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 with respect to the
grant or denial, suspension or revocation of any license, the imposition of any penalty, or the investigation of
any complaint. The director shall hire, pursuant to the authorized budget for the community regulatory agency,
and supervise and oversee inspectors and such other staff, 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 chapter 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 section 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).

(d) 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 section, or be employed by the enterprise.

(e) Powers and duties of the community regulatory agency. The community regulatory agency shall
have the following powers and duties:

(1) 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. the board members, director and staff of the community regulatory agency, shall be
licensed by the regulator licenser in accordance with section 15.5-13 of this chapter.

(2) Community regulatory agency staff 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 section
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 section 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 section and
other applicable laws. Inspectors assigned by the community regulatory agency shall also receive


(6)

i)

following procedure. If, uponcompletion of a thirty-day period after receipt by the chairman
ofthe National Indian Gaming Commission of the investigativereport required pursuant to
subsection (4) of this section,the commission notifies the community regulatory agency thatit has
no objection to the issuance of a gaming employeelicense, or fails to provide the community
regulatory agencywith a request for further information or a statementitemizing objections to the
issuance of a gaming employeelicense to a key employee or primary management official,
thecommunity regulatory agency shall grant a gaming employee license to such individual. If,
however, the chairman requests further information during the thirty-day period, the thirty-day
period shall be suspended until the chairman receives the information requested, if, within the
thirty-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 applicant's
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 issuedby the community
regulatory agency which includes the holder'sphotograph, first and last name, and an
identification numberunique to the individual license which shall include a tribalseal or
signature, and an expiration date.

Suspension and revocation. The issuance of agaming employee license by the community
regulatory agencyshall not create or imply a right of employment or continuedemployment. The
enterprise shall not employ, and if already employed, shall terminate any person who has had his
or her gaming license denied or revoked by the community regulatory agency. If, after the
issuance of a gaming employee license, the community regulatory agencyreceives from the
National Indian Gaming Commission reliableinformation 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 (3) 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 licensee's 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 original license, or any renewal thereof,
comes to the attention 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 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.

Duration and renewal. Any gaming employee license shall be effective for one year from the


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

03)

(2)

G3)

(4)

(5)

(6)

12)

(8)

(9)

(10)

(11)

Conduct or participate in any Class II or Class II[gaming on the reservation other than in a
licensed gamingfacility.

Receive, distribute, apply or divert any property, funds,proceeds or other assets of a gaming
operation to the benefitof any individual or other person, except as authorized by thisordinance,
the Act, or other application law.

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.

Do any other act in connection with the conduct of gamingwith the intent to affect the outcome
of any game or any wagerother than in accordance with the publicly announced rules ofthe
gaming operation.

Alter or misrepresent the outcome or other event on whichwagers have been made after the
outcome is determined but before it is revealed to the players.

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.

Claim, collect or take, or attempt to claim, collect ortake, 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.

Manipulate, with intent to cheat, any component of anyauthorized game or the game itself in a
manner contrary to thedesigned and normal operational purpose for the component orthe game
itself.

Use tokens or chips for wagers other than those approvedby the community regulatory agency,
or use counterfeit orfraudulent coin, currency or other money or funds of any kind.

Possess or entice another person to possess any device toassist in projecting the outcome of any
game, including, butnot 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.

Possess a weapon or discharge a firearm in any gaming facility,except in accordance with the
community regulatory agency.


Chapter 15.5
GAMING*

“J Editors Note: Ord. No. SRO-212-96, adopted Nov. 8, 1995, did not specifically amend the Code; hence, codification of §§

1--18 of said ordinance as §§ 15.5-1--15.5-18 was at the discretion of the editor.
Cross References: Gambling as civil offense, § 5.5-6; gambling under criminal code, § 6-6.

See. 15.5-1. Purpose.

It is the purpose of this chapter to govern and regulate theoperation and conduct of all gaming activities
on lands within thejurisdiction of the Salt River Pima-Maricopa Indian Community inorder to protect the public
interest in the integrity of suchgaming activities, to prevent improper or unlawful conduct in thecourse of such
gaming activities, and to promote the development ofa balanced tribal economy by dedicating all of the net
revenuesfrom such gaming activities to the public purposes of the tribe,including the support of community
government programs whichpromote economic development and the health, education and welfareof the
community and its members.

(Ord. No. SRO-212-96, § 1, 11-8-95; Ord. No. SRO-219-96, § 1, 6-26-96)
Sec. 15.5-2. Definitions.

For purposes of this chapter:

Act means the Indian Gaming Regulatory Act, Pub. L. 100-497, 25 U.S.C. Section 2701 et seq.

Applicant means any person who has applied for alicense under the provisions of this chapter.

Application means a request for the issuance of alicense under the provisions of this chapter.

Beneficiary means an enrolled member for whom a trust is created under the act.

Chapter means this Salt River Pima-Maricopa IndianCommunity Gaming Ordinance and any
regulations and standardsof operation and management promulgated by the communityregulatory agency

hereunder.

Class I gaming means Class II gaming as defined inaccordance with the Act, 25 U.S.C. Section 2703
(7) (A), and theregulations promulgated thereunder by the commission.

Class III gaming means Class III gaming as defined inaccordance with the Act, 25 U.S.C. Section
2703(8).

Code means the Salt River Pima-Maricopa Indian Community Code of Ordinances.

Commission means the National Indian Gaming Commission.


G)

(4)

(5)

consumer complaints within the gaming facilities and shall assist in seeking voluntary resolution
of such complaints.

The community regulatory agency shall have the responsibility and authority to investigate any
alleged or reported violations of this chapter, 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 chapter 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 chapter, 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 chapter 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 chapter.
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 chapter and actions taken by
the community regulatory agency in response to such violations.

