory Agency shall have the following

powers and duties:

(i) The Community Regulatory Agency shall have primary

responsibility for oversight of Community gaming

operations to assure the integrity of such operations and

shall, for that purpose employ as staff of the Community

Regulatory Agency inspectors who shall be present in all

gaming facilities during all hours of operation and who

shall be under the sole supervision of and report to the

Community Regulatory Agency and not to any management

employees of the Community gaming operations. Inspectors

appointed by the Community Regulatory Agency and the

Board members, Director and staff of the Community

Regulatory Agency, shall be licensed by the Regulator

Licenser in accordance with Section 13 of this Ordinance.

19
(ii) Community Regulatory Agency inspectors shall have

unrestricted and immediate access to any and all areas of

the gaming facilities at all times for the purpose of

ensuring compliance with this Ordinance and other

applicable laws, and personnel employed by the Enterprise

shall for such purposes provide such inspectors access to

locked and secure areas of the gaming facilities in

accordance with this Ordinance and other applicable laws.

An inspector or inspectors shall be present in the Gaming

Facilities during all hours of gaming operation. Such

inspectors shall report to the Community Regulatory

Agency regarding any failure by the Enterprise, any

employee or agent of the Enterprise, or any person or

entity to comply with any of the provisions of this

Ordinance and other applicable laws. Inspectors assigned

by the Community Regulatory Agency shall also receive

consumer complaints within the gaming facilities and

shall assist in seeking voluntary resolution of such

complaints.

(iii) The Community Regulatory Agency shall have the

responsibility and authority to investigate any alleged

or reported violations of this Ordinance, and all other

applicable laws. The Community Regulatory Agency shall

on its own initiative investigate any aspect of the

operations of the Enterprise in order to protect the

public interest in the integrity of such gaming

activities and to prevent improper or unlawful conduct in

the course of such gaming activities, and shall

investigate any report of a failure of the Enterprise or

any other person or entity to comply with the provisions

of this Ordinance and all other applicable laws. The

Community Regulatory Agency may receive any complaint

from any person, including the gaming public or any

gaming employee, who is or who claims to be adversely

affected by any act or omission of a gaming operation or

any employee thereof and which is asserted to violate

this Ordinance, the Act or other applicable law. The

Community Regulatory Agency may, in its sole discretion,

conduct a hearing and receive evidence, pursuant to such

procedures as it may adopt, if it deems an evidentiary

proceeding useful in the resolution of any such complaint

or alleged violation or breach. The Community Regulatory

Agency may compel any person employed by or doing

business with the Enterprise to appear before it and to

provide such information, documents or other materials as

may be in their possession to assist in any such

investigation. The Community Regulatory Agency shall

make a written record of any unusual occurrences,

violations or suspected violations, without regard to

materiality. In the event of a determination by the

Community Regulatory Agency of a violation of this

20
Ordinance or other applicable laws, the Community

Regulatory Agency shall require the Enterprise or the

holder of a license to take any corrective action deemed

necessary by the Community Regulatory Agency upon such

terms and conditions as the Community Regulatory Agency

may determine necessary and proper pursuant to this

Ordinance. Appropriate disciplinary action may include,

but not be limited to, suspension or revocation of a

license, and confiscation or shutting down any gaming

device or other equipment or gaming supplies which fail

to conform with required standards. The Director shall

report regularly to the Community Council on material

violations of the provisions of this Ordinance and

actions taken by the Community Regulatory Agency in

response to such violations.

(iv) The Community Regulatory Agency shall prepare a

plan for the protection of public safety and the physical

security of patrons in each of the gaming facilities,

following consultation and agreement with the Enterprise,

the Community law enforcement agency and the appropriate

state and federal law enforcement agencies, setting forth

the respective responsibilities of the Community

Regulatory Agency, the security department of the

Enterprise, the Community law enforcement agency and the

appropriate state and federal law enforcement agencies.

(v) The Community Regulatory Agency, through action of

the Board, shall establish and revise Standards of

Operation and Management for Class II and Class III

gaming activities, which Standards of Operation and

Management shall be approved by the Community Council.

The initial Standard of Operation and Management f or

Security and Surveillance Requirements is hereby adopted

and set forth in Appendix B attached hereto. The

Community Regulatory Agency shall require that the

Enterprise establish, pursuant to the Security and

Surveillance Requirements set forth in Appendix B, a

closed-circuit television surveillance system capable of

recording and preserving on videotape all areas of the

gaming facilities required by the Community Regulatory

Agency to be under surveillance. The Community

Regulatory Agency shall review and approve floor plans

and surveillance systems for each gaming facility.

