DATE No mEeJt 26, 7991 RESOLUTION NO. 3827

RESOLUTION

UTE MOUNTAIN UTE TRIBAL COUNCIL

REFERENCE: GAMING ORDINANCE

WHEREAS, the Constitution and By-Laws of the Ute Mountain Tribe,

approved June 6, 1940 and subsequently amended provides in Article

Ill that the governing body of the tiLe Mountain Ute Tribe is the

Ute Mountain Ute Tribal Council and sets forth in Article V the

powers of the Tribal Council exercised in this Resolution; and

WHEREAS, the Ute Mountain Ute Tribal Council is responsible for

programs that benefit the tiLe Mountain Ute Tribal Members; and

WHEREAS, the Ute Mountain Ute Tribal Council feels that gaming

activities on the reservation will be of economic benefit to Ute

Mountain Ute Tribal Members; and

WHEREAS, the Ute Mountain Ute Tribal Council has read the attached

Gaming Ordinance that will govern gaming on the reservation and

feel that it will of benefit and govern the gaming activities

adopt.ed on the reservation in a way that will be of benefit to the

Ute Mountain Ute Tribe; and

WHEREAS, revenues derived from gaming activities on the Ute

Mountain Ute Reservation will be distributed with 50% in the

operating reserve, 20% for educational purposes, 15% social/family

plan and 15% for economic development; and

BE IT RESOLVED, that the Ute Mountain Ute Tribal Council approves

the Gaming Ordinance for the purpose of governing gaming activities

and the distribution of funds on the Ute Mountain Ute Reservation

as presented.

BE IT FINALLY RESOLVED, that the Chairman of the Ute Mountain Ute

Tribal Council is authorized to sign the Resolution and further

authorized to take such action as may be necessary to carry out the

intent of this Resolution.

The foregoing Resolution was duly adopted this 26Th day of

________________

, 1991.

c~

~dy

4

K~ighe-~tank, ~Chairman

Ute Mountair~i Ute Tribal Council
CERTIFICATION

This is to certiHfy that there was a quorum of 6 Tribal

Council Members present at the official meeting of the LIte

Mountain Tri hal Council held on the above mentioned date,

that 4 voted for 0 opposed the above Resol ution, and

abstai ned that the above Resol uti on was duly adopted.

Nora Behan secretary

LI t e H o u n t a i n T F 1 L) a 1 C 0 LI n c i 1

A P P R CV A L

1~t~~1.~2e?Th5UPer1ntendent
JTE MOIJNTAIN IJTE TRIBE

LIrE MOUNTAIN IJTE RESERVATION

GAMING ORDINANCE

TITLE I. GENERAL PROVISIONS

Section 100. Short Title

The Ute Mountain Ute Tribal Garninq Commission finds that:

a) The Community was orqanizeci by the membership pursuant to

federal law and enjoys a qovernment to qovernment

relationship with the United States as a iederally recoqnized

I n cii a n T r i I) a

b) The IJte Mountain Ute Tribe desires to be sd isuFficient in

its internal affairs, as reliance upon federal and other

resources has been adverse to the quality of life within this

community in both the present and the past.

c) Publ ic qaminq oper-ations have been introduced to Indian

Country unci it is of vital interest to the public heal th,

safety and welfare of the Ute Mountain Ute Tribe and tribal

members, instead ot pr-ohibitinq publ ic qaminq operations,

reqL,)ate public cja,ninq in a manner commensurate with the

ni: e es t o I the U a Noun I: a i n Tr i be 1 p cop 1 e

:1) By virtue of the treaties beL~ieen the Linited States of

America and the Hte Mountain IJI:e Tribe and thes tatutc-s and

court decisions oF the Liniteci States, which toqether- have

estabi i shed and maintained the doctrine of Indian

sovcieiqnty, there remains the Federal quarantee. of the

perpetual inteqri ty of the IJte Mountain Ute Irihe and

reserva t ion.

e) The Ute Mountain IJte Tribe requires methods for estabi ishinq

a base From which ji can qeneral avenues For

ss-1F-peipetuation and essential qoverninentel services.

I) The requlation ot public qaminq wi thin the Ute Mount;ain Ute

Tribe and reselvat ion boundaries is in the best inter~st of

the Ijte Mountain Tribal Ilembeis . Further, the life Noun t.nin

Tribal Garninq Conimission deterrriines that the intent oF this

uid i nailed: is to:

i ) C omp 1 ate 1 y req u 1 a t e a n ci con t r o 1 q am i n q on a 1 1

aservat~ion lands located within the l_ite Mountain Lite

Re:seivation, in compliance with applicable law;
ii) Provide. through the revenue generated by and taxes

levied on, Commi ssion licensed gaming opeiat ions

and programs for the general wel fare of the Ute

Mounta i n Tr i be and i t s members

iii) Protect gaming as a means of promoting tribal economic

development; and

v) Ensure that tribal gaming is conducted fairly and

honestly by both the operator end the players as

genuine means of providing both recreation and

eni:ertainment, entirely free from organized crime and

other corrupti ng influences.

Section 101. Definitions

The following words and phrases when used in this Ordinance shall

have the meanings respectively ascribed to them in this section

a) Tribal Council shall mean the governing board of the Ute

Mountain Tribal ite Tribes duly elected in accordance with

the terms of the Constitution and ByLaws for governing the

Lite Mountain Ute Tribe adopted June 6, 19L~0 and subsequently

b) ~ami ng Commission shel 1 mean the Ute Mountain Gerr,i rig

Commission as provided for by the terms of this CrcHnence.

:) Commjni ty shal 1 mean the Ute Mountain Jte Tribe; a

federally recognized Indian tribe organized by the membership

pursuant to federal authority and approval , located on the

Lite Mountain Lite Reservat ion

d) Compact shall mean that a rearnent conceinin the operation

ot games of chance, entered into on with the State of

Colorado, pursuant to Section 11 of the Indian Gaming

~e-lulatory Act of 1988. between the Comrnuni ty and the State

e) Gamel I ng equipment shell mean the bingo cards or sheets.

devices for selecting bingo nurribers, pulltabs, jar tickets.

pacidlewbeels, tipboards, tables~ slot machines, etc.

f) Genii ng shal 1 mean the act of paying for the opportunity and

participation in a game or games of chance for money or

something of value, where motor skills play no part and are

of no consequence in determining the outcome 01:

2
the fame; to operate, cc rry on, conduct, mci ntai n,

or expose for play, money, property, or any

representative of value wherein the outcome of a

qame is decided by chance o r in which chance is a

material element, but does not include social

games played solely for consumable qoods, i.e.,

foodstuffs or qames played in pri vate homes or

residences for prizes or qames operated by

chari table and educational orqani zat ions which ara

approved by the Commission.

q) Gami nq E nterpii se shal 1 mean any corrmerci ci

bus i ness owned by the Commun i ty and operated in

part or in whole, for the conduct of binqo~ the

sale of pul 1 tabs, qami nq in qeneral and the

conduct of other qames of chance.

h) Gaminq Operator shall mean a person,

0 r anization or entity that conducts the

manaqeme n t of qami nq at a Community gsrni nq

enterpnisa; including an entity enterinq into a

management contract with the Community or the

Communi ~ 1 tsel F on cry subdivision thereof

i ) Gaminq test laborctory shall mean as

contemplated by Section 8 of the Triba 1/State

Compact recan di nq video qames of chance, a

laboratoiy agraad to and desiqnated in wnitinq by

the Conimi sssi on and appoi nted State Board as

competent and qual fi ad to conduct scienti fic

tests and eval u.:iti ons of video qames of chance and

I ated equ pment ; a 1 aboratory operated by or

under contract with ~____________

j) Indian Gami nq Requlatory Act of 1958 slid 1 mean

the Act of the Liii i ted States Conqia ss adopted on

October 17, 1988, as Public Law 100L~97, i02 Stat.

2I4~37, codified at 23 iJ~S)C> 2701 at seq.

k) Key Employees shal 1 mean persons who serve as

the General Manager of a qaming enterpri se,

persons who have, alone or with others, the

authority to siqn checks or craate or di scharge

financial 01)1 iqations for a qarni nq enterpri se,

persons who have any contact with a money room of

a qami nq operation, manaqement , mci ntenance or

other substantial contract of or with qames of

chance or other qambl i nq equipment.

3
License sha~ 1 mean the permi ssion by authority

of the Commi ssi on to do an act, which without such

permi ssion shall be ii lanai . License, with respect

to real property of the Community, is a privileqe

to qo on the premises for a certai n purpose. but

does not operate to confer on, vest in, or license

an, title, interest, or estate in such property

m) Li censee shall mean any person, entity or

orq.anization qranted a 1 icense pursuait to the

provisions of this Ordinance.

n) Manaqement Official s shall mean any persons who

have a direct t~n.encial 1 nterest in, or manaqernejit

responsibility for, a qamiriq ~nterprise licensed

pursuant to the provisions of this Ordinance, and

in the case of a corporation, shall include those

individuals who serve on the Board of Directors of

such corporstion and each of its stockholders who

hold di rectl y or indirectly~ 10% or more of its

ssued and outstandi nq stock.

o) Other Compacts shall mean such aqreements as ma:!

in the future be enrered into between the

Community and the ~tate governinq Class III qaminq

as that terrr, is detined by the Indian Caminq

F~equlai:or~ Act oi~ 1988, codified at 25 LI.~.C. 270~

-S

p) Other qernes of chance ShT1 1 mean qames sirrii ler

to traditional binqo in which prizes are awarded

on the basis of a desiqnated winninq number or

numbers, color or colors, ~vmbol or sym~)o1 3

date i-mi ned ) , chance. such qarnes may be p1 eyed

usinq pull tabs, raifles, paddlewheels, tipboards,

:),,IicIiI)o._~r~~j5 tip jars. qarrinq t.abl..~ , tokens,

video 9emes Cs defined in the Indian Caminq

-)ulatcry Act o~ 1988, codified at 25 u.:~.C.

21J~(7) (A). Any mama of chance which is riot

prohibited by the criminal laws o~ the ~tate, or is

suoiact to permi 55 i V:C requl at i on pursuant to :~tata

law, Chapter 3!~9 ors Liccessol leqislat ion shall be

I nd uded in this daf I il tion.

q) Ehal 1 is uscd in this Ordi nance as i mposi nq an

01)1 iqat ion to act.

r) TrSaditional binqo shall mean that qame in which

each player is suppl led a cord or board contai ni n~i

five adjoininq horizorital and ve rticel rows with

five spaces in each row each con tai ni nq a numberS

4
or fiqure therein and the word free mar!<ed in

the center space thereof, or in which such a card

or board is represented on a video screen. Lipon

announcement by the person conduct i nq the qame or

the appearance on the video screen of any number

or fiqure appeari nq on the player s card or board,

the space contai ni nq sai cJ figure or number is

covered by the player. V/hen the player has

covered all five spaces in any horizontal and

verti ccl row, or has covered tour spaces and the

free space in a five space diaqonel row, or

shall have covered the requi red combi nation of

spaces in some other preannounced pat tern or

arranqement , such combi nati on of spaces coverecI

shal 1 constitute bi nqo . The player or players

to fi st announce bingo are awarded money

merchandise, or some other considerat ion by the

pe son persons. conducti rig the game.

s) Oeme of chance shall mean electronic or

clectromnech.cniccl devices that simulate games

corrmonl y r-eierred to as poker4 black jack, craps,

hi 10, roul etts , 1 i ne up symbol s and numbers or

other common qamb 1 i nq forms , which ere acti vated

by the insertion of a coin, token, or crrrrency,

ond .vhich award ~ame credit~, cash, tokens or

r-epl cys. , and conta i n a meter or device to ecord

unplayed credits or replays; or othcrwise shall

have the same meaninq as the ter-m Class III qarninq

ES defined by ~nd~an Oarnirg Requlatory Act of

l988~ codified at 25U.~.C. 2703(8)

~.ection 102. Effect of Haadinqs.