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.

The community regulatory agency 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 for Security and Surveillance Requirements is hereby adopted and set forth in
Appendix B attached to the ordinance from which this section derives. 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


(3) To any person for restitution for which a beneficiary is obligated by order of the community

court for damages caused by criminal acts or juvenile offenses of which the beneficiary has been
convicted or adjudicated.

(4) To any person or entity whose claim against the community is not disputed by the community or
which has been established by adjudication against the community in a federal, state or tribal
court of competent jurisdiction during any period that the community is unable to pay its debts as
they come due, or is subject to a pending insolvency or bankruptcy proceeding.

(f A provision contained in a trust instrument created for the benefit of a minor beneficiary or
incompetent beneficiary which states that the laws of the community shall exclusively govern the validity,
construction, and administration of the trust created under such trust instrument, and that such trust is subject to
the exclusive jurisdiction of the community court, shall be valid, effective, and conclusive for the trust if (i) the
community is serving as a trustee or a co-trustee of such trust, (ii) the trust assets of such trust were deposited
by the community in such trust pursuant to the act, and (iii) part or all of the administration occurs in the
community, including, but not limited to, physically maintaining trust records within the community.

(Ord. No. SRO-284-2002, § 2, 11-21-2001; Ord. No. SRO-295-03, 4-2-2003)

Sec. 15.5-21. Reserved.

Sec. 15.5-22. Disclaimer.

If by any means a per capita IGRA payment under the act is payable to a member, that member may
disclaim that interest in whole or in part by delivering or filing a written disclaimer with the community under
this section.

(a) The disclaimer must be filed not later than the record date for the payment being disclaimed or
for the first payment being disclaimed if more than one (1) payment is being disclaimed. "Record
date" is defined in the Revenue Allocation Plan For Net Gaming Proceeds adopted by the Salt
River Pima-Maricopa Indian Community.

(b) The disclaimer shall describe the property or interest disclaimed, declare the disclaimer and its
extent, and be signed by the disclaimant.

(c) The right to disclaim property or interest in property under this section shall be barred by an
acceptance of the property or interest in the property by the disclaimant prior to execution and
filing of the disclaimer.

(d) Property disclaimed pursuant to this section shall pass to and vest in the remaining enrolled
members eligible to receive (or have a trust for their benefit receive) their pro rata share of that
IGRA payment.

(e) The disclaimer shall be binding on the disclaimant and on all persons claiming through or under
the disclaimant.

(Ord. No. SRO-288-2002, 5-1-2002; Ord. No. SRO-298-03, 9-3-2003)


(1)

2)

(3)

(4)

(5)

(6)

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.

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.

At any meeting of the board, a majority of the members then in office shall constitute a quorum
for the transaction of business agendas and minutes which record the formal acts of the Board are
required for both regular and special meetings. 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 is absent, in which case the senior member of
the board shall serve as chairman.

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.

The board shall adopt such additional procedures and rules as it deems necessary or convenient
to govern its activities and which are consistent with this chapter.

The board shall conduct all appeal hearings mandated by this chapter. All appeal hearings shall
afford the person affected with at least fifteen (15) 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 appeal 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 agency may request
an appeal hearing before the board, provided such person submits such request in writing
submitted within thirty (30) days following receipt of notice of the action of the community
regulatory agency.

(Ord. No. SRO-212-96, § 14, 11-8-95; SRO-219-96, § 14, 6-26-96; Ord. No. SRO-243-99, 1-20-99)

Sec. 15.5-15. Compliance with Act.

This chapter shall be construed in a manner which conforms to theAct in all respects, and, if inconsistent
with the Act in anymanner, the provisions of the Act shall govern.
(Ord. No. SRO-212-96, § 17, 11-8-95; SRO-219-96, § 17, 6-26-96)

Sec. 15.5-16. Prohibited acts.


(yy

(2)

(3)

(4)

Application forms. The regulator licenser shall ensurethat 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.

Background investigations. The regulator licenser shallensure 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 (30) 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 (3) below. In conductingsuch background investigation, the
regulator licenser or itsagent shall promise to keep confidential the identity of eachperson
interviewed in the course of the investigation. Allactions 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 chapter, may be reviewed by the board at the request
of any person or at the board's own initiative upon the board's written finding that the review will
deal with a matter which significantly affects the operation of the community regulatory agency
or any entity subject to its regulation.

Eligibility determination. The regulator licenser shall,as soon as is practicable after completion
of the backgroundinvestigation, determine whether an applicant is eligible fora gaming regulator
license. The regulator licenser shall determine that an applicant is not eligible for a gaming
regulator license if such applicant:

a. 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, orillegal
practices and methods and activities in the conduct of the gaming activities permitted
pursuant to this chapter;

b. 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 untrue or misleading in connection with such
application; or

0 Has been convicted of any felony or gaming offense if applicable under the eligibility
standards adopted by the regulatory agency.

Granting a license. Upon completion of the eligibility determination required pursuant to

subsection (3) 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


Property includes contributions made by the community to a trust and all real property, personal
property, and interests in real or personal property held in a trust from time to time.

Reservation means all lands within the limits of theSalt 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.

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.

Settlor means the community transferring property to a trust.

Spouse and former spouse means only persons to whom the beneficiary was married at, or before, the
time the transfer is made.

State means the State of Arizona, its authorized officials, agents and representatives.

State gaming agency means such agency of the State ofArizona which the governor may from time to
time designate bywritten notice to the community as the single state agency which shall act on behalf of the
state under the compact.

Transfer means a disposition by or from a trustee of a trust, with or without consideration.
Trust means a trust created by the community for an enrolled member under the act.