(vi) The Community Regulatory Agency shall issue or deny

and, when necessary and appropriate, condition, suspend

or revoke, gaming employee licenses, gaming services

licenses, gaming facility licenses, and gaming operator

licenses, in accordance with sections 9, 10, 11, and 12,

respectively, of this Ordinance.

21
(vii) The Community Regulatory Agency shall establish a

list of persons barred from the gaming facilities because

their criminal history or association with career

offenders or career offender organizations poses a threat

to the integrity of the gaming activities of the

Community.

(viii) The Community Regulatory Agency, through action

of the Board, may impose penalties for violations of this

Ordinance, the Standards of Operation and Management, and

other applicable laws, in accordance with Section 15 of

this Ordinance.

(ix) The Community Regulatory Agency may recommend to

the Community Council that the Community bring any civil

action or criminal complaint in the courts of the

Community, the State or the United States to enforce the

provisions of this Ordinance or to enjoin or otherwise

prevent any violation of this Ordinance, the Act or other

applicable laws, occurring on the Reservation.

(x) The Community Regulatory Agency, through action of

the Board, shall adopt an annual operating budget which

shall be subject to the approval of the Community

Council, and shall in accordance with said budget employ

such staff from time to time as it deems necessary to

fulfill its responsibilities under this Ordinance. All

employees of the Community Regulatory Agency, including

the Director and the Board members, shall be tribal

employees subject to the personnel policies of the

Community.

(xi) The Community Regulatory Agency may set fees to be

assessed against gaming employees and gaming services

providers to cover the costs incurred by the Community

Regulatory Agency in conducting background investigations

required for licensure of gaming employees and gaming

services providers.

(xiii) The Community Regulatory Agency may adopt

regulations to authorize the use of credit by gaming

customers.

(e) Emergency Powers of the Director The Director or any

other member of the Community Regulatory Agency acting in the

absence of the Director may, whenever he or she deems it

necessary to protect the public interest in the integrity of

tribal gaming operations, issue in the name of the Community

Regulatory Agency any order which the Community Regulatory

Agency has the power to issue, to the Enterprise or to any

employee or contractor of the Enterprise or to any other

person or entity within the jurisdiction of the Community, to

22
take any action or cease and desist from any action as may be

required to protect the public interest; provided, that any

such order shall be subject to review by the Board at its

earliest opportunity, whereupon it may be confirmed or vacated

by the Board.

(f) Procedures of the Community Requlatory Agency Board

(i) Regular meetings of the Board may be held upon such

notice, or without notice, and at such time and place as

shall from time to time be fixed by the Board. Unless

otherwise specified by the Board, no notice of such

regular meetings shall be necessary.

(ii) Special meetings of the Board may be called by the

Chairman or the Director. The person or persons calling

the special meeting shall fix the time and place thereof.

Neither the business to be transacted at, nor the purpose

of, any regular or special meeting of the Board need to

be specified in the notice of the meeting.

(iii) At any meeting of the Board, a majority of the

members then in office shall constitute a quorum for the

transaction of business. The vote of a majority of the

members present at a meeting at which a quorum is present

shall be the act of the Board. The Chairman shall

preside at all meetings of the Board unless the Chairman

designates another member to preside in his absence.

(iv) Any action required or permitted to be taken at a

meeting of the Board may be taken without a meeting if

all 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 the minutes of the Board,

and shall have the same effect as a unanimous vote or

resolution of the Board at a legal meeting thereof. Any

such action taken by unanimous written consents may, but

need not be, set forth in such consents in the form of

resolutions or votes.

(v) Members of the Board may participate in a meeting of

the Board by means of conference telephone or similar

communications equipment by means of which all persons

participating in the meeting can hear each other, and

participation in a meeting in such matter by any member

who does not object at the beginning of such meeting to

the holding thereof in such manner shall constitute

presence in person at such meeting.

(vi) The Board shall adopt such additional procedures,

rules and regulations as it deems necessary or convenient

23
to govern the affairs of the Community Regulatory Agency

and which are consistent with this Ordinance.