Article and section hoadi nqs contained herein shall not be

deemed to qovern. limit, modify, or in any manner affect the

scope. meani n~ or intent or the provisions of any article or

::~ct ion of the Crd i nance

sect ion 103 . Penalty Pi-ovi si ons.

It shall be a violation of the laws of the IJ~e Mountain Lite

Tr i be to vi ol ate the p rov i s i on s of th i s Ord i na nce any

requi ations promulqated by the Commi ssion or any proper

order issued under the authority of their Ordinance. Any

person or licensee so violati nq shall be puni shed by a tine

of not: more than One Thousand dol lars (:~1 ,000.00) or by

suspension of their license for a period not to exceed one

year or by both such fine and suspension or other penalty

alternative under Community law, includinq revocatjon.
3.~-ctiori 1O~. Liberal Interpretation.

The provi sions of this Ordi nance , bei nq necessary

welfare of the Community and its members3 shall be

liberally to effect the purpose and objective hereof.

Section 105. Severability.

tor the

construed

The provi sions of this Ordinance

part or provision hereof shall

federal court or federal aqency

or aqency so holdi nq shal 1 not

remaining pro~i si ons of the Ordinance.

are severable

be held void

the dcci sion

affect or impai

and if any

I) y t r i b a 1 or

of the court

any of the

Section 106. Imp 1 e me n t at i on.

It being immediately necessary for the preservation of

pubi i c peace, health, and safety of the Tr ibe and

members this Ordi nance shall take effect and be in

force from and after its approval and passaqe

Section 107. Amendment

.1 his Ordinance may

Commi ssi on.

be amended only by majority of the

TITLE II. DEVELOPMENT. AD~l INISTRATION AND ENFORCEMENT

Section 200. Office or Cominuni ty Gemi no Commi ssion

Established.

In order to pov ide for the order 1 y de vel oprne nt

administretion~ and reqjlation of tribal qaminq. there is

~stabl i shed the Ute Mountain Gaminq Comrni ssion (hereinafter

referred to as Gaminq Commission). The Ute Mountain Tribal

Council shal 1 nomi nate and upon majority aqraement appoi nt

five persons to seiva as the Gsminq Commission. Said

.ommi ssioners shal 1 ba seated for a term of three (3) years,

on sraqqeied terms such that tne term o~ the Commissioner

shal 1 expire each year thereafter

Section 201. Conflict of Interest.

Any Commission Member, or employee of the Commi ssion or any

member of hi s/her fami 1 y 1 iv i nq with hi rn/her may not have a

financial interest in any oin busi ness or in any gaming

operation3 or accept any gift or thinq of value from a

garni ng operator . However , noth i ny i n th i s sect ion shal 1

prohibit a Commi ssion Member or other person subject to this

section from having a financial interest in any gaining

the

its

f u 11

6
enterpri se operati nq pursuant to the provisions of thei rOr cli nance

as would any member of the Tribe if entitled to such i nterest as

tribal member, i nd udi nq any per capita payments deri veci from

profits made by any gaming enterpri se operating pursuant to the

provisions of this Ordinance.

~.ect ion 202. Removal of Commi ssi on Iiembers/Vacanci Cs.

The Tribal Council may suspend Commi ss ion members for Cause.

Cause for the purpose of this secti on shal 1 mean any conduct on

the part of the members, including, but not 1 imi ted to,

dereliction of duty, rnisappropriation of funds, fraud,

falsification of reports, conviction of a felony, conviction of a

:iami nq offense in ~ny jun sdi cti on or viol ation of this Ordinance.

Upon suspension, the Tribal Council must immediately notify the

accused Commi ssion Member in wni U nq and hold a heari nq on the

charqes not less than ten ( 10) days nor more than twenty (20) days

from the receipt of such notification. At the heari no, evidence

supporti no the charqes shal 1 be heard and the accused Commi esi on

Membe, shall have the opportunity to examine witness and evidence

and offer the same in defense.

Commi ss ion Members may be removed by the Tribal Council in

accordance with procedures in the removal provision of the

i~evi~ion for the Provisions for Governinq the Lite Mountain Ute

Tr i be.

should a Commission Member die. resiqn, or be removecl, the Tribal

Council may appoint any other qjal ified person to Fill the

unexpi red term, provided that any proposed app.i ntee ~hal 1 he

subject to the qualification requi rements of this Ordi nance

~ection 203. Prohibition of Trib~l Council Members.

No Member of the Tribal Council may be a member of the Commission.

section 20L~. Commission Duties.

a) The Commission shall be charged with the sole responsibility

of administerina and enfocing the provisions of this

Ordi -ance.

b) It shall be the responsibility of the Commission to

pr-omulqate requlations necessary to adniinister the pr-ovisions

of this Ordinance. The duties involved in the adininistration

of this Ordinance shall include but not be limited to the

Fol 1 owi nc~

7
( I I Pri nt i nq and mak i nci avail able app i i cation forms For

initial and renewal 1 i censes , as wel 1 as any other

necessary licenses;

(2) Supervisinq the collection of all funds and all

applicable taxes;

(3) Proceasinq all qaminq license applications;

(14) Issuinq licenses and notifyinq the National :Endian

Gami nq Commi ssicn of such issuance as requi red by the

Indian Gam~na Raaulatory Act;

(5) Determininq applicable license fee;

(6) Provide for outside independent audits of al 1 ~ami nq

activity and preaent those audits to the National Indian

Gaminq Commission;

(7) R~vi~w all qami n~ operation contracts records,

documents, and anythi nq else necessary and pertinent to

the financial accountabi 1 i ty of 1 i censees or enforcement

of any provi sion of qarni nq operati na contracts, Or

aqreements to this related Ordinances;

S ) The Commi as i on a hal 1 have t ha powe and a u thor i t y to

deny any application, to limit, condition, suspend, or

restri ot any 1 i cense determi ne su I tabi I i ty or approv.al

of or the imposition of a fine upon any person licensed

for any cause deemed reasoisbi a by the Commi a si on

(9) The perfoim.ance of any other duties required in the

Ordinance or any a:rner~cIm.~flt~ thereto or other duties

whic;h may hereafter be specified by the Comnmiasion~

10) Defend this Ordinance in any Court of Law;

(11) Conduct backaround invest iqationa on all primary

manaqement officials and key employees of the involved

qamiup enterpri and maintain orqoi nq oversiqlit ol

such manaqement and ke j empl oyee s

12) The Commi ssi on shal 1 propose an annual budqet for

operat ions to the Tribal Council

8
6ection 205. Power of Commission.

The Commi ssion may have the authority and be empowered to perform

the duties assiqned by this Ordinance.

3ect~on 206. Commission Meetings.

Reqular and special meetinqs of the Commission may be held, at the

discretion of the Commission, at such time and place as may be

conveni ent and open to Tribal members with notice posted in a

public place at least twentyfour (2L~) hour-s prior to the macti nq

Section 207 . Plan of Crqani zati on.

The Commi ssion may orqani ze any functional divisions or committees

.-js may be nccessary for the implementation f the provi sions of

this Ordinance and may from time to time alter such plan of

orqani sat ion as may be expedient.

Secti on 208. Notice of Amendment.

a) In adoptinq, amendinq. or repealing any provision under this

Otdinance~ the Tribal Council shall qive prior notice ot the

proposed action to al 1 1 i censees and other person(s) whom the

Ti lb-al Council have reason to hal i eve have a 1 eq it mate and

bonafi de i nterest in such proposed action.

b) In adopting, amendinq or repeal irlq any requlation under this

Ordinance, the Commission shall qive prior notice of the

prc-posad acti on to all 1 i censeas and other parsons whom the

Commi ssi oner3 have reason to believe have a leqi timate and

bonafi de interest in such proposed action.

Section 209. Hear-inq

Th~ Commission shall provide an applicant for a license an

opportunity for a hearinq prior- to a final action denyinq such

appl icai:ion and shall afford a licensee or any other person(s),

sji:iect to thi Ordinance, the opportunity for a hearinci prior to

takinq a final action resultinq in terminatinq, revokinq,

suspendi na or 1 irniti n; a license or any othai adverse acti on the

Commi ssion deems appropriata , provi dad, that the Commi ssion may

swnmaril y suspend temporarily or extend suspension of a license

for thi rty (3) days in those cases where such action is deemed

appropriate by the Commission. In cases where a license is

suspended prior to a heari nq , an opportunity for .a heari nq shall

be provided.

9
Section 210. Commission Findinqs.

\Ihenever upon specific factual fi ndi nq , the Commi ssi on determi nes

that any person has failed to comply with the provisions of this

ordinanca or any regulation promul~atad hereunder, the Commission

shall make a certi fication of fi ndi nqs with a copy thereof to the

subject or subjects of that determination. After five (5) days

notice and within ninety (90) days thereof the Commi ss ion shall

hold a hearinq, at which time the subject shall have an

opportunlt/ to be haar~:l and present evidence.

S act on s 1 1 . Show C a use H: ar i nq

At such heari nq , it she] 1 be the obl iqation of the subject to show

cause why the determination is incorrect; why the app] ication in

question should not be denied; why the license or 1 icenses in

quest on should not be revoked or suspended; why the peri od of

suspension should be extended~ why special conditions or

1 irni tations upon .a license should not be imposed; ot to show cause

why any other action reqardi nq any other person or persons subject

to any action should not be taken.

Secti on 212. Commi ssion Determination.

rollowinq such hearinq the Commission shall, within seven (7)

days, reach a determination concernirq the accuracy of the

prelimin.arj certification of facts and whether the license in

question should be qranted. continued, suspended3 revok?d~

conditioned, or 1 imi ted and whethei or not any other act ion

recommended to or by the Commission (i ncludinq, but not 1 imitad

to, forfeitures or tines) should be taken.

Section 213. Written Determination Provided.

Within three (3) days followinq this determin.stion, the Commission

shall inform the subiect in writinq of that determination.

:~ection 2 1L4 . Riqht to Appeal

The subject shall have the riqhi: to appeal the determination of

the Commission to the Tribal Council for a de novo heerina. Such

appeal must be ti lad with the Tribal Council in written forrri on on

before the tenth (10th) day tollowinq the determination of the

Commission. The determination of such appeal by the Tribal

Council she] 1 be final

Section 215. Sanctions.

Any person who enqaqes in ecti vities on prop:rty subject to the

provisions 01: this Ordinance without a license in violation of the

terms imposed thereon, in violation of terms of suspension, or in

violation of any other provi sions of this Ordi nance , regulations

11)
promulgated hereunder , or amendments thereto shall be in violation

of the Ordinance, includinq any person who unlawfully

trespasses upon any premi ses licensed by -this Ordinance. Separate

violations shall be prosecuted as sepaiate offenses. Each day of

violation shall constitute a separate count or violation to this

Ordi nance . A violator shall also be requi red to pay court costs,

storeac fees., and auction or sales fees. All property used in

each and every separate vi olatiori of this Ordi nance may become the

property of the Ute Mountain Ute Tribe. Persons may be prohibited

from trespassi no on premises licensed under this Oidi nance ; and

icense-s may be suspended, revoked, or limited and/or

estabi i shments may be forcibl y ci osed .