Trust instrument means an instrument appointing a trustee for property held in a trust created pursuant to
the act.
(Ord. No. SRO-212-96, § 2, 11-8-95; Ord. No. SRO-219-96, § 2, 6-26-96; Ord. No. SRO-239-98, §§ A--C;
Ord. No. SRO-284-2002, § 1, 12-21-2001)

See. 15.5-3. Adoption of compact.

At such time as the compact becomes legally effective pursuant tothe act, the compact shall be deemed
to be incorporated herein andenacted as an integral part of this chapter as if set forth infull herein, and in the
event of any conflict between a provision of this chapter and a provision of the compact, the provision setforth
in the compact shall be deemed to be controlling, except inthe event that the provision set forth in this chapter
isstricter or more stringent. The adoption of the compact andincorporation herein shall under no circumstances
be deemed toaffect the operation by the community of any Class II gaming,whether conducted within or
without the gaming facilities, or toconfer upon the state any jurisdiction over such Class II gamingconducted by
the community on the reservation.

(Ord. No. SRO-212-96, § 3, 11-8-95; Ord. No. SRO-219-96, § 3, 6-26-96)

Sec. 15.5-4. Authorization.


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.

Gaming employee means any key employee, any primary management official or any other person
employed by the enterprise who performs gaming related activities, including those persons whose employment
duties require or authorize access to restricted gaming related areas of the gaming facility.

Gaming employee license means a license issued by thecommunity regulatory agency pursuant to
section 15.5-9 of thischapter permitting a person to be employed as a gamingemployee.

Gaming equipment means any machine, equipment or devicewhich is specially designed or
manufactured for use in theoperation of any Class II or Class III gaming activity, including any gaming device.

Gaming facility or gaming facilities means any roomor rooms in which Class II gaming or Class III
gaming isconducted on the reservation.

Gaming facility license means a license issued by thecommunity regulatory agency pursuant to section
15.5-11 of thischapter allowing permitting gaming operations at a gamingfacility.

Gaming operation means any Class II or Class II gamingconducted by the enterprise pursuant to this
chapter.

Gaming operator license means a license issued by thecommunity regulatory agency pursuant to section
15.5-12 of thischapter, permitting the enterprise to conduct gaming operations at a gaming facility.

Gaming-related activities means any type of activity that falls within the definition of "gaming" and
includes administrative and financial activities for the revenue generated from gaming activities.

Gaming services means:

(1) The providing of any goods or services (except forlegal services) for the gaming facilities or the
gamingenterprise in an amount in excess of five thousand dollars ($5,000.00) in any single
month, including, but not limited to, equipment, transportation, food, linens, janitorial

supplies,maintenance, or security services;

(2) 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;

(3) 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;

(4) The provision of any services by a management contractor.

Gaming services license means a license issued by thecommunity regulatory agency pursuant to section
15.5-10 of thischapter permitting a person or entity to provide gaming services.


Community means the Salt River Pima-Maricopa IndianCommunity.

Community council means the Salt River Pima-Maricopalndian Community Council, the duly
constituted governing bodyof the Salt River Pima-Maricopa Indian Community, empowered bythe Salt River
Pima-Maricopa Indian Community Constitution toadopt this chapter.

Community court or court means the Salt River Pima-Maricopa Community Court.

Community law enforcement agency means the police forceof the Salt River Pima-Maricopa Indian
Community establishedand maintained by the community to carry out law enforcementon the reservation.

Community president means the president of the SaltRiver Pima-Maricopa Indian Community.

Community regulatory agency means the Salt River Pima-Maricopa Indian Community Gaming
Regulatory Agency establishedpursuant to this chapter.

Community trustee means the community while acting as a trustee of a trust.

Compact means such compact governing the conduct ofClass III gaming on the community's reservation
as may beentered into pursuant to the Indian Gaming Regulatory Actbetween the State of Arizona and the Salt
River Pima-Maricopalndian Community, and approved by the Secretary of theInterior, or such procedures
promulgated by the Secretary ofthe Interior pursuant to the Indian Gaming Regulatory Actgoverning the
conduct of Class III gaming on the community’sreservation.

Creditor means, with respect to a beneficiary, a person who has a claim.

Debt means liability on a claim.

Director means the executive director of the Salt RiverPima-Maricopa Indian Community Regulatory
Agency establishedpursuant to this chapter.

Enrolled member means an enrolled member of the community.
Enterprise means the Salt River Pima-Maricopa IndianCommunity Gaming Enterprise established by
the Salt RiverPima-Maricopa Indian Community Council to conduct all gamingoperations of the community on

the reservation.

Game means any game played with cards, dice, equipmentor any mechanical, electromechanical or
electronic device ormachine for coin, currency, property or other consideration orthing of value.

Gaming or gambling means to deal, operate, carry on,conduct, maintain or expose for play any game.
Gaming device means a microprocessor-controlledelectronic device which allows a player to play games

of 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


appeals, pursuant to procedures similar in form to the procedures used in a revocation hearing.

(5) 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.

(6) 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 tothe regulator licenser. Additional background
investigationsshall not be required of applicants for license renewal unless new information
concerning the applicant's continuing eligibility for a license is discovered by or made available
to the regulator licenser.

(Ord. No. SRO-212-96, § 13, 11-8-95; Ord. No. SRO-219-96, § 13, 6-26-96; Ord. No. SRO-239-98, § K)

Sec. 15.5-14. Community regulatory agency.

(a) Establishment of the community regulatory agency. The Salt River Pima-Maricopa Indian
Community Regulatory Agency is hereby established. The community regulatory agency shall be a regulatory
agency of the Salt River Pima-Maricopa Indian Community.

(b) The board shall consist of three members, a chairman and two other members, at least 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 appointment by the community
council 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.