(vii) The Board shall conduct all revocation hearings

mandated by this Ordinance. All revocation hearings

shall afford the person affected with at least fifteen

days written notice of the proposed action and the

opportunity to appear and be heard before the Board, to

be represented by counsel at such hearing, and to offer

sworn oral, written and documentary evidence relevant to

the breach or action charged. All decisions of the Board

at revocation hearings shall be in writing and shall be

made available to the person affected. Notwithstanding

the foregoing, if the Board deems it necessary to protect

the public interest in the integrity of the gaming

activities, the Board may take such action with immediate

effect as it deems required, and shall thereupon provide

notice and an opportunity to be heard to the affected

person as soon as is reasonably practicable following

such action. Any person who is denied an initial gaming

employee license or gaming services license or who is

barred from the gaming facilities by action of the Board

may request a revocation hearing before the Board,

provided such person submits such request in writing

submitted within thirty days following receipt of notice

of the action of the Community Regulatory Agency.

Section 15. Penalties

Any person who violates any provision of this Ordinance shall be

subject to civil penalties including exclusion from employment by

the Enterprise, exclusion from attendance at any gaming facility,

exclusion from the Reservation if a non-member of the Community,

or, with respect to any person subject to the jurisdiction of the

Community to impose such fines, a fine of not more than $5,000.00

for each such violation. The Community Regulatory Agency shall

have the jurisdiction to impose any such penalties on any person

within the jurisdiction of the Community.

Section 16. Repeal and Severability

To the extent that they are inconsistent with this ordinance, all

prior gaming ordinances of the Community are hereby repealed. If

any provision of this Ordinance or its application to any person or

circumstance is held invalid, the remainder of this Ordinance or

the application of the provision to other persons or circumstances

shall remain valid and shall not be thereby affected.

24
Section 17. Compliance with the Act

This Ordinance shall be construed in a manner which conforms to the

Act in all respects, and if inconsistent with the Act in any

manner, the provisions of the Act shall govern.

Section 18. Prohibited Acts

It shall be a violation of this Ordinance for any person to:

(a) Conduct or participate in any Class II or Class III

gaming on the Reservation other than in a licensed gaming

facility.

(b) Receive, distribute, apply or divert any property, funds,

proceeds or other assets of a gaming operation to the benefit

of any individual or other person except as authorized by this

ordinance, the Act or other application law.

(c) Tamper with any equipment used in the conduct of gaming

with the intent to cause any person to win or lose any wager

other than in accordance with the publicly announced rules of

the gaming operation.

(d) Do any other act in connection with the conduct of gaming

with the intent to affect the outcome of any game or any wager

other than in accordance with the publicly announced rules of

the gaming operation.

(e) Alter or misrepresent the outcome or other event on which

wagers have been made after the outcome is determined but

before it is revealed to the players.

(f) Place, increase or decrease a wager or determine the

course of play after acquiring knowledge, not available to all

players, of the outcome of the game or any event that affects

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

aid anyone in acquiring such knowledge for the purpose of

placing, increasing or decreasing a wager or determining the

course of play contingent upon that event or outcome.

(g) Claim, collect or take, or attempt to claim, collect or

take, money or anything of value in or from any authorized

game, with intent to defraud, without having made a wager

thereon, or to claim, collect or take an amount greater than

the amount won.

(h) Manipulate, with intent to cheat, any component of any

authorized game or the game itself in a manner contrary to the

designed and normal operational purpose for the component, or

the game itself.

25
(i) Use tokens or chips for wagers other than those approved

by the Community Regulatory Agency, or use counterfeit or

fraudulent coin, currency or other money or funds of any kind.

(j) Possess or entice another person to possess any device to

assist in projecting the outcome of any game, including but

not limited to devices designed to count cards, analyze

probabilities, or suggest strategies for playing or betting,

or use or entice another person to use any device or means to

cheat or defraud.

p

~

(k) Possess1or discharge any ~

tty.~ R~gul at QryAgenC~.

(1) Act or conspire with another to give, or offer to give,

any money, thing of value, gift or other consideration to any

elected official or employee of the Community, including

employees and officials of the Enterprise and the Community

Regulatory Agency, for the purpose of influencing any action

or decision relating to gaming or Community governmental

activities related thereto.