Al 1 such action shal 1 be

taken at the discretion of the Commission subject to the niqht of

appeal to the Tribal Council . Winnings found to have been

received in violati on of this Ordi nance are forfeited and become

the property of the Ute iountai n Ute Tribe.

TITLE III. LICENSING

Section 300. License Requirec!.

Any person, oraanization or entity (includinq management officials

:nd ke\ employees), conductinq a public qaminq enterprise pursuant

to the pio~~ si ons oi this Crdi nance on lands within the exterior

boundaries of the Ute Mountain IJte Tribe 01 on other lands .ahich

are subject to the jurisdiction of the Ute Mountain lribe, and any

person, orqanization or entity selling, leasinq or otherwise

di str i but nq qambl i na equ ipmeni: or sames of chance to any publ i c

q-aminq enterprise on lands within the exterior boundaries of the

Ute Mountain Reservation or on other lands which are subject to

the jurisdiction of the Lite Mountain Tribe, shall be required to

have and display prominently, or display upon request, -3n

appropriate, ial id and current Ute Mountain Tribal gaming license

issued pursuant to the provis ions of this 2rdinance. Any other

forms of pub 1 i c qarni na operations be i na conducted with i n the

iu risdiction of the Ute Mountain Tribe without the lawful written

approval oF the Gaminq Comnnssion are prchibi Led.

Section 3C1 Application for G.arni nq Enl:erpri ses Note Accepted

Automatic Licensinq forC urrent Gaming Enterprise.

Excep~ for the appl icat ion for the oem I nq enterpri se under

construction on the Lte Mountain Reservation on the day this

Ordinance is enacl:ed Is there a more specific identification of

that particular enterprise? If so, use it.], no application ton

a qanii na enterpni se by a qami na operator shal 1 be accepted, and no

1 icense for a qaini nq enterpri se shall be issued, by the Gaming

Commission until this Ordinance is amended to provide otherwise.

The gaming enterpri se under construct ion on the clay this Ordi nance

is enacted More speci fic identi fication of enterpri se?] shall be

issued Class A and Class S licenses with waivers of any

application fees. Those 1 icenses shal 1 be renewed each year with

waivers of application fees until this Ordinance is amended to

provi dccl otherwi se.

H
sect ion 302 Appl icat ion for Manaqement Officials and Key

Employees and Other Employees.

The app] ication for manaqement officials and key employees oF any

qami nq operator or the Ute Mountai n Tribe shall contain:

a) The name and address of each proposed manaqement off i cial and

proposed key employee:

b) Explicit: and detailed information of any crimina] record of

the app] icant in order to determi ne whether the app] icant

( 1) has commi tted a felony or qerninq offense n any

~urisdict ion;

(2) has enqaqed in any prior activities, or mai ntai nsa ny

habits or associ ations affecti n~ his present conduct

wh i oh wou 1 d

(i) pose a threat to the public and Lite Mountain

Tribes interest;

(ii) threaten the ~ffecti ye requlation and control of

qami nq

(iii) ~nhance the danqers of unsuif:able, unfair, or

illeqal methods, or activities in the conduct of

oem i n q.

c) The social security number of th~ applicant;

d) A description of ony previ ous experi ence which the app] i cant

has had with the qaminq industry qenera] 1 y, and Indian qaniinq

in particular, inciudinq specifically the name and eddress of

any 1 icensinq or equlatory aqency with which such person has

had contact re lat inq ~o qaminq

e) A fi nanci.a] statement from the applicant;

f ) The app] i cant s commitment to prov ide any .adcii t i onal

information a-s may be required by the Commission;

o) Any additional information, inc]udinq the finqerprints of the

app] icant , as ma~ be determi ned by the Gaminq Commission.

Any other employee not ho] di nq a menaqement posi ti on or a key

emp]oyment posi tion she]] be requi red to ti ] ] out an emp]ovement

app] i cati on provi ded by the qami nq operator or the IJte Mountain

Tribe and she]] be requi red to submit to a backqround check with

ocal law enforcement euthori ties chosen by the qami nq operator or

the Ute Mountain Tribe and ]eave such on file with said authori ties

a set of fingerprints.

12
Section 3O3~ Application for Distributors of Games of Chance and

Gambling Equipment.

The application for any pe rs on, orqani zation or entity wishing to

sell lease or otherwi se di stribute gambi i nq equipment and/or

video games of chance to the Ute Niountal n Tribe shall contain the

fol 1 owi nq information:

a) The narria( s) and mail 1 nq address of the person or entity

maki ~q the appl i cati on;

b) The names and addresses of all interested parties (including

those with di rect or i ndi ect financial i nteresl: ) and their

i nteres t and connection to t he appl i cant

c) The nature of the license applied for; the type of activity

to be enqaqed in under the license;

d) The explicit and detailed disclosure of any criminal record~

i nd udi nq any deli nquent taxes owed to the State by the

applicant, any person involved in the orpenization, and any

party of interest whose name appears on the appl icati on;

e) Any edclitional information necessary to allow the Ute

Mountain Life Tribe or thc State of Colorado to i~\/estiqate

the appi icant or any per~.on included on the application;

f) Whether the app I i cent has been properl y 1 1 censed by the S tate

of Colorado and proof of bei ~q the holder of a current and

valid distributor or manutac~urer license from the State; or

properly licensed end holdinq a current or valid license from

any other state;

q) Whether the appl icant has ever had a distributor or

manufacturer 1 icense revoked or suspended by the State that

issued the 1 icense and, if so, the circumstances sjrroundinq

the States action;

H) A statement ot waiver al lowina the Ute Mountain Tribe and the

State of Colorado to conduct a bac.kqround i nvestiqati on 01:

the app i i cant and any per son whose name i s requi ed to appear

on the application;

i ) Whether the Æppi icant or any person whose name is requ I ed to

appear on the application maintains any involvement in the

busi ness of wholesale di stribut ion of alcoholic beveraqes

13
3ection 304. Machine Licenses.

In addition to a distributor I icense , the person or entity with

whom the Uta Mountain Tribe enters into a 1 icense or sales

aqreement reqardi na video qames of chance must obtain from the Lite

Mountain Tribe an annual nontransferable license for each qarne of

chance to be placed in a qami nq enterprise operati no under the

provisons of this Ordinance.

a) An appl icat ion for a license for a qarne of chance shall

coniain the fol lowinq information:

1) the name and address 01: t:he app] icant with proof of a

current and valid distributor or manufacturer license

issued by a state and the Ute Mountain Tribe;

(2) identi ficat ~on numbers or codes For each qame of chance

placed in a tribal gaming enterprise, including the

manuf.acturer~ the serial and model number;

(3) proof of approval and certitication of tha machine b an

approved mcmi nq test l.aboratory or proof that the video

qame of chance conforms precisely to the exact

:poci f ice Lions of the qame of chance piototypa tested

end approved by the qarni no test laboratory

(4) a 1 1 other i nformat ion as requ i red by the Compact on

Carnes of Chance

(5) proof of a current and valid .ame of chance license

issued by the 3tate of Colorado.

b) Upon issuance, the Gaminq Commission shall hTve attached to

each qa~ne of chance licensed under the provisions of this

Ordinance, an non~remov.:ible identification plate on the

axterior cabinet which contains the information as required

by the Compact on rames of Chances.

3action 305. Classes of Licenses.

Upon propar .appl i c.at ion and approval the fo] lowi nq classes of

1 i ceises may be i s~ued by the G.cmi nq Cornmi ssion

a) Class A license for a q.arninq enterprise in which a gaminq

opera tot wishes to conduct trsidi tional bingo and ol:her games

of chance at a Tribal qami no enterpri se : the license shall be

site specific~ valid for a period of one year and shall have

an application fee.

14
b) Class B 1 icen5e for a qami nq enterpri se which a gaming

operator wi shes to conduct qames of chance at a Tribal qami nq

enterprise; the license shall be site specific, valid for a

period of one year and shall have an appli cation fee.

c) Class C license to any management official or key employee of

either a qami nq opera~:or or the Tribe; the license shall be

valid for a period of one year and shall have an application

fee of $30.00 and a Class C-i license to any other employees

not licensed as a manaqement official or a qami nq enterpri se

1 icenseci under the provisions of this Ordinance; the license

shall be valid for a period of one year and shall have an

npplicai:ion fee.

d) Class 0 license to any di stributor or manufactUrer of

qambl i nq equipment and/or names of chance to be used in a

Tribel qami nq enterprise; the license shall have an

application fee.

a) Class E license for each name of chance to be used in a

tribel naming enterprise; the license shall be valid for n

period of one year and shall have an application fee.

ction 306 Exemptions.

~) The fol lowinq activities are not public qaminq operations

under the terms of this ordi nance and, theiefore do not

require a license under this title:

(1) Gamin:1 not for gain, Gaming in which no cash or

valuable prizes are won, other than poi nts for

cumulati ye competitive rati ns or places for immediate

competitive r.enkinqs, is not subject to the provisions

of This OicH nance . However, qarni nq for qai n which is

conducted by a nonprofit orqanizat ion is subject to the

requirements of this Ordinance if cas~r or valuable

pri zes am awarded . Val uabl es pri ze means an object

or set v i cc wor t h One H u ndred Dol 1 ar s ( $ 1 00 . 00 ) or mor a

in fair merket ia l uc

(2) Tradi t i onal mdi an Gami nq .

Ttadi ti onal mdi an Gaming

activity, in the nature of hand gaines, are riot subject

to the provisions of this ordinance when enqaqed in by

individuals as a part of, or in connection with, tribal

ceremonies or celebrations. The Gaming Commissions is

hereby authoii zed to determi ne on a case-by-case basis,

upon request, whether a particular qami nq acti vity

qualifies for the exemption.
Section 307. License Renewal.

Every licensee i ntendi nq to continue enqaqi no in public qami ng

acti vi ties within the Ute Mountai n Reservation dun nq the next

calenda ryear shal 1 apply for renewal of the 1 icense at least

thi rty (30) days prior to the end of the previous 1 icense period.

~action 308. License Display.

Every licensed ~emi nq operator shall display in a prominent place a

current and va 1 i cI Lite Mounta i n Gami nq Commi s s ion 1 ice nsa for that

l ocat ion

Section 309. Requi rernents to Mai ntai n License

a) Chanqe in Location. When a licensee chanqes a location of

public qaminq activities within the Lite Mountain Reservation~

the Gami nq Commi ssion shall , after noti fication by the

1 icensee of such chanqes issue a corrected license for the

balance of the current period retlectinq the new address upon

reasonabl a proof of chanqe of .Rddress and without i mposi t ion

of an additional license fee.

b) It shall he unlawful for any Licensee to fail to notify the

Gami an Ccmmi ssi on of any new prospective key employees new

ancillary contractor, or new operator . The Gami no Comini ssion

shall i ivestiqate and provide approval or di sapproval of the

new key employee, contractor, or operator within thirty (30)

days. Any information received by the Gamin; Commission

shall be confidant ial

It sh.al 1 be unlawfjl for any licensee to beqin the arnployment

of a ne.~J person beqin the performance of any new contract or

beqi n the control of a new operator without the approval of

the Gaminq Commission.

d) It shall be unlawful for any person ~o possess a firearm or

~:~anerous weapon on the premises where licensed qaminq is

Ti I owed

a) It shall he unlawful for a licensee to enqaqe in pawnbrokinq

or to take qoods or material s in hock or to lend money or

a nqaqe in similar act i vi ty with i ndi qent persons to qambl

f) A licensee is~ required to, durinq norrn.al business hours,

maintain his premi sos open for i nspact ion by the Garni ng

Commi ssion or its aqents or any other authorized qovernrnent

aqency and keep its books and financial records open tot

similar inspection.