(c) Director. The community council shall appoint an individual to serve as a full-time director of


Management contract means a contract within the meaningof 25 U.S.C. Sections 2710(d)(9) and 2711.

Management contractor means a natural person or entitythat has entered into a management contract
with the communityor the enterprise which has been approved pursuant to 25 U.S.C. Sections 271 0(d)(9) and
2711.

Manufacturer means a natural person or entity thatmanufactures gaming devices and/or component parts
thereof, asdefined herein, for use or play in the gaming facilities.

National Indian Gaming Commission means the NationalIndian Gaming Commission established
pursuant to 25 U.S.C. Section 2704.

Net revenues means gross revenues of Class II and ClassIII gaming activities less amounts paid out as,
or paid for,prizes and total operating expenses, including debt service butexcluding management fees paid to a
management contractor within the meaning of 25 U.S.C. Section 2711(c).

Person means and 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 anyassociation of persons.

Primary management official means:

qd) The person having management responsibility for or under a management contract;

(2) Any person who has authority to hire and fire employees, or to set up working policy for the
enterprise; or

(3) The chief financial officer or other person who has financial management responsibility for the
enterprise.

Principal means, with respect to any person:
(1) Each of its officers and directors;

(2) Each of its principal management employees, including any chief executive officer, chief
financial officer, chief operating officer or general management;

(3) Each of its owners or partners, if an unincorporated business;

(4) Each of its shareholders who owns more than ten (10) per cent of the shares of the corporation, if
a corporation;

(5) Each person other than a banking institution who has provided financing for the entity
constituting more than ten (10) per cent of the total financing of the entity; and

(6) Each of the beneficiaries, or trustees of a trust.


(12) 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.

(Ord. No. SRO-212-96, § 18, 11-8-95; SRO-219-96, § 18, 6-26-96; Ord. No. SRO-239-98, § L)

Sec. 15.5-17. Penalties.

Any person who violates any provision of this chapter shall besubject to civil penalties, including
exclusion from employment bythe enterprise, exclusion from attendance at any gaming facility,exclusion from
the reservation if a nonmember of the community,or, with respect to any person subject to the jurisdiction of
thecommunity to impose such fines, a fine of not more than five thousand dollars ($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.

(Ord. No. SRO-212-96, § 15, 11-8-95; SRO-219-96, § 15, 6-26-96)

Sec. 15.5-18. Repeal and severability.

To the extent that they are inconsistent with this chapter, allprior gaming ordinances of the community
are hereby repealed. Ifany provision of this chapter or its application to any person orcircumstance is held
invalid, the remainder of this chapter orthe application of the provision to other persons or circumstancesshall
remain valid and shall not be thereby affected.

(Ord. No. SRO-212-96, § 16, 11-8-95; SRO-219-96, § 16, 6-26-96)

Sec. 15.5-19. Detention and questioning of persons suspected of violations.

(a) The authorized agents of the community gaming agency or security personnel of the gaming
facility (hereafter "authorities"), may question any person in the gaming facility who may be involved in illegal
acts or who is suspected of violating any of the provisions of the compact or section 15.5-16. None of the
authorities is criminally or civilly liable:

qd) On account of any such questioning; or

(2) For reporting to the community gaming agency, the state gaming agency, community, federal or
state regulatory authorities, or law enforcement authorities the identity of the persons suspected
of the violation.

(b) Any of the authorities who have probable cause for believing that there has been involvement in
illegal acts or a violation of the compact or section 15.5-16 in the gaming facility by any person may take that
person into custody and detain him in the gaming facility in a reasonable manner and for a reasonable length of
time. Such a taking into custody and detention does not render the authorities criminally or civilly liable unless
it is established by clear and convincing evidence that the taking into custody and detention are unreasonable
under all the circumstances.

(c) There must be displayed in a conspicuous place in the gaming facility a notice in boldface type
clearly legible and in substantially this form:


AL
«\oN 'No,

a y
S é
%

Re
VG com we?

April 27, 2010

Sam L. Nixon, Director

Community Regulatory Agency

Salt River Pima-Maricopa Indian Community
8840 E. Chaparral Rd. Suite 165

Scottsdale, AZ 85250

Fax: (480) 362-5488

RE: Ordinance amendment, approval

Dear Director Nixon:

On March 5, 2010, the National Indian Gaming Commission received an
amendment to the Salt River Pima-Maricopa Indian Community’s previously approved
gaming ordinance adopted by Ordinance # SRO-358-2010 on February 10, 2010. This
amendment changes the definition of gaming services, allows the Director of the
Community Regulatory Agency to exempt a person or entity form the gaming service
license requirement, regulates the use of automatic teller machines in gaming facilities,
and institutes a new tort claims process.

This letter constitutes approval of the amendment. Nothing therein conflicts with
IGRA’s requirements or the NIGC’s regulations.

Thank you, and if you have any questions, please feel free to contact Staff
Attorney Heather McMillan Nakai at (202) 632-7003.

Sincerely,

int T. Skibine

Acting Chairman

NATIONAL HEADQUARTERS 1441 L St. NW, Suite 9100, Washington, DC 20005 Tel: 202.632.7003 Fax: 202.632.7066 WWW.NIGC.Gov

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; St. Paul, MN; Tulsa, OK


(Ord. No. SRO-212-96, § 7, 11-8-95; Ord. No. SRO-219-96, § 7, 6-26-96)
Sec. 15.5-8. Protection of environment and public health and safety.

All gaming facilities shall be constructed, maintained and operatedin a manner that adequately protects
the environment and the publichealth and safety, and for that purpose shall comply with thestandards generally
imposed by the Uniform Laws Annotated Codescovering the Uniform Building Code, Uniform Mechanical
Code, Uniform Plumbing Code, and Uniform Fire Code, the public healthstandards for food and beverage
handling requirements of the UnitedStates Public Health Service, and all other applicable health, safety and
environmental standards of the community.