26
CERTIFICATION

Pursuant to authority contained in Article VII, Section (c) of the

Constitution of the Salt River Pima-Maricopa Indian Community

ratified by the Tribe, February 28, 1990, and approved by the

Secretary of the Interior, March 19, 1990, the foregoing ordinance

was adopted this 26th day of June, 1996, in a duly called meeting

held by the Community Council in Salt River, Arizona, at which a

quorum of 9 members were present by a vote of 8 for; 0

opposed; 1 ~bsent.(out of room).

SALT RIVER PIMA-MARICOPA

INDIAN COMMUNITY COUNCIL

Ivan Makil, >~&j Pr sident

27
APPENDIX A

(A) Application Forms for a License as a Gaming Employee

1. The following notice (Privacy Act Notice) shall be

placed on the application form for all Gaming Employees 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 the individuals to be employed in a

gaming operation. The information will be used by the

Salt River Pima-Maricopa Indian Community, the State of

Arizona, and by National Indian Gaming Community

Regulatory Agency members and staff who have need for the

information in the performance of their official duties.

The information may be disclosed to appropriate Federal,

Tribal, State, local or foreign law enforcement and

regulatory agencies when relevant to civil, criminal or

regulatory investigations or prosecutions or when

pursuant to a requirement by the Salt River Pima-Maricopa

Indian Community, the State of Arizona or the National

Indian Gaming Community Regulatory Agency 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 the Salt River

Pima-Maricopa Indian Community being unable to hire you

as a gaming employee.

The disclosure of your Social Security Number (SSN) is

voluntary. However, failure to supply a SSN may result

in errors in processing your application.

2. Existing Gaming Employees shall be notified in writing

that they shall either:

(a) Complete a new application form that contains Privacy

Act Notice; or

(b) Sign a statement that contains the Privacy Act Notice

and consent to the routine uses described in that notice.

3. The following notice (False Statement Notice) shall be

placed on the application form for Gaming Employees before

that form is filled out by an applicant.

1
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.)

4. The Community shall notify in writing existing Gaming

Employees that they shall either:

(a) Complete a new application form that contains a

False Statement Notice; or

(b) Sign a statement that contains the False Statement

Notice.

(B) Information Required as Part of Background Investigations

1. The Community shall require each prospective Gaming

Employee to provide, at a minimum, 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);

(b) Currently and for the previous 5 years; business and

employment positions held, ownership interests in those

businesses, business and residence addresses, and drivers

license numbers;

(c) The names and current addresses of at least three

personal references, including one personal reference who

was acquainted with the applicant during each period of

residence listed under paragraph (1) (b) of this section;

(d) Current business and residence telephone numbers;

(e) A description of any existing and previous business

relationships with Indian Tribes, including ownership

interests in those businesses;

(f) A description of any existing and previous business

relationships with the gaming industry generally,

including ownership interests in those businesses;

(g) 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, and whether or not

such license or permit was granted;

2
(h) 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;

(1) 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

paragraph (1) (h) or (1) (i) of this section, 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 Community Regulatory

Agency deems relevant; and

(n) Fingerprints consistent with procedures adopted by

the Community Regulatory Agency according to 25 C.F.R. §

522.2(h).

3
APPENDIX B

Same as Security and Surveillance Standards set forth in the

existing compacts]
STATE OF ARIZONA GAMING C0MPAcr

SECURITY AND SURVEILLANCE REQUIREMENTS

(A) Cosed Circuit TŁlØvislon. The Gain ~ng Facility operator shall Install,

matittain and operate a dosed circuit television system according to the

spedffratlons set forth in this Appendix. The Tribal Ganthig Agency and the

State Gaming Agency sKall have access to the system. or Its signal at all Hn~i5~

(B) Required Equipment. The dosed circuit television system shall indude, but

shall not be limited to, the following equipment:

(1) Cameias. Paii, tilt, zoom, commonly referred to as P.T.Z.

cameras, that are light sensitive and capable of be4ng placed behind a dome or oneway mirror which conceals the P.T2. cameras from view. Each camera sl~all have

the capability to distinguish a dear1 unobstructed view of the areas where Ga~1ng

Devices ~re âperated as part of a n~twork..

(2) VIdeo printers. Video printers shall be capable qf adjustment

and shall possess the capability to generate Instantaneously upon command a clear,

still copy of the image depicted on a videotape recording with a minimum of 128

shades of gray.

(3) Video saeens. Video monitor saeena must be at least 12 Inches

measured dhgonally and all controls must be front mounted. Solfda state circuitry

is required.