16
q) Licensed qami nq opetators and tribal qami ng operators must

produce at a players request, losinq tickets, copies of

cancel led checks or other evidence of loss acceptable to the

Internal Revenue 5ervi ce it requested by the player or

contestant at the time the play or when the contestant buys a

ticket or chance or otherwise enters the qame.

h) The Gami nq Commi ssion shall impose the fol lowi nq addi tional

requi rements and requlat ions:

(1) A determination of whether and in what manner rules of

play must be posted for each type of 1 icansed qami nq;

(2) The maximum pri ze , pot or bet limit, if any, that shall

be offered for any type of qami nq

(3) Ru~as for the particulai conduct of any type cf licensed

eami nq should the Gami nq Commi ssi on deem that such rules

are necessary for the proper conduct of qami nq;

(L~) Any other requlation control linq licensed qaminq which

s deemed necess.:~ry by ~He Gami n; Commission.

section 310. Fees.

Each application for an initial or renewal license shall be

accompanied by payment of the license fee. The Gaming

Comini 3i on s determi nat ion oF the 1 i cense fee prope rl y owed under

this O~di nance shall be final .

I his fee is imposed for the

revocable privi leqa ot beinq licensed to enqam~ ir public qaminq

activities within the iur i sdiction of the IJte Mountain Tribal

Counc i 1

ion 311. Non-transferabili ty.

The license issued pursuant to the provi sions of this Ordinance is

valid only for the person(s) or orqani zaition(s) at the place of

husi ness shown on the face thereof. It is not assiqnable or

otherwise transterable to any other person or orqanization or for

any other location wi thout the written approval of the Gaminq

Commission.

~ection 312. Payment of License Fees.

All license f~ as for licensee issued under authority of the Gaming

Coinmi ssion shall be paid to

17
:~ection 313. License as a Revocable rrivileqe.

The public qaminq operations license is a revocable privi leqe, and

no holder thereof shal 1 be deemed to have a part in any yes ted

riqhts therein or thereunder. The burden of provinq qualification

to hold any 1 iceivse rests at al 1 times on the 1 icensee. The

Gamin:i Commission is charqed by law with the duty of continually

obs.ervi nq the conduct of all licensees to the end that icenses

shall not be held by unqualified or disqualified persons or

unsuitable pci son or persons whose operations are conducted in an

unsuitable manner.

:~2ction 31/i. Violations.

Viol at ion of any prov i si on of th I s Ordi nance or any of the

Commissions equlat ions by a licensee, his aqent , or employee

shal 1

a) be deemed contrary to the public health, safety, morals, good

order, and qeneral welfere of the Ute Mountain Tribe and its

members;

b) be qrounds for eFusinq to qrant 0 renew a license, or for

suspen~ion or evocation of a license;

:.:;) be grounds for the Ii linq of criminal charqes .:ind/oi a civil

notion in a couit of competent jurisdiction on behalf of the

Gamin:l Comrriissioi and the Ute Mountain Tribe; and

d) be qrounds for irnrn~diate revocation of a license in the case

of a 1 i censee be i ns cony i ctad of a felony

~cceptance of a license or renwel thereof or condi ti on i mposed

i:h~eon by a licensee constitutes aqreenient on the pat of the

icensee to be bound by al I the requl.ntions and/or conditions of

1:hn Gaminq Commission and by the provisions of this Grdinance as

the same are novi or may hereafter be amended or prornu Iqai,ed. It

is the responsibility of the licensee to keep him/herself infoiruccl

of the contents of all such quL.t ions.

TITLE IV. RULES OF GENERAL APPLICAE.ILITY

Section L~OO. Rules of Gaminq Operation.

Each licensee operati no a qami nq enterpi se under a license issued

pursuant the provisions ot this Ordinance shall prominently

display in w:iti rig all rul es and regulations pertaini n~ to all

qami nq activity, i no 1 udi ng but not limited to tradi ti onal bingo

other qames of chance and video qames o1 chance. nea the speci fic

location where such qam i na act iv i ty is conducted; or shal 1 make

available a written copy of all such rules and requlations to any

person maki no a request for such.

18
Each gami nq opeiator ii censed under the provi sions of this

Ordinance shall utilize qaminq rules and requlations that are in

compliance wi th the 1 aws of the Lite 1lounta i n Tribe , the State of

Colorado, and Federal ; any compact on names of chance or other

compacts and specifi cal 1 y the mdi an Gaming Regulatory Act 011

1988.

Section L~O 1 . Games of Chance.

a) Licensinq of Hanufacturers. No qarninq enterprise may own.

lease, or operate video names of chance that have been

manufactured by a manufacturer that has not received a

1 icense from the Gami nq Commi ssion pursu.:int to th~ provi sions

of Title III of this Ordi nance. The Gami rtq Commi ssion shall

issue 1 icenses onl y to manufacturers of names holdi ni a valid

1 icense from perti nent states.

hI Licensing of Distribitors. No qaminc~ enterprise may own,

lease, or operate gaines of chance that have been distributed

by a distributor that has not reccivecl a license from the

Garni ni Commi ssi on pursuant to the provisions in Ti tle III ot

this Ordinance. The Gamirq Ccmmiss~on shall issue license

only to distributors of games of chance holdi na a valid

license from

c ) Sijspens i on Re vocation , or Non -

Renewal of Manufact urer of

Cistributor License. In the evani: that a license held by a

manufaci:urer or di strii:ut.or of names of chance has been

suspended, revoked, or refused For renewal similarly licensed

by the G.aminq Commission, such action shall be qrounds for

similar action by the c1aminq Commission, which shall suspend.

evoke, or ref use to renew tb: 1 icense issued by the

Commission to such rrianufacturer or distributor.

d) Techni cal Standards: Testi ni and approval of games of

charica . No name of chance may be pirc based , 1 eased or

otherwise acquired by a q.amini ent:rprise unless: (1) the

game of chance iS purchased, leased, or acquired from a

manuf.acturer or distributor licensed to sell . lease or

distribute onrnes of chance by the Gemini Commission pur~uant

to the provi sions cf the Ordi nance and (2) the game of

chance, or a prototype thereof, h~s been tested, approved or

certified by a qami ng test laboratory as meeting all

requi rernen ts and standards of the compact on games of chance

or other compacts.

a) compl i once with the compact on names of chance and other

compacts. Any gaming acti vity involving names of chance

sha 1 1 be conducted in stri ct comp 1 i since with the compact

on games of chance and any other compacts.

19
~ect ion 402. Ii nimum Standards of Inspection and Approval of

Video Games of Chance. ~lot Machines and

Progressive Slot Machines.

Prior to the installation and use of a video qame of chance, slot

machine or pioqressive slot machine the Ccmrnission shall inspect,

test and considei~ the qambl i na device for approval by the

Commission. The Ccmmi ssi on shal 1 not approve a qambi i iq dcvi cc

unless the tests conducted i ndicate that the device meets the

~r,llo\~iI)~ minimum standards or unless an identical qambl ma device

is currently approved for use by ______ _______________

. It an

identical qambi in device is currentl y approved for use by

the Commission may waive its inspection

and testing requi rernent

a) Slot machine, proqressive slot machine and video qames of

chance hardware and software requirements.

1) Hardware specifications.

b) Electrical and mechanical parts and desisn principles shall

not subject a p1 ayer to physical hazards

c) A surqe protector shall be instal led on the 1 inc that feeds

power to the device. The battery backup or an equivalent for

the eiectionic meters shall he capable of maintaininq the.

accuracy of all intur mation required for 180 days at L~r

electrical power is discontinued from the device. The backup

~hal 1 be located in the locked loqic board compartment.

ci) An on/off switch that controls the electrical current used in

the operation of the device and any associated equipment:

shall be located in an accessible place within the interior ni

the device.

a) The operation of the device shsil 1 not be raacli 1 y adversely

affected by static di soharqe or other electromaqnetic

inter ference

l~) The device shall have a minimum of one electronic coin

acceptor meeti nq the security requirements of the Commi ssion.

p) The internal, space of the device shall not be readily

accessible when the iront door of th~ device is both closed

and locked.

h) Logic boards and software eprorns shall be in a locked area

within the device and shall be sealed with the evidence tape.

1) The drop bucket compartment shall be in a locked area within

or attached to the device.

20
) The cie vice shal 1 have no hardware swi tche s capable of

a] ten no the pay tables or payout percentaqes of the device.

Hardware switches may be i nstal led in the device to control

araphc routines, speed of play, and sound.

k) An identification plate cont.ainin the following information

shall be permanantl y affixed to the exterior of the dcvi cc:

Ntanufacturer; serial number; model number.

1) The rules of play for the device shall be clearly displayed

on the face or screen. The rules shall not be incomplete,

confusi nq , or mi sl~adi nn . Each dcvi cc shall ci so display the

crodits waqered and the credits awarded for the occurrence of

each possible wi nni nq combi nati on based on the number of

credits waqered. All information required by this pararaph

shel be kept under glass or other tr.ansparent material

t i ckers or other remoyabl e i terns shal 1 not be p1 aced on the

face of the device if they would make the requi red i nformetion

unreadab 1

Tect i cn !4 03 .

Sof~iare requ i rcmen t srandorn nurriber qene ra tot

Each gernbl 1 nq device shal 1 have a random number generator that

wil I determine the occurrence of a specific card, number or stop.

A ~~1ectiori process will be considorecl random if it meets the

toll awi ni requi rements

al Each card, number or stop shall satisfy the 99% confidence

limit using the standatd chi-squsted analysis. Chisquered

anal \/Si s is the sum of the square of the di ffcrence between

the expected re~tjlt and the observed result.

b) Each caid, numbe~ or stop snal 1 not produce a siqnific.ant

st.at~ stir: with regard to producing patterns of occurrences

E.ech card number or stop will be considered r.andom if it

meets. the 99% confidence level with reqard to the runs test

01 any similar pattern testing statistic. The runs test is

a mathematical stati stic that determines the cxi stence of

recurri nq pat terns within a set of data.

E.acl-i card , number or stop pos i t ion shal 1 be i ndependentl y

chosen wi thout regard to any other card, number or stop

within that game play. This test is the correlation test.

Each pair of cards , number or stop positions she] 1 be

considered random if they meet the 99% confidence level usi nq

standard correlatiorm analysis.

d) Each card number or stop positi on shall be independently

chosen without refersnce to the same card or number posi tion

in the previous game. This test is the serial correlation

test. Each card or number posi tion shall be considered

random if it, rne~ts 99% confidence level usi nq standard serial

conrelation analysis.

21
ction ~QL4 onti nuaticn of Game After Malfunction is Cleared.