(Ord. No. SRO-212-96, § 8, 11-8-95; Ord. No. SRO-219-96, § 8, 6-26-96)

Sec. 15.5-9. Licenses--employee.

All Class II and Class III gaming employees shall be required toobtain a gaming employee license from
the community regulatoryagency, and no person may commence or continue employment as agaming employee
unless he or she is the holder of a valid currentgaming employee license or temporary gaming employee license
issuedby the community regulatory agency, and is certified by the stategaming agency if so required by the
compact. No person maycommence employment as a gaming employee unless such person is atleast eighteen
(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 twenty-one
(21) years of age. The community regulatory agency shall ensure that the policies and procedures set out in
Appendix A attached to Ordinance No. SRO-219-96 and made a part hereof are implemented with respect to
gaming employee licensure for all Class II and Class III gaming employees. The community regulatory agency
shall be empowered to create a dual or multitiered 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.

(1) 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.

(2) 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 for 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. The 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 (3) 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


The enterprise on behalf of the tribe may conduct Class II gaming,and the enterprise on behalf of the
tribe may conduct all types ofClass III gaming authorized by the compact once the compact becomeslegally
effective pursuant to the act. No person under the age oftwenty-one (21) shall be allowed to be permitted to
place any wager, directly or indirectly, on any Class II or Class III gaming.

(Ord. No. SRO-212-96, § 4, 11-8-95; Ord. No. SRO-219-96, § 4, 6-26-96)

Sec. 15.5-5. Ownership.

The community shall have the sole propriety interest in andresponsibility for the conduct of any gaming
operation authorizedby this chapter; provided, however, that nothing herein shall beconstrued to prevent the
community from granting security interestsor other financial accommodations to secured parties, lenders
orothers, or to prevent the community from entering into true leasesor financing lease arrangements, or to
interfere with the exerciseby any secured party of its rights under any financing agreementwith the community
to enforce its security interests in thepremises on which such gaming activities may be conducted, or toenforce
its rights against gross revenues of the community from itsgaming activities for the purpose of repayment of the
debt obligations of the community to such secured party in accordancewith the provisions of such agreements.
(Ord. No. SRO-212-96, § 5, 11-8-95; Ord. No. SRO-219-96, § 5, 6-26-96)

Sec. 15.5-6. Use of Revenue.

(a) In compliance with Section 2710 (b) (2) (B) of the Act, netrevenues from Class II and Class IIT
gaming shall be used only forthe following purposes:

(60) To fund tribal government operations and programs;

(2) Provide for the general welfare of the community and its members.

(3) Promote tribal economic development;

(4) Donate to charitable organizations; or

(5) Help fund operations of local government agencies.

(b) If the community elects to make per capita payments tocommunity members, it shall authorize
such payments only uponapproval of a plan submitted to the secretary of the interior underSection 2710(b)(3) of
the Act.

(Ord. No. SRO-212-96, § 6, 11-8-95; Ord. No. SRO-219-96, § 6, 6-26-96)
Sec. 15.5-7. Audit.

The enterprise shall cause to be conducted annually an independentaudit of all gaming operations and
shall submit the resulting auditreports to the National Indian Gaming Commission. All gaming-related contracts
that result in the purchase of supplies,services, or concessions in excess of twenty-five thousand dollars

($25,000.00) annually, except contracts for professional legal and accounting services, shall be specifically
included within the scope of such audit.


Gaming support employee means any employee or persons employed by the enterprise who perform
employment duties that are not gaming related and do not meet the definition of "gaming employee" and

includes employees having access to non-public areas but not restricted gaming related areas of the gaming
facility.

Institutional investor means an agency of the UnitedStates; a lending institution licensed and regulated
by thestate or the United States; a mutual fund that meets therequirements of a "qualified institutional buyer," as
definedin Rule 144A of the Federal Securities Act; an insurancecompany as defined in Section 2 (a) (17) of the
InvestmentCompany Act of 1940, as amended; and investment companyregistered under Section 8 of the
Investment Company Act of1940, as amended; an investment adviser registered underSection 203 of the
Investment Advisers Act of 1940, asamended; a finance company with net assets in excess of two hundred fifty
million dollars ($250,000,000.00), 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.

Key employee means

(1) | Aperson who performs one or more of the following functions:
a. Bingo caller;
b. Counting room supervisor;

G: Chief of security;

d. Custodian of gaming supplies or cash;

€. Floor manager or management;

£ Pit boss;

g. Dealer;

h. Croupier;

Hs Approver of credit; or

HB Custodian of gaming devices, including persons with access to cash and accounting

records within such devices;

(2) If not otherwise included, any other person whose total cash compensation is in excess of fifty
thousand dollars ($50,000.00) per year; or

(3) If not otherwise included, the four (4) most highly compensated persons in the enterprise.


(6)

1)

(8)

(9)

(10)

ayy

(12)

(f)

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.

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 chapter.

The community regulatory agency shall establish a process for persons barred from the gaming
facilities because their behavior or criminal history or association with career offenders or career
offender organizations poses a threat to the integrity of the gaming activities of the community.

The community regulatory agency may impose penalties for violations of this chapter, the
Standards of Operation and Management, and other applicable laws, in accordance with section
15.5-15 of this chapter.

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 section or to enjoin or otherwise prevent any
violation of this section, the Act or other applicable laws, occurring on the reservation.

The director of the community regulatory agency shall propose 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 chapter. All employees of the community regulatory agency, including
the director, shall be tribal employees subject to the personnel policies of the community.

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.

The community regulatory agency may adopt regulations to authorize the use of credit by
gaming customers.