(4) Date and time generators. Date and time generators shall be

capable of recording both time and date of the recorded events without obstructing

the recorded view. Recordings must be in i~~{1D~vy time (I.e., 24-hour format).

(5) Universal power supply. The system and Its equipment must be

directly and securely wired itt a manner designed. to prevent tampering with the

syst~

(6) Camera domes. Camera domes shall be of sufficient qu~l1ty and

size to accommodate PiT.Z. cameras and shall be.. ca4table of p~nvi~ng clear,

unobstructed vie

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(7) Video switchers. Video switchers shall be capable of both

manual and somatic sequeH31 iwiti4ttng for the entire survpllTanct syst~w

(8) VIdeotape recorders. Videotape recorders 1)~l1 be capable og

producing high qu.ality, first generation pictures with a horizontal resolution of a

minimum of 300 lines nonconsumer, professional grade, and recording standard L~

inch VHS tape with h1gJ~-speed s~2nning and flickerless playback capability in real

time. In Æddition~ recorders shall have time and date insertion capabilities for

taping that w1~kh Is being viewed by any camera in the system.. A minimum of one

video recorder fo– every eight video cameras is required.

LO Required surveillance. The Gaming Facility shall conduct and record

surveillatwie which allows dear, unobstructed views in the following areas of

the. Gaming Facility

(1) Overall views of the Gaming Device area where Gaming Devices

operated as part of a network are in operation1 Each Gaming Device operated as part

of a network shall have the capability of being viewed by no less than two cameras

and each camera shall have the resolution capability to determine the

denomination of bills, coins and/or tokens being used In such Gaming Devices;

(2) VIews of patrons, spectators and lnFpcctors, with suffident

clarity to permit Identification thereof in the area In which Gaming Devices

operated .as~paxt of a network, are In operatlbzu.

(D) Eqtiipmentln Gainng Facility Surveillance Offices. Gaming Faeilltles

shall be equipped with a m1n~mum of two 12.Inch monochrome video

~onitóri with control capability of any video source In the surveillance

system4 The following shall be additional mandatory equipment for the

surveillance office:

(1) VIdeo printer;

(2) Video recorders;

(3) AudIo pickup of soft count room;

(4) Time and date generators, if not in the master

surveillance system;

(5) Total dverrlde surveillance sybtem capabilities.

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(6) Ml do circuit cameras shall be equ~ ~jed with lenses of

ruffident quAlity to allow clarity of the value of gpining tokens and cu~ency or

coins. These cameras shall be capable otblack and whltt recording and viewing.

(~ Llgl~thig Adequate lighting skill be present In all areas of ganhlng

device areL and count rooms to enable dear video reproduction.

(F) Surveillance room There *li*ll be p~vided In each Gai~flng.Faduity a

rQom~or rooms specifically utilized to monitor and record activities as

required underthiA Appendix. These rooms shall have a trained s~-v~illanr~e..

personpresent during Gam~rig Facility operating hours. The surveihince

roam shall t~e equipped with an audio pickup system. In addition to the

mandatory equipment requirements let forth 1n Paragraph (D) of this

Appendix, the following are requirements for the operation of equipment in

the surveillance rooms:

(1) Surveillance equipment All equipment that may be utilIzed to

monitor or re~cord views obtained by a gaming device area surveillance system must

remaift located in the room used exdusively for surveilhnce security purpo$es,

except for equipment which Is being repaired or replaced. The entrance to the

surveillance room si~all be locked or secured at all times except during Ingress and

egress by authorized personneL

(2) Override capability. At the option of the Tribal Gaming Agency,

any surveihTat~ce equIpn~ent utilized by the Tribal Gaming Agency must have total

override capability over any othersatellitØ monlto~ing eq~1pment In other Gaming

Facility ~

(3) Agency access. Authorized Employees of the Tribal Gaming

Agency and the State Gaming Agency shall at all times be provided ~~ninedIate

access to the surveillance room and other surveillance areas. Also, all authorized

Tribal Gaming Agency and State Gaming Agency employees shall have access to all

records and areas of such rooms.

(4) Surveillance logs. Entry In a permanent surveillance log shall

be required when requested by the Tribal Gaming Agency or theState Gaming

Agency whenever surveillance is conducted or anyone, or whenever any activity

that appears unusual, Inegulir, iUegai or in violation of applicable rules Is observed.

Also, all telephone call to the siixveillance room shall be logged.