Each device shall he capable of conti nui nq the current qame with

all current qame features after a malfunction is cleared unless

the malfunction renders the device totally inoperable. If the

malfunction renders the device totally i noperable the current

wacjer and all credit appearing on the screen prior to the

malfunction shall be returned to the player.

Secti on L~OS . Software Requl rements -

Play Transaction Records.

Each d~v ice shal 1 maintain electionic accounti nq meters at all

times, reqsrdless of whether the device is suppi ied with power.

Each meter shall be capable of r.acordinq and maintaininq totals, no

t ha n s i x d i g i t n 1 n t h . for t he f 01 1 ow i n q i n to ma ti on

a) Total number of tokens inserted. The meter shall count the

total number of tokens that are i nserted by the player.

b) Total number o~ to!<ens paid out.

c) Total coins dropped to drop buckets.

d) Total number of cradi ts ..,aqer~d

Total number of credits won.

t) Total ciedits paid out.

q) Number ot times l:he loqic area was accessed.

h) Nuiriber of time tha cash dcci of the device was accessed.

i ) umharo~ tokens or credits waiered in the current qame.

j ) Total credits f~r mames won bu~ not col lected commonly

reterred to as the credit meter.

he mct~s d;~sciih~d in a, b, and C, above, shall be p1 Tccd

in a position so that the numbers can be cad without opening the

:1 V i C C

No device shal 1 have a mechanism which wil I cause the electronic

accounti nq meters i:o automati y clear in the event of an error.

Cleari nq of the electronic accounti nq meters may occur only after

notification and approval by a Commission official.

22
cc on L~06 . 5oftware R-aqui rements -

Error ConcH tions

Automatic Clearing.

Devices shall be capable of cietecti nq and di splayi nq the power

reset condi ti on and the door open condi tion. These condi t.i ons

shal 1 be automati cal 1 y ci eared by the dcvi Ce Upon i nit i at i on or a

new pay sequence at the start of the second same.

Cection li.07. Percentaq-e Payout~

Percentaqe payout qami nq devices shal 1 meet the fol lowi ns maximum

and minimum theoretical percenta~e payout dwi ns the expected

lifetime of the device.

.~ The device must payout at least 80% and no more than 99% of

the amount waqerecl . TI-ic theoieti ccl payout percentage is

determi ned usi nq standarcl methods of ptobabi ii ty theory

b) A device must have a probability of obtaininq the maximum

payout qreater than 1 in 17.000,000.

section L~3~ Error Conditions.

a) Devices shall be capable of dctectinq and ciispiayinq the

1:01 loi.~ins error conditions which may be cleared by an

attendent

1) Coin -

in jam.

(2) Coinout jam.

3 ) Hcpp~a r empty or ti med out

L~ ) R Ai~i er ro

(5) Hopper runaway or extra coin or coins paid out.

(6) Low RAIl battery~ for batteries external to the RAM

itself. A battery approved by the Corrimission that is

repleced pursuenl: to its m.anui:acturer~ s specifications

or as specif ied in the prototype approval report

wh i c he ye r i s sooner may be i n st al 1 ed i n 1 i eu of the 1 ow

RAM battery error condition.

b) A description of device error codes and their meaninqs shall

be affixed inside tl~~ ~~lot machine.

23
Section /409. Hopper Mechanism.

Devic~ must be equipped with a hopper which is desi ned to detect

jammed coins extra coins pal d out, hopper runaways. and hopper

empty conditions. The device control proqram must monitor the

hopper mechani em for these error conditions in all qa mac states.

All co ne or tokens pc Id from the hopper mechani ecu must be

accounted tor by the device, i no] udi nq those paid as extra col ne

durinci a hopper malfunction.

Section ~10. Proqressive Slot Machines.

A proqiessive slotmachincehal have a proqrassiva mete showing

the payoff.

a) Limits. A limit may be imposed on the iackpot of a

proqressive slot machine provided that the 1 imit imposed is

ci reeter than the jackpot payout on the proqressi ye slot

machi ne at the t i inc ~he limit is imposed. Any limit imposed

on a p roq ue ss ye 1 at mach i n a she 1 1 be p rom i nan ti y di sp 1 a ye ii

to the pub] ic.

b) No payoff indicetoi may be turned beck to a leseci .emomt

Jfl less one of the fol lowi nq circumstances occurs:

The amount shc~in on rhe prcerassi ye mater s paid to a

player as a ~ackpot.

(2) It is necessary 10 adjust t:he prociressive meter to

prevCni: it from displayinq an amount cpeater than the

I unit imposed by the licensee.

(;) It is necassar~ to chanqa the PiOCSSiVC indical:oi due

to mel function in tha device.

(~ ) Transfer of jackpots . A proqressi ic jackpot may be

trensferred to another proqressive ~Iot machine sit the

seine location in the eve nt of a machine malfunction.

(~) When the maxirru~n jackpot limit is reached, it must be

permitted to remain until ii: is won by a player.

(3) ~ecords required. Records shall be maintained that

record the amount shown on a proqrcs ci ye jackpot meter

Supportinq documents shall be maintained to explain any

reduction in the payoff amount from a previous entry.

The records and documents she] 1 be retai ned for a period

ot five years unless permi scion to destroy them earl icr

is cii yen by the Commi scion in wri H nq

24
:~ct~ on ~.. 1 ~CCUi1 ty arid ~urvei 1 ance

The Commission shall require operators to provide and adhere to

the minimum ~ecurity rind survei 1 lance standards described in this

a c t i on

a) Closed circult television. Every operator s hail i5tall

maintain and operate a closed circjit tCIeVlSiOn ~y~tern

accordina to the specitications set forth in this 5ect ion.

The Coirimiss~on shall haVe riCcC to the systeni or its siqii.-nl

at all timas~

b) Required equipment. The clod circuit television system

shrill include, but rid: be limited to, the follcwinq

equipment.

(I) Camera. Pan, I:ilt, soom~ commonly referred to ~ PT.7

camriras, that are 1 iqht sensitive end capable of bei no;

placed behind a dome or oneway in rror which conceals

the P.T.Z. cameras from view. Erich camera shall have

the c.apabi 1 ity I:o distinqu~sh a clear, unobstiuctc~d view

of the table riumbai of th-aqami na table or ciami nq

cv i c a

(2) !iCICC~ printers she] I be c.:palrilo of ad]ustmant and shall

possess. inc capability to ieneiate instantaneously U

command a c ear, st i 1 1 copy of the i mane dop~ c ted on a

\.ideotape record 1 nd wi i:h a ml nimarn of 128 shades of

ira y

(a) Video monitor screens must be at least 12 inches

measured diaqon.al 1 y and all controls must be front

mou n tad . ~o 1 Id a tate c i rc U I ti ~ I a req u i red

(~l Date and time qenerators shall be capable of racod~nq

both time mid date cr1 the recoided events without

obritructir!q th~ recorded view. Recordinqs must be in

m i I i 1 a r y t I m a

(5) Universal ocwar supply. The system and its eciuiprnent

must be directly and secu~el y wirrid in a manner desiqned

to prevent tamperinq with the system.

(6) Camera domes shall be of sufficient quality and size to

.accommoda La P. T . Z . cameras and she I I be capable of

providinq clear, unobstructed views.

( 7 ) Video swi tchei shol 1 be capabl a of both manual and

automatic sequential switchi nq for the entire

surveillance system.

25
(8) Videotape recorders shal 1 be capable of produci nq high

quality, fi st generation pictures with a horizontal

resolution of a minimum of 300 lines nonconsumer.

professiOnal qrade , and recording standard 1/2 inch~ VH~

tape with highspeed scanning and fi ickerless

playback capabil ity in real time. In addition,

recorders shall have time and date i nsert ion

capab i 1 i ties for taping what i s be i na viewed by any

camera in the system. A mi nimum of one video recorder

for every eight video cameras is required.

c ) Requi red survei 1 lance. Every operator shal 1 conduct and

record ~urvail lance which al lows clear, unobstructed views in

the fol lowing ar eas of the qambl i nq facility

(1) Overall views of the casino pit area;

(2) Al 1 gami nq OF card table surfaces i nd ucli nq tabl a bank

trays, with sufficient clarity to permit identification

of all chips, cash, and card values, and the outcome of

the qame . Each qemi nq table shall have the capability

ot beinq viewed by no less than two camaras.

(3) Dice in craps qames, with sufficient clarity to read the

dice in thai F stopped position after each rol 1

(4) All roulette tables and wheels, capable ot be~nq

recorded on a api it screen to permit views of both the

table and the wheel on one moni tor screen

(5) All areas within cashier caqes and booths, includinq,

but not 1 i mi ted to, cu storners wi nclows , empi o vee Wi ndows

ca 5h draweia vaul t a , safea~ counters , chip storaqe and

fill windc~is. Every transaction occLirrinq within or at

the cas i no ca shier caqa a must be record~d wi t h

aulficient clarity to permit identification of currency

chips, tokens, fill slips, paperwork, employees and

p a t r o us

(6) All entrance and exit doors to the casino area shell he

moni tored by the surveillance system of they are

ut 1 1 i sad for the movement of uncounted mona js , tokens

or chips. Al so, elevators, stairs and loadi nq and

unloadinq areas shall be monitored if they are util ized

for the movement of uncounted moneys, chips, or tokens.

(7) All areas within a h~rd count room and any area where

uncounted coin is stored during the drop and count

process, including walls, cloors, scales, wrapping

machines, coin sorters, vaults, safes, and qeneral work

surfaces.

26
H9) All aieas within a soft count room, ~nc1udinq solid

wal 1s , doors, sol d cciii nqs stor~d drop boxes vaults

saies. and countinq surfaces which shall be transparent.

(9) Overal I views of patrons, dealers, spectators, and pit

personnel, with sufficient clarity to permit

identification thereof.

( 0) Cveral 1 views or the movement of cash, qami nq chips and

i:OIcens, drop boxes and drop buckets.

(111 All areas on the qeneral casino Floor with sufficient

clarity to permit identification of all players,

employees, patrons, and spectators.

( 12) Every licensee who exposes video qames of chance or slot

machines for play shall i nstal 1 , maintain, and operate

at all times a casi no survei 1 lance system that possesses

the capabi 1 i ty to moni tor and record clear, unobstructed

views of the fol 1 owi nq

(i) All slots or video qarne chanqe booths, includinq

their cash clr.:i~~iers, countertops, counting machines.

custome r windows. and employee windows, recordcd

with sufficient clarity to perm~t identification of

all transactions, cash .~nd paperwork t~erein.

(ii) The machine number. All areas, recorded with

suFficient clarity to permit identification of all

players arriployces patrons, and spectators.

d ) Eq u i p mc t i n s u r V a i 1 1 a ii cc of f I cc , Ga mb 1 i n q f a c i 1 it I e s she 1 1

be equipped with a minimum of two 12inch monochrome video

monitors wi Ui control capability of any video source in the

survei lance system. The fol lowi nq :hal 1 be additional

mandatory equipment for the surveillance office:

(1) Video printer.

(2) Video recorders.

(3) Audio pickup of soft count room.

( 14) Time and date qenerators , if not in the master

surveillance system.

(5) Total override surveillance system capabilities. Camera

lenses, All closed circuit cameras shall be equipped

with lenses ol- sufficient quality to allow clarity of

the value of qami nq chips, tokens, and playi nq cards.