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 take any action or cease and desist from any action as may be required to protect the public

interest.

(g)

Procedures of the community regulatory agency board.


Sec. 15.5-23. Granting of security interests.

()

(A)

(B)

(2)
1)

2)

3)

(3)

(A)

(B)

(C)

Purpose and authority.

Purpose. It is the purpose and policy of this article to establish the method of the creation, the
effect of perfection and nonperfection, priority among competing creditors, and enforcement of
security interests granted by the community in connection with personal properties of the
Community doing business as Salt River Community Gaming Enterprises.

Authority. This section is enacted by the community council under the authority of Article VII,
Section | of the Constitution of the Salt River Pima-Maricopa Indian Community.

Definitions. As used in this section:

The term "division" shall mean Salt River Community Gaming Enterprises, the wholly-owned
instrumentality of the Community that owns and operates Casino Arizona and any other gaming
and gaming-related operations of the Community. In the event that Salt River Community
Gaming Enterprises ceases to have the exclusive legal right to operate the gaming operations of
the community, the term "division" shall encompass any and all entities that have the right to
conduct such gaming and gaming-related operations.

The term "division personal property" means any and all now owned or hereafter acquired
personal property of the division.

The term "Uniform Commercial Code" shall mean Chapters 1, 8 and 9 of the Arizona Uniform
Commercial Code as in effect from time-to-time.

Application of Uniform Commercial Code.

The Uniform Commercial Code shall apply to any security interest granted by the community in
any division personal property, and such security interest shall be created and perfected,
priorities among competing creditors determined, and the security interest enforced, in
accordance with the Uniform Commercial Code.

In the event that, as a matter of Arizona law, the Uniform Commercial Code does not apply toa
security interest described in Section 3(A) as a result of the provisions of Section
47-9109(D)(14) of the Uniform Commercial Code, the community, as a matter of Community
law, hereby adopts all provisions of the Uniform Commercial Code, other than Sections
47-9109(C)(2), 47-9109(D)(14), and 47-9307, and such provisions shall apply to any security
interest described in subsection 3(A), including the creation, perfection, priority and enforcement
of any security interest described in subsection 3(A).

For purposes of this section and the Uniform Commercial Code, the "location" of both the
Community and the Division shall be in the State of Arizona.


courts other than the SRPMIC Community Court; and 3) for all claims not covered under the
insurance plan.

(2) All claims are subject to Section 4-6, “Limitation for bringing civil actions and criminal
prosecutions into Community Courts,” of the SRPMIC Code of Ordinances.

(3) Claimant must exhaust all administrative remedies before a claim may be filed with the
Community Court.

(4) Claims must comply with the process and procedure of SR-2024-2000. Upon request, the Patron
or invitee, or their designated representative, shall be provided with a copy of SR-2024-2000 and
the name, address, and telephones numbers of the appropriate contact person for the Gaming
Facility Operator and the Clerk of the SRPMIC Community Court.

CERTIFICATION
Pursuant to the authority contained in Article VII, Section 1(c)(10) of the Constitution of the Salt River
Pima-Maricopa Indian Community (as amended), ratified by the Tribe on February 28, 1990, and
approved by the Secretary of the Interior on March 19, 1990, the foregoing resolution was adopted this
10" day of February, 2010, in a duly called meeting of the Community Council at Salt River, Arizona, at
which a quorum of 7 members was present, by a vote of 7 for; 0 opposed; 0 abstaining; and 2 excused.

SALT RIVER PIMA-MARICOPA
INDIAN COMMUNITY COUNCIL

Dem fod

Diane Enos, President

ATTEST:

& Harvier, Secretary



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. Applicantsfor renewal of a gaming employee license shall
provide updatedmaterial 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 applicant's continuing eligibility for a license is discovered by either
the community regulatory agency or the state gaming agency.

(Ord. No. SRO-212-96, § 9, 11-8-95; Ord. No. SRO-219-96, § 9, 6-26-96; Ord. No. SRO-239-98, §§ E--G)

Sec. 15.5-10. Same--services.

No person or entity may provide gaming services to the community orthe enterprise, within or without
the gaming facilities, unless itis the holder of a valid current gaming services license issued bythe community
regulatory agency. Each manufacturer and supplier ofgaming devices used by the enterprise shall be required to
hold avalid current gaming services license before providing or supplyinggaming devices to any gaming
operation. Any management contractor, including the management contractor's principals, shall be requiredto
hold a valid current gaming services license and to havereceived approval of its management contract by the
National IndianGaming Commission, before providing management services to anygaming operation.

13)

(2)

Application forms. The community regulatory agency shallensure that all application forms for a
gaming service licenseshall contain a form of the notice described in Section A ofAppendix A,
attached to Ordinance No. SRO-219-96, 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 applicant's principals. The community
regulatory agency shall require each prospective provider of gaming services to provide the
communityregulatory agency with such information, documentation andassurances as may be
required by the community regulatoryagency, which shall, at a minimum, identify all of such
applicant's principals, and which shall concern the applicant's and each principal's personal and
family history, personal and business references, criminal conviction record, business activities,
financial affairs, prior gaming industry experience and general educational background; [and/or]
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 a form as required by the community regulatory agency.

Background investigations. The community regulatoryagency 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. The community law
enforcement agency, or such other third-party investigative entity with which the community
regulatory agency may contract, and 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 tomake a
determination under subsection (3) 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.


resubmit historical data alreadyavailable to the community regulatory agency. Additional
background investigations shall not be required of applicants for license renewal unless new
information concerning the applicant's continuing eligibility for a license is discovered by the
community regulatory agency.

(Ord. No. SRO-212-96, § 10, 11-8-95; Ord. No. SRO-219-96, § 10, 6-26-96; Ord. No. SRO-239-98, §§ H--J)

Sec. 15.5-11. Same--Facility.