(5) Floorplan. A copy of the configuration of the gaming device

area floor shall be posted In tht surveUlanic~ ~at +-G-~g FrçilRy SlId

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updated inlmedlately upon y dt~ngt Also indudedskaU the location of any

rlw~ge and~the location of surv~ilTance cameras and Ga~ingDevku by.aaigned

numbers. Copies of such floorpla~ shall also be rude available to authó*1~d

personnel in the Canting Facility surveillance room.

(6) Storage and retrievaL Surv~ilTan~e personnel will be required to

label and file all videotape recordings. The date, time, and signature of the person

tlTi~g the recording 5ksll be tecorded. All videotape recordings .be rttained

for at least seven (7) days after recording unless a longer perIod is requl–ed by the

Tribal Ganitn~ Agency, the State Ga~ningAg~ncy,.or a couitorder. Original &ndhi

tapes and original video tapes 5hiU be released tO the Tribal Gaming Agency or State

Gaming Agency upon dprrtand..

(7). MalfunctIons. Each malfunction of. surveillance equipment

must be repaired within 24 hours of the malfunction. 14 after 24 itouz,, activity In,

the affected area cannot be monitored, the gaming device shall be dosed to plq

mif4l such coverage can be provided. . A record of all malfunctions shAll be kept and

reported to the Tribal Gaming Agency on a daily basis.

(8) Security. Entry to the surveillance room Is limited to persona

approved by the Tribal Gaming Agency or State Gaming Agency. A log of personnel

entering and exiting the surveillance room shall be ~~~ainta1ned and submitted to

the Tribal Gaining Agency every 30 days.

(C) Playback station. An area is required to be provided within the g~rm(ng

facility offices that will Indude, but Is itot limited to, a video monitor anda

video recorder with the capability of producing first generation videotape

copies.

(ID Additional requirements.

(1) Audio and videotape monitoring. Audio and videotape

monitoring will be continuous in the surveillance room. When someone is being

detained In the security detention areas, audio and videotapC recording 5ha11 be

continuous These recordings shall be retained for thIrty (30) days after the recorded

event, unless directed Otherwise by the Tribal Gaining Agency, State Gaming Agency

or a court order.

(2) Agency access. The Tribal Gaming Agency and the State Gaming

Agency and their respective authorized employees shall at all times be provided

inmtediate access to the sujveillance room and all areas, public and non-public, of

the Gaming Facility in accordance with Section 7(a) of this Compact.

(3) Written plans and alterations. TheGai*(4 Fac~fty-operator

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5h211 submit L the Tribal Gamf~g Agency ani, die State Gamfrtg Agency for

approval a wriIten surveillanCe system plan no latex h~i~ fIve (5) days prior to the

start ofgmf~tg operations. WIth respect to Gaming Fadilfies already In operation at

the time this Compact Is approved1 the Ga~nh~g Facility operator phall submit such

written surveillance plan within thIrty (30) days after the Cmnpact Is appruved.

(4) SurveIllance system plan. The. ,urvelll2flce system plan must

Include a g1mf1~g device area floor plan that shows the placement of all sürveflhi~ce

equipment In relation to the locations required to be covered and a detailed

description of the suiveillance system and Its equ1pm~nt~

Cl) CThanges Lu gaming locations. The Ga~ng Facility operator may

ltlnge the location of Gaming Devices within the facility. The surve11tce

system mu~ also be adjusted, If necessary to provide the coverage required by

this Appendix The Tribal Ganilng Agency must approve the change In the

surveillance system coverage before the relocated.Gamlng Devices may be

placed In operation. The Gantng Facility operator must submit any changŁtó

the surveillance system and related security and surveillance equipment

within seven (7) days In advance of the proposed changes to the Tribal

Ga i~g Agency and the State Gaming Agency.

(J) Surveillance during nongamLitg l~ours. Security surveillance will be

required during norig2~n~ng hours as follow~.

(1) Cleanup and removal time. At any time cleanup operadcn~ or

money rtmoyalIs being conducted In. the Gaming Device operating area, the

security surveillance room shall be staffed with a ~n~ithnum~ of one trained

surveilhince person.

(2) Locked down mode, An~ time the Gaining Facility is closed and

in a locked down mode, sufficient surveillance coverage shall be conducted to

monitor and record the facility area in general, so that security Integrity Is

maintained. During this period it Is not required that a trained security surveUTa~ce

person be present.

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