These cameras shall be capable of black and white

recordi nq and viewi nq except those coveri nq exits and

entrances of the casi no area which sh.al 1 be capable of

recordin~ in color.

27
e) Lighting. Adequate 1 iqhting shall he present in all areas of

the casino and count rooms to enable clear video

reproduct ion.

f) Surveillance room. There shall be provided in each qamblinq

facility a room or rooms specifically utilized to monitor and

record acti vities on the casi no floor, count room1cashier

caqes and slot caqes . These rooms shall have a trai nod

survei 1 lance person present duri nq casi no operation hours.

The fol lowing are requirements for the operat~ori of equipment

in the aw vei 11 ance room:

1) Surv-ei lance equipment. All equipment that may be

ut i zed to moni tor or record views obtai ned by a casi no

surveillance system must remai n located in the room used

exclusively for casino survaillance security purposes,

except for equipment which is bei nq repaired or

rep laced. The entrance to the casi no surveillance room

shall be locked or secured at all times.

(2) Cverride capability. Casino survei 1 lance equipment must

have total override capability over any other satellite

rnonitc.iinq equipment in other casino offices, with the

exception of the Commission rooms.

(3) Access. Commission employees shall at all times be

provided immediate access to the casi no surveillance

room and other casino surveillance area.. Also, all

Comrni ss ion employees shall have access to all records

end areas cf such rooms.

(!4) Survoillance loqa. Entry in the log shall be required

when requesi:ed by the Commis~ion, whenever surveillance

a conducted on anyone, or whenever any activity that

appears unu~u~l, irreqular, illeqal or in violation of

Commi asion rul~s is observed. Also, all telephone callz

11 he 1 c-~sed

(5) Blueprints. A copy of the confiquration of the casino

floor shal 1 be posed and updated i mmcdi at~l y upon any

(:honqe. Also ìnclud~d shall be the location of any

chonqe, and the location of sw veil lance cameras, gaining

tables and slot machines by ass iqned numbers. Copies

shall also be made available to the Commission room.

(6) Storaqe and retrieval. Surveillance personnel will be

required to label and file all videotape recordi ngs . The

date, time, and sionature of the person meld nq the

recording shall be recorded. All videotape recordi ngs

shall be retaj ned for at least seven (7) clays after

recordi nq unless a lonqer period is requi red by the

Commission, or a court order. Oriqi nal audio tapes and

oriqinai video tapes shall be released to the Commi ssion

upon demand.

28
(7) Malfunctions. Each malfunction of surveillance

equipment must be repaired within 24 hours of the

malfunction. If, after 24 hours, activity in the

affected area cannot be monitored, the game or machine

shal 1 be closed until such coveraqe can he provided. A

record of all malfunctions shall be kept and reported to

the Commission on a daily basis.

(8) ~ecurity~ Entry to the surveillance room is limited to

persons approved by the Commi ssion. A log of personnel

enterinq and exitinq the surveillance room shall be

mai ntained and submitted to the Commi ssion every 30

d a y a.

q) Playback station. An area is required to be provided within

the Commission room that will include, but is not limited to,

a video moni tot and a video recorder with the capability of

producinq first qeneration videotape copies.

h ) Addi tional requi rements

C 1) Audio and videotapes moni tori nq wi 1 1 be continuous in the

Commi ssion and aecuri ty detention areas, when someone is

be i nq data i ned . These recordi n s shal 1 be eta ned for

30 clays after the recorded event, unless directecl

otherwi se by the Cornrrii as ion or a court order

(2) The Commission, its employees shall at all times be

provided immediate access to the survei 1 lance room and

all areas of the casino.

(3) Written plans and al tetat io~s . The operator shall

submit to the Commi ssion for approval a written casi no

surveillance sys tam plan no latci than 60 days prior to

the start of qamI nq operations

(L~) The casi no survei 11 ance system plan must i nd ucla a

casi no floor plan that shows the placement of al 1 casino

surveil lance equipment in relation to the locations

required to be covered, and a detailed description of

the casino surveillance system and its equipment.

i ) The operator may change the location of table games, slot

machi nes, and other gami nq devices. The surveillance system

must also he adjusted, if necessary to provide the coverage

required by these rules. The Commission shall approve the

change in surveil lance system before the relocated table

games, slot machines, or other q.eming devices may be placed

into operation. The operator must submit any change to the

survei 1 lance system showing the change in the location of the

gaming devices and related security and surveillance

equipment within seven days to the Commi ssion.

29
I

5) Nongambi i ng hours. Security surveillance wi 1 1 be requi red

during nongambl i ng hours as fol lows:

(1) Cleanup and removal time. At any time cleanup

operations or money removal is bei nq conducted in the

casino area, the security surveillance room shall be

staffed with a minimum of one trained surveillance

person.

(2) Locked down mode. Anytime the casi no is closed and in a

locked down mode, sufficient surveillance coverage shall

be conducted to monitor and record the casi no, in

general , so that security inteqrity is maintained.

During this period, it is not required that a trained

security surveillance person be present.

Section 412. Restrictions for Gaming Enterpri ses.

Each licensee operating a gaming enterprise under a license issued

pursuant to the provi sions of this Ordinance must at all times

observe the followi nq restrictions on gaming activities:

a) No credit extended. All gaming shall be conducted on a cash

basis. Except as herein provided, no person shall be

extended credi t for gaming by a gaming snterpri se. This

restriction shall not apply to credits won by players who

acti vote play on games of chance after inserting coins or

currency into the game, and shall not restrict the right of

the gaming enterpri se to offer check cashing or to i nstal 1 or

accept bank card or credi t card transactions in the same

manner as would be normally permitted at any retail business

within the State of Colorado.

b) Minimum aqe for players. No person below the aqe of

twenty-one (21) years on the date of gaming shall be

permi tted to participate in any gaming enterpri se licensed

under the provi sions of this OrdI nance. If any person below

the age of twentyone (21) years plays and otherwise

qualifies to win any prize, the prize shall not be paid and

the estimated amount wage red duri ng the course of the game

shall be returned to the player.

c) Regulation of Alcohol . No gaming enterpri se shall allow to

he sold or otherwise make available any beverage containing

alcohol except in strict compliance with the Ute Mountain

Tribal Liquor Control Ordinance.

3(1
TITLE V. INDIAN GAMING REGULATORY ACT.

Section 500. Policy.

It shall be the policy of the Ute Mountain Tribal Council to fully

comply with all applicable LI.S. Federal Law, to include the

provisions of the Indian Gaming Regulatory Act (25 IJ.S.C. 2701 at

seq.) and the Tribal/State Compact on Games of Chance and other

Compacts, if any, in the conduct of all qaming activity within the

jurisdiction of the Ute Mountain Reservation.

Section 501. New Revenue.

New revenue derived from gaming activity shall be utilized for the

following purposes:

a) To fund Ute Mountain Tribal qovernment operations or

programs;

b) To provide for the general welfare of the IJte Mountain Tribe

and the Ute Mountain Tribal Members;

c) To promote IJte Mountain Tribal economic development;

d) To donate to charitable orqani zations; and/or

a) To help fund operations of local government agencies.

Section 502. Per Capita Payments.

Nat revenues from any Class II gaming activity (as defl ned in the

Indian Gaminq Regulatory Act, 25 U.S.C. 2703) may be used to make

per capita payments to the IJte Mountain Tribal Members only if the

following conditions are first mat:

a) The IJte Mountain Tribal Council has prepared an adequate plan

for al loc:~tion of net revenues, which plan has been approved

by the Secretary of Interior or his designee;

b) In the event of a per capita distribution, the interests of

affected minors and legal 1 y incompetent persons anti tled to

such per capita payments are adequately protected and

preservad, under a plan approved by the IJte Mountain Tribal

Council and by the Secretary of the Interior or his

designate; and

c) The recipients of the said per capita payments are properly

notified by the Ute Mountain Tribal Council that the payments

are subject to federal taxation.

31
Section 503. Per Licensee Standards.

It is also the duty of the Gaminq Commission to develop standards

whereby any person whose prior activities, criminal records, if

any, or reputation, habits or associations pose a threat to the

public interest or the effective regulation of the gaming activity

contemplated herein, or create or enhance the dangers of

unsuitable, unfair, or illegal practices and methods and

activities in the conduct of gaming shall not be eligible for

employment by any gaming activity licensed by the Gaming Commission.

The Gaming Commi ssion shal 1 conduct background investigations on

primary manaqement officials and key employees of all gaming

activity and shall oversee those officials and their management on

an ongoing basis. The results of such backqround checks shall be

suppl ied to the National Indian Gaming Commi ssion prior to the

issuance of any gaming license.

Section 501~. Contracts.

All contracts for supplies, services or concessions for a contract

amount in excess of Twentyfive Thousand Dollars ($25,000.00)

annually (except for contracts for professional, legal or

accounting services) elating to Class II gaming (as defined by

the Indian Gaming Requlatory Act, 25 U.S.C. 2703) shall be subject

to the outside independent audits provided for in Title II, Section

20L~.b) (6) of this Ordinance.

Section 505. Protection.

It is further duty of the Gaming Commi ssion to ensure that any

construction and mai ntenance of any gaming facility licensed by

the Gaming Commission, and the operation of the gaming acti vity

therein shall be conducted in a manner which adequately protects

the environment and the public health and safety.

Section 506. Licenses for Continuing Operations.

No licenses will be issued to allow the continuous operation of

individually owned gaming establishments since none were in

operation on September 1, 1986

32
p

Section 507. Tribal Self-Regulation.

It is the intent of the Ute Mountain Tribal Council to request a

hearing before the National Indian Gaming Commission for the

issuance of a certificate of self-regulation. In anticipation of

being self-regulating, the Ute Mountain Tribal Council ensure that

it will:

a) conduct its gaming activity in a manner which:

(1) will result in an effective and honest accounting of all

r a v en u a

(2) will result in a reputation for safe, fair, and honest

operation of the activity; and

(3) will be generally free of evidence of criminal or

dishonest activity;

b) adopt and implement adequate systems for:

(1) accounting for all revenues from licensed gaming

activity;

(2) investigation, enforcement and prosecution of violations

of this Ordinance and regulations;

(3) investigation, enforcement and prosecution of violations

of this Ordinance and regulations; and

c) conduct all gaming operations on a fiscally and economically

sound basis.

Section 508. Management Agreements.

All management agreements entered into by the IJte Mountain Tribal

Council, if any, shall comply with the applicable provisions of

the Indian Gaminq Regulatory Act, 25 U.S.C. 2711.

Section 509. Internal Revenue Code.

All applicable Internal Revenue Code provisions concerning

reporting and withholding of taxes with respect to the winnings

from gaming shall be adhered to.

33
p

Section 510. Accounting and Cash Control

a) The Commission shall require the filing of monthly and annual

financial statements covering all of the financial activities

of the gambling operation. At a minimum the financial

statements shall include the following items in detail:

Casino Revenues; revenues net of complimentary services;

total costs and expenses; income before extraordi nary items

and net income.

b) Operators shall implement an internal control system that

meets the following minimum standards:

(1) Admi ni strat-j ye controls which include, but are not

limited to, the plan of organization and the procedures

and records which reflect the dcci sion process leading

to managements level of authorization of transactions.

(2) Accounting controls which include the plan of

organization and the procedures and records intended to

safeguard assets and ensure the reliahility of financial

records and are consequenti y designed to provide

reasonable assurance that:

(i) Transactions are executed in accordance with

managements general and specific authorization.

(ii) Transactions are recorded as necessary to permit

preparation of financial statements in conformity

with generally accepted accounting principles and

to maintain accountability for assets.

(iii) Access to assets is permitted only in accordance

with management authori zation.

(iv) Recorded accountability for assets is compared with

existing assets at reasonable intervals and

appropriate action is taken with respect to any

differences.

c) The i nternal control system shall ensure that personnel are

honest and competent and adequately trained in the applicable

procedures. Employee functions shall be segregated to ensure

that no employee is in a position to perpetrate or conceal

errors or irregularities in the normal course of their:

duties.

34
IJTE L~MIN5 CU1iMIS.~LIN TEL: 13~I0~1 ~eI: 02 03 17:20 No .001 P .:~

DATE ~ugU5t 5, 1993 RESOLUTION No. 4026

RESOLUTION

UTE MOUNTAIN TRIBAL COUNCIL

REFERENCE: Amendment to the Ute Mountain Ute Tribal Gaming

Ordjnance #3827

WHEREAS, the Constitution and ByLaws of the Ute Mountain Tribe,

approved June 6, 1940, arid subsequently amended, provides in

Article III that the governing body of the Ute Mountain Ute Tribe

is the Ute Mountain Cite Tribal Council and Bets forth in Article V

the powers of the Ute Mountain Ute Tribal Council exercised in this

Resolution; arid

WHEREAS, The Cite Mountain Cite Tribal Council has reviewed Section

301 of the Cite Mountain Cite Tribal Gaming Ordinance, arid finds it

necessary to repeal this regulated in a manner that protects the

public health, safety, and welfare of the Cite Mountain Cite Tribe,

its members, and the gaming public, and to prevent special

legislative advantage being granted to any specific operator;

NOW, THEREFORE BE IT RESOLVED A-ND ENACTED, that Sectiori 214, and

301 of the Cite Mountain Ute Tribal Gaming Ordinance are hereby

amended in the following particulars and to be effective as of

September 7, 1993;

BE IT FINALLY RESOLVED, that notice of these amendments will be

provided to the gaming enterprise operator, its key management

officials, and will publically posted so as to provide notice to

all licensed employees of the casino and the gaming public. Notice

of these amendments will be for a period of ten (10) days.

BE XT FINALLY RESOLVED, that the Chairperson of the Cite Mountain

Cite Tribe is authorized to sign the Resolution and is further

authorized to take such action as may be necessary to carry out the

intent of this ~esojution.

The foregoing Resolution was duly adopted this ~ day of A~gust

.1993.

~71~ght(1~Ær1~on

tite Mountain ibal Council

CEflT1FICATZON

This is to certify that there was a quorum of ~7 Tribal Council

Members present at the official meeting of the Cite Mountain Tribal

Council held on the above memtioned date, that 6 voted for and

0 -

opposed the above Resolution, and 0 -

abstained that the

above ResolutiOn was duly adopted.
i ~~3 i ~:~c~i TEL :1 3).3EiEE)2i4 1 :;e ~: C2 17:I Nc .CC2 F.05

Sh–~ley I*er, Secretary Ute Moun1~in Tribal Council

RESOLUTION NO. 4026

PACE 2 OF 2

Ute Mountain Ute
ilvi I I~1~ COMM I ~SON TEL :1 3C3~UO4i F: Ci~ ~i3 I Y~i 0 Nc 002 F.

PUBLIC NOTICE

UTE MOUNTAIN UTE TRIBAL COUNCIL

AMENDMENTS TO THE UTE MOUNTAIN UTE TRIBAL

GAMING ORDINANCE (#3827)

Pursuant to Section 208, Ute Mountain Ute Tribal Gaming

Ordinance, (Ordinance), notice is hereby given that the Ute

Mountain Ute Tribal Council has duly adopted the following

amendments to the Ordinance on August 18, 1993 which are

effective on September 7, 1993 in the following particulars:

SECTION 214. RIGHT TO APPEAL.

The subject shall have the right to appeal the A FINAL

determination of the Commission to the Tribal Council. for.a

do,wuo hearing1 Such appeal must be filed with the Tribal

Council in written form on or before the tenth (10th) day

following the FINAL determination of the Commission. THE

APPEAL WILL BE LIMITED TO A REVIEW OF THE

HEARING RECORD. The determination of such appeal by

the Tribal Council shall be final.

SECTION 301. REPEALED. APPLICATION FOR

GAMING ENTERP~RrIS-ES- -NOT ACCE4~-TEDJ

AUTOMATIC LICENS1Tt~G FOR-CURRENT-GAMING

ENTERPRISE.

Except-for--the- application-for-the gaming-ontorpriop under

conetruotion-on the-Ute Mountain Rcoorvetion on-the duy4his

Ordinaaoe- iaenacted, no-application for a-gamin~--ontorprioe

by-~ guming-oporator ahall-be-~ncooptod, andno -liaonoo for~

gaming ontcrprioo ahaIl-be-iosued~by the-Gaming Commiopion

until- thie- Ordinancein umen~d-th-provido-othorwo---Th~

gamingeiitorpri~o undo~-eonot.ruotion on --the day this

Ordinance iocnaotod ohall bc-isouod Clc*oo A and~-CIaua B

licenoco with-wa-i~toro of any appkoatiori-fooo. -Thooo-lioenees

shall ho renewed ouch year. th-waivoro---of-applieation-fooo

until thifl Or~dinanoein amended topro~ide othorwiec.

All persons having a legitim~to and hone tide interest in these

amendments are hereby invited to submit comments to the

Tribal Council on or before September 7~ 1993 do: Ute

Mountain Ute Gaming Commission, 377 Sunset Blvd., P.O.

Box BB, Towaoc, Colorado 81334 (you may also request a copy

of this notice at our offices, oi phone 303-565-8215).
DATE: February 9, 1995 RESOLUTION NO. 4148

RESOLUTION OF THE

UTE MOUNTAIN UTE TRIBAL COUNCIL

REFERENCE: AMENDMENTS TO THE UTE MOUNTAIN UTE TRIBE

UTE MOUNTAIN UTE RESERVATION GAMING ORDINANCE

WHEREAS, the Constitution and By-Laws of the Ute Mountain Tribe , approved June

6, 1940, and subsequently amended, provides in Article III that the governing body of the

Ute Mountain Ute Tribe is the Ute Mountain Ute Tribal Council and sets forth in

Article V the powers of the Ute Mountain Ute Tribal Council exercised in this

Resolution; and

WHEREAS, the Ute Mountain Ute Tribal Council has reviewed the Ute Mountain Ute

Tribe Ute Mountain Ute Reservation Gaming Ordinance and finds certain Amendments

are necessary to protect the public health, safety and welfare of the Ute Mountain Ute

Tribe and its members, to protect gaming as a means of promoting tribal economic

development, and to comply with applicable federal regulations; and

NOW THEREFORE, BE IT RESOLVED AND ENACTED, that the Amendments to the

Ute Mountain Ute Tribe Ute Mountain Ute Reservation Gaming Ordinance attached

hereto are hereby approved to be issued for public notice with public comment required

to be received by March 2, 1995, and with an effective date of March 17, 1995 subject to

further revision based upon comments received; and

BE IT FURTHER RESOLVED, that the Ute Mountain Ute Tribal Council will provide

notice of these proposed Amendments to all licensees and other person(s) whom the Ute

Mountain Ute Tribal Council has reason to believe have a legitimate and bonafide

interest in such proposed action; such notice to be by public notice, or as otherwise

determined by the Ute Mountain Ute Tribal Council; and

BE IT FURTHER RESOLVED, that the Chairman of the Ute Mountain Ute Tribal

Council is authorized to sign the Resolution and is further authorized to take such action

as may be necessary to carry out the intent of this Resolution.

The foregoing Resolution was duly adopted this 9th day of February, 1995.

-

/

Judy Knight-Frank, Chairman

Ute Mountain Ute Tribal Council

Page 1 of 2
CERTIFICATION

This is to certify that there was a quorum of 7 Tribal Council Members present at

the official meeting of the Ute Mountain Tribal Council held on the above mentioned

date, that 6 voted for and 0 opposed the above Resolution, and 0

abstained that the above Resolution was duly adopted.

Antoinette Tapoof, Secreta,py ~ Ute Mountain Tribal Coui~il -

APPROVAL

~L.Bl~z~~fl

Superintendent

Ute Mountain Ute Agency, Bureau of Indian Affairs

Page 2 of 2
AMENDMENTS TO THE

UTE MOUNTAIN UTE TRIBE GAMING ORDINANCE

UTE MOUNTAIN UTE INDIAN RESERVATION

PREAMBLE

The Ute Mountain Ute Tribal Council has adopted the following proposed Amendments to the Ute

Mountain Ute Tribe Ute Mountain Ute Reservation Gaming Ordinance (hereinafter Ordinance). The

Amendments are to be effective thirty (30) days from the date of adoption, pending receipt of public

comment. Following is a section by section summary of the proposed Amendments.

Section 101. Definitions. This section was amended to include and/or revise defmitions to meet or

exceed the requirements of 25 C.F.R. Part 502. Other revisions were made for clarity or consistency with

other provisions of this Ordinance. The definitions have been reordered to appear in alphabetical order.

Section 108. Ownership of Gaming. This provision was added to clarify the requirement of 25 C.F.R.

522.4(b)(1) that the Tribe shall have the sole proprietary interest in and ownership responsibility for any

gaming operation authorized pursuant to this Ordinance.

Section 109. Statutory References. This Section was added to expressly state that all references in this

Ordinance to Federal, Tribal and State statutes and regulations shall mean those statutes and regulations

currently in effect and as hereafter amended.

Section 204. Commission Duties. Paragraph 204(b)(6) was amended to clarify that the independent

audits of gaming activity will be conducted on an annual basis, pursuant to 25 C.F.R. § 522.4(b)(3).

Section 300. License Required. This provision was amended to conform to the amended definitions.

Section 302. Licenses for Key Employees and Primary Management Officials. This Section was

amended to provide that the Tribe will perform background investigations and issue licenses to key

employees and primary management officials according to requirements that meet or exceed those set forth

in 25 C.F.R. parts 556 and 558.

Section 305. Classes of Licenses. This section was amended to provide that tribal licenses are required

for each place, facility, or location where gaming occurs pursuant to 25 C.F.R. § 522.4(b)(6) and reiterates

the Commissions duty pursuant to Section 204(b)(5) to determine applicable license fees.

Section 306. Exemptions. This Section was amended to conform to the amended defmitions.

Section 315. Licenses for Management Contractors, Persons with Direct or Indirect Financial

Interests and Persons with Minority Interests. This Section was added to set forth certain requirements

and procedures for the background investigation and licensing of certain persons not specifically included

in other provisions of this Ordinance, including all parties entering into a management contract with the

Community, each person with a direct or indirect financial interest in a management contract and each

person with a minority interest in a management contract or management contractor. This provision

codifies certain standards developed by the Commission to insure that tribal gaming is conducted in the

best interest of the Tribe and its members, fairly and honestly and free from corrupting influences and

unsuitable or illegal practices.

-1-
Section 316. Submissionof Background Information. This provision was added to specify the time

frames for submission of the background information required in Section 315.

Section 317. Eligibility Determinations. This provision was added to specify the standard for

suitability for any person with a fmancial interest in or management responsibility for a management

contract that is subject to a background investigation pursuant to Section 315. The standard is essentially

the same as that applied to key employees and primary management officials pursuant to 25 C.F.R. Part

558.

Section 504. Contracts. This provision was amended to clarify that pursuant to 25 C.F.R. §

522.4(b)(4), all gaming related contracts for supplies, services or concessions for a contract amount in

excess of 825,000 annually (except for contracts for professional, legal or accounting services) shall be

subject to the outside independent audits provided for in Section 204(b)(6) of this Ordinance.

PROPOSED AMENDMENTS

Note: Only amended and new provisions to the Ute Mountain Ute Tribe Ute Mountain Ute

Reservation Gaming Ordinance appear below. Provisions which are not revised by these amendments

are not reproduced herein. Additions to text are indicated by upper case, bold face type; deletions to

text -are indicated by strikethroughs.

Section 101. Definitions

A) CLAss I GAMING SHALL MEAN ALL GAMING DEFINED AS CLASS I GAMING IN THE

INDIAN GAMING REGULATORY Acr, P.L. 100-497, 25 U.S.C. § 2703(6), AND SHALL MEAN

SOCIAL GAMES PLAYED SOLELY FOR PRIZES OF MINIMAL VALUE; OR TRADITIONAL FORMS

OF INDIAN GAMING ENGAGED IN BY INDIVIDUALS AS A PART OF, OR IN CONNECTION WITH,

TRIBAL CEREMONIES OR CELEBRATIONS.

B) CLASS II GAMING SHALL MEAN ALL GAMING DEFINED AS CLASS II GAMING IN THE

INDIAN GAMING REGULATORY Acr, P.L. 100-497, 25 U.S.C. § 2703(7)(A), AND SHALL

INCLUDE:

(1) BINGO OR wrro (WHETHER OR NOT ELECTRONIC, COMPUTER, OR OTHER

TECHNOLOGIC AIDS ARE USED) WHEN PLAYERS:

(A) PLAY FOR PRIZES WITH CARDS BEARING NUMBERS OR OTHER

DESIGNATIONS;

(B) COVER NUMBERS OR DESIGNATIONS WHEN OBJECFS, SIMILARLY NUMBERED

OR DESIGNATED, ARE DRAWN OR ELECTRONICALLY DETERMINED; AND

(C) WIN THE GAME BY BEING THE FIRST PERSON TO COVER A DESIGNATED

PATFERN ON SUCH CARDS;

(2) IF PLAYED IN THE SAME LOCATION AS BINGO OR LOTFO, PULL-TABS, PUNCH

BOARDS, TIP JARS, INSTANT BINGO, AND OTHER GAMES SIMILAR TO BINGO;

(3) NONBANKING CARD GAMES THAT RELEVANT STATE LAW EXPLICITLY AUTHORIZES

OR DOES NOT EXPLICITLY PROHIBIT AND ARE PLAYED LEGALLY ANYWHERE IN THE STATE;

AND PLAYERS PLAY IN CONFORMITY WITH STATE LAWS AND REGULATIONS CONCERNING

HOURS, PERIODS OF OPERATION, AND LIMITATIONS ON WAGERS AND POT SIZES.

C) CLAss UI GAMING SHALL MEAN ALL GAMING DEFINED AS CLASS UI GAMING IN THE

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INDIAN GAMING REGULATORY Acr, P.L. 100-497, 25 U.S.C. § 2703(8), AND SHALL

INCLUDE ALL FORMS OF GAMING THAT ARE NOT CLASS I OR CLASS II GAMING, INCLUDING

BUT NOT LIMITED TO:

(1) ANY HOUSE BANKING GAME, INCLUDING BUT NOT LIMITED TO:

(A) CARD GAMES SUCH AS BACCARAT, CHEMIN DE FER, BLACKJACK (21), AND

PAl COW (IF PLAYED AS HOUSE BANKING GAMES);

(B) CASINO GAMES SUCH AS ROULETFE, CRAPS, AND KENO;

(2) ANY SLOT MACHINES AS DEFINED IN 15 U.S.C. 117 1(A)(1) AND ELECTRONIC OR

ELECTROMECHANICAL FACSIMILES OF ANY GAME OF CHANCE;

(3) ANY SPORTS BETFING AND PARIMUTUEL WAGERING INCLUDING BUT NOT LIMITED

TO WAGERING ON HORSE RACING, DOG RACING OR JAI AL4J; OR

(4) LorrERlEs.

e-D) Community shall mean the Ute Mountain Ute Tribe; a federally recognized Indian tribe

organized by the membership pursuant to federal authority and approval, located on the Ute

Mountain Ute Reservation.

d-E) Compact shall mean that agreement ENTITLED THE UTE MOUNTAIN UTE TRIBE AND THE

STATE OF COLORADO GAMING COMPACT, concerning the operation of gamc~ of chancc

entered into on MAY 1, 1992, BETWEEN THE UTE MOUNTAIN UTE TRIBE AND with the State

of Colorado, pursuant to Scction 11 of the Indian Gaming Regulatory Act of 1988 P.L. 100-

497, CODIFIED AT 25 U.S.C. § 2701 ET SEQ. (1988) AND 18 U.S.C. §~ 1166-1168 (1988),

bctwccn the Community and the State

F) ELECTRONIC, COMPUTER OR OTHER TECHNOLOGIC AID SHALL MEAN A DEVICE SUCH AS

A COMPUTER, TELEPHONE, CABLE, TELEVISION, SATELLITE OR BINGO BLOWER THAT WHEN

USED: (1) IS NOT A GAME OF CHANCE, BUT MERELY ASSISTS A PLAYER OR THE PLAYING

OF A GAME; (2)xs READILY DISTINGUISHABLE FROM THE PLAYING OF A GAME OF CHANCE

ON AN ELECTRONIC OR ELECTROMECHANICAL FACSIMILE; AND (3) IS OPERATED

ACCORDING TO APPLICABLE FEDERAL COMMUNICATIONS LAW.

C) ELECTRONIC OR ELECTROMECHANICAL FACSIMILE SHALL MEAN ANY GAMBLING DEVICE

AS DEFINED IN 15 U.S.C. 1171(A)(2) OR (3).

cH) Gambling equipment shall mean the bingo cards or sheets, devices for selecting bingo

numbers, pull-tabs, jar tickets, paddlewbeels, tipboards, tables, slot machines, etc.

mmmriniv rmrrrrn rn nQ rini~~rr nfMrw I

~---------- immhIi~

a I) Game of chance shall mean electronic or clcctromcchanical dcvicc3 that simulate

-

., ~~ ~

or other ~forms, whick ~. by the ~~in of a corn, token,

currency, and which award ~ -

~ ,

and- a meter or

nrvirY~ rr~ rrr~rr1 iinr~I~ui~i1 rr,j-,ir~ rtr rrrtt~v1i- f~r nrnrrwi~r ~nnii n~v~ thr ~anir n~run~n~ n~

-

credits. -

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in rouicttc, ii.nc up 3ymnf~I~~ nnrl nnmhrr~i

tnl,,-no nr ~cniavi~. contain

~J~7

term ANY FORM OF GAMING WHICH IS Class III gaming as defined by the Indian Gaming

Regulatory Act , of 1988, codified at 25 U.S.C. 2703(8 P.L. 100-497, 25 U.S.C. § 2703(8),

AND 25 C.F.R. § 502.4.

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j) GAME SIMILAR TO BINGO SHALL MEAN ANY GAME THAT MEETS THE REQUIREMENTS

FOR BINGO UNDER SEcrioN 101(B) OF THIS ORDINANCE AND THAT IS NOT A HOUSE

BANKING GAME UNDER SECTION 101 (C) OF THIS ORDINANCE.

b-K) Gaming Commission shall mean the Ute Mountain Gaming Commission as provided for by

the terms of this Ordinance.

f) Gaming shall mean the act of paying for thc opportunity and participation in a game or

gamcs of chance for money or 3omcthing of value, whcrc motor skills play no part and arc of

no consequence in dctermining the outcome of the game; to opcratc, carry on, conduct,

maintain, or cxposc for play, money, property, or any representative of value whcrcin the

outcomc of a game is decided by chance or in which chance is a matcrial clcmcnt, but docs

riot includc ~ jlayed 3OlCIy fo~-

enncnmnhk goods, i.e., foodstuffs or games played

in private homc3 or residences for pnzcs or games operated by charitable and educational

organizations-which arc approved by thc Commission

g-L) Gaming Enterprise OR GAJ~iING OPERATION shall mean any commercial business owned

by the Community and operated, in part or in whole, for the conduct of bingo, the 3alc of pull

tabs, gaming in general and the conduct of other games of chance WHICH OPERATES CLASS

II OR CLASS III GAMING PURSUANT TO THIS ORDINANCE. A GAMING ENTERPRISE MAY BE

OPERATED BY THE UTE MOUNTAIN UTE TRIBE DIRECTLY OR BY A MANAGEMENT

CONTRACTOR.

b-M) Gaming Operator shall mean a person, organization or entity that conducts the management

of gaming at a Community gaming enterprise; including an entity entering into a management

contract with the Community or the Community itself or any subdivision thereof.

IN) Gaming test laboratory shall mean as contemplated by Section 8 of the Tribal/State Compact

regarding video games of chance a laboratory agreed to and designated in writing by the

Commission and appointed State Board BY THE COLORADO LIMrFED GAMING CONTROL

COMMISSION OR THE COLORADO DIVISION OF GAMING as competent and qualified to

conduct scientific tests and evaluations of video games of chance and related equipment; a

laboratory operated by or under contract with THE COLORADO LIMITED GAMING CONTROL

COMMISSION OR THE COLORADO DIvIsIoN OF GAMING.

0) HOUSE BANKING GAME SHALL MEAN ANY GAME OF CHANCE THAT IS PLAYED WITH THE

HOUSE AS A PARTICIPANT IN THE GAME, WHERE THE HOUSE TAKES ON ALL PLAYERS,

COLLECTS FROM ALL LOSERS, AND PAYS ALL WINNERS, AND THE HOUSE CAN WIN.

~ P) Indian Gaming Regulatory Act of 1988 or INDIAN GAMING REGULATORY ACT shall

mean the Act of the United States Congress adopted on October 17, 1988, as Public Law 100-

497, 102 Stat. 2467, codified at 25 U.S.C. 2701, et seq. (1988) AND 18 U.S.C. §* 1166-1168

(1988).

k) Key Employees shall mean persons who serve as the General Manager of a gaming

cntcrprisc, persons who have, alone or with others, the authority to sign checks or create or

uiscnargc itnanciai ooiigauons for a gaming enterprise, persons wno nave any contact with a

money room-of a gaming operation, management, maintenance or other substantial contract of

r~r with aamcs ~f rhnnr~r nr r,thi~r aamblin~ cauiDmcnt

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It oJ KEY EMPLOYEE SHALL MEAN:

(1) A PERSON WHO PERFORMS ONE OR MORE OF THE FOLLOWING FUNCTIONS:

(I) BINGO CALLER;

(LI) COUNTING ROOM SUPERVISOR;

(ifi) CHIEF OF SECURITY;

(iv) CUSTODIAN OF GAMING SUPPLIES OR CASH;

(v) FLOOR MANAGER;