Upon issuance of a certificate of occupancy by the tribe'scommunity development department, the
community regulatory agencyshall issue a separate gaming facility license to each gamingfacility, which license
shall be required for each place, facility,or location on Indian lands within the community, prior
tocommencement of any gaming operations at such gaming facility,certifying that such gaming facility has been
constructed in accordance with the standards set forth in section 15.5-8 of this chapter. The community
regulatory agency shall enforce the health and safety standards applicable to the gaming facilities in accordance
with section 15.5-8 of this chapter. 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 accordance with
the standards set forth in section 15.5-8 of this chapter. 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 accordance with the standards set forth in section 15.5-8 of this chapter.

(Ord. No. SRO-212-96, § 11, 11-8-95; Ord. No. SRO-219-96, § 11, 6-26-96)

Sec. 15.5-12. Same--operator.

The community regulatory agency shall issue a gaming operatorlicense prior to commencement of any
gaming operations at a gamingfacility, certifying that each principal, primary managementofficial and key
employee of the enterprise holds a valid currentgaming employee license issued in accordance with section
15.5-9 of this chapter. Such gaming operator license shall be renewed on anannual basis by the community
regulatory agency, provided that eachprincipal, primary management official and key employee of theenterprise
continues to hold a valid current gaming employeelicense; and such license may be suspended or revoked by
thecommunity regulatory agency in the event that such requirements arenot met.

(Ord. No. SRO-212-96, § 12, 11-8-95; Ord. No. SRO-219-96, § 12, 6-26-96)

Sec. 15.5-13. Same--regulatory.

Until the executive director notifies the director of the communitydevelopment department and the
members of the community regulatoryagency board that the community regulatory agency has the abilityto take
over all gaming regulator licensing, no person may commenceor continue employment as a board member,
director, staff orinspector in the Salt River Pima-Maricopa Gaming RegulatoryDepartment unless he or she is
the holder of a valid current gamingregulator license issued by the community development departmentand the
community regulatory agency, after the notificationdescribed in this paragraph (hereafter called
"regulatorylicenser"). The community development department shall ensure thatthe policies and procedures set
out in Appendix A attached to Ordinance No. SRO-219-96 and made a part hereof are implemented with
respect to gaming regulator licensure for prospective gaming regulator licensees.


1974. 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 such applicant’s principals, and which shall concern the applicant’s and each
principal’s personal and family history, personal and business references, criminal conviction
record, business activities, financial affairs, prior gaming industry experience and general
educational background; and/or 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 cach principal of the applicant in a form as required by the community
regulatory agency. For purposes of this section, the person or persons included as a “Principal”
and the application requirements for Principals may be determined at the discretion of the
Director. The Director has authority to approve individual exceptions for any component of the
application form and the application requirements if the Director determines that it is not required
in order to protect the public interest.

Il. That the Salt River Pima-Maricopa Indian Community Code of Ordinances is hereby
amended by adding a section, to be numbered as designated, which said section reads as
follows:

Section 15.5-16.1 Financial Services in Gaming Facilities
Financial Services at the gaming facilities are subject to the following restrictions:

(1) The Gaming Facility Operator shall not locate an automatic tell machine (ATM) adjacent to, or in
close proximity to any gaming device;

(2) The Gaming Facility Operator shall not locate in the gaming facility an ATM that accepts
electronic benefit transfer cards issued pursuant to a State or Federal program that is intended to
provide for needy families or individuals;

(3) The Gaming Facility Operator shall not accept checks or other non-cash items issued pursuant to
a state or federal program that is intended to provide for needy families or individuals; and

(4) The Gaming Facility Operator shall not extend credit to any patron of a gaming facility for
gaming activities.

Section 15.5-16.2 Tort Claims Process

(1) The SRPMIC and its insurance carriers will not raise the defense of sovereign immunity up to the
amount that the SRPMIC is covered by contracts for insurance or up to amounts set by the Risk
Management and Control Program. For this exception to sovereign immunity to apply, the cause
of action must be in the SRPMIC Community Court. This exception to sovereign immunity
authorized by this section, and applicable only to this Chapter, shall not apply in any other court
other than the SRPMIC Community Court. The SRPMIC expressly reserves the right to raise the
defense of sovereign immunity for claims 1) in excess of the amounts of insurance; 2) in all


Agents of the Community Gaming Agency or any of the Authorities who have probable cause
for believing that any person may be involved in illegal acts or has violated any provision of
applicable law prohibiting cheating or other gaming offense may detain that person in the
Gaming Facility.

(Ord. No. SRO-250-99, 3-17-99; Ord. No. SRO-253-99, 3-17-99)

Sec. 15.5-20. Trust protection for minor and incompetent beneficiaries receiving IGRA benefits;
applicable law; jurisdiction.

(a) Except as provided in paragraph (e) of this section, but notwithstanding any other provision of
the Code, the income and principal of a trust created for a minor beneficiary or incompetent beneficiary who is
entitled to receive a distribution under the act shall not be transferred by such beneficiary and shall not be
subject to enforcement of a money judgement until paid from such trust to the beneficiary in accordance with
the terms of the trust.

(b) Except as provided in paragraph (e) of this section, but notwithstanding any other provision of
the Code, if a trust created for a minor beneficiary or an incompetent beneficiary to receive and hold such
beneficiary's distribution under the act provides that the trustee may pay income or principal, or both, for the
health, education, and welfare of such beneficiary, as the trustee deems advisable in the discretion of the trustee,
the income and principal necessary to accomplish such objectives shall not be transferred and shall not be
subject to the enforcement of a money judgement until it is paid from the trust to such beneficiary in accordance
with the terms of such trust.

(c) Except as provided in paragraph (e) of this section, but notwithstanding any other provision of
the Code, any money or other property held in a trust for a minor beneficiary or an incompetent beneficiary
which represents a distribution under the act to or for the benefit of such beneficiary, shall be exempt from
execution, attachment, or sale on any process issued from any court.

(d) Except as provided in paragraph (e) of this section, but notwithstanding any other provision of
the Code, no action of any kind, including without limitation, an action to enforce a judgement entered by a
court or other body having adjudicative authority, shall be brought at law or in equity for an attachment or other
provisional remedy against property held in a trust for the benefit of a minor beneficiary or incompetent
beneficiary for avoidance of such trust unless such action shall be brought in the community court. The
community court shall have exclusive jurisdiction over any action brought with respect to a trust created for a
minor beneficiary or incompetent beneficiary.

(e) Notwithstanding any other provision contained in this section, paragraphs (a), (b), (c), and (d) of
this section shall not apply in any respect:

(1) To the community to whom the beneficiary is indebted by order of the community court relating
to payment of any indebtedness owed by the beneficiary to the community.

(2) To any person to whom the beneficiary is indebted by order of the community court for the
payment of support or spousal maintenance in favor of such beneficiary's spouse, former spouse,
or children.


Salt River Pima-Maricopa
Indian Community
10,005 East Osborn Road
Scottsdale, Arizona 85256

ORDINANCE NUMBER: SRO-358-2010

TO AMEND CHAPTER 15.5, GAMING ORDINANCE OF THE SALT RIVER PIMA-
MARICOPA INDIAN COMMUNITY CODE OF ORDINANCES BY AMENDING
CERTAIN SECTIONS REGARDING VENDOR LICENSING; TO RESTRICT THE
LOCATION OF AUTOMATIC TELLER MACHINES (ATM); FINANCIAL SERVICES;
AND TORT CLAIMS PROCESS.

BE IT ENACTED:

1, That the Salt River Pima-Maricopa Indian Community Code of Ordinances is hereby
amended to read as follows:

Section 15.5-2 Definitions is amended as follows:

Gaming services means:

(1) The providing of any goods or services (except for legal services) for a gaming facility or the
gaming enterprise in connection with the operation of Class III gaming in an amount in excess of
ten thousand dollars ($10,000) in any single month, including, but not limited to, equipment,
transportation, food, linens, janitorial supplies, maintenance, or security services;

Principal means, with respect to any person, all or any subset of the following persons:
Section 15.5-10 Same services is amended as follows:

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. The Director may exempt a person or entity providing gaming services
from the requirement to hold a license if the Director finds that a gaming services license is not necessary
in order to protect the public interest. Any management contractor, including the management
contractor’s 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.

(1) Application forms. The community regulatory agency shall ensure that all application forms for
a gaming service license shall contain a notice of privacy in accordance with the Privacy Act of


(4) Application of section.

(A) _ This section shall only be applicable only to security interests granted by the community in
division personal property.

(B) While any security interest granted under the authority of this section remains outstanding, this
section may not be repealed or be amended in a manner adverse to the interests of any secured
party.

(5) | Amendment of Ordinance SRO 106-87. Section 47-9102(A) of SRO 106-87 is hereby amended

to delete clause (3) thereof and eliminate all references therein to Salt River Community Gaming Enterprises.
(Ord. No. SRO-304-2005, 4-6-2005)


(3)

(4)

(5)

of all applicants and conducting any additional criminal history checks as may be deemed
necessary by the Commission pursuant to 25 C.F.R. Section 522.2(h).

Eligibility determination. The community regulatoryagency shall, as soon as possible after
completion of thebackground 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:

a. 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, orillegal
practices and methods and activities in the conduct of the gaming activities permitted
pursuant to this chapter;

b. 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 untrue or misleading in connection with such
application; or

Cc. Has been convicted of any felony or gaming offense if applicable under the eligibility
standards adopted by the regulatory agency.

Procedures for forwarding applications and reports for key employees and primary management
officials to National Indian Gaming Commission. Upon completion of a
backgroundinvestigation, and an eligibility determination for a gamingemployee license pursuant
to subsection (3) of this section,and in any event no later than the time when a key employee
orprimary 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 (2) 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 to subsection (3) 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
ofwhether a prospective licensee is granted or denied a license. The community regulatory
agency shall retain applications foremployment of key employees and primary management
officialsand reports of background investigations of such individualsfor inspection by the
chairman of the commission or his or herdesignee for no less than three (3) years from the date
oftermination of employment.

Granting a license. Upon completion of theeligibility determination required pursuant to
subsection (3) of this section, the community regulatory agency shall eithergrant or deny a
gaming employee license. Any individualdenied a gaming employee license shall be entitled to
arevocation hearing . In the event the community regulatoryagency determines that a key
employee or primary managementofficial is eligible to be granted a gaming employee
license,such individual shall be granted a temporary gaming licensepending completion of the


(3)

(4)

(5)

(6)

Eligibility determination. The community regulatoryagency shall, as soon as possible after
completion of thebackground investigation, determine whether an applicant iseligible for a
gaming services license. The communityregulatory agency shall determine that an applicant is
noteligible for a gaming services license if such applicant, orany principal identified with such
applicant:

a. 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 tothis chapter; or

b. 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

c. Has been convicted of a felony or a gaming offense if applicable under the eligibility
standards adopted by the regulatory agency.

Granting a license. Upon completion ofthe eligibility determination required pursuant to
subsection(3) of this section, the community regulatory agency shalleither grant or deny a
gaming services license. Anygaming services licensee applicant denied a gaming serviceslicense
shall be entitled to a revocation hearing.

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 besuspended 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.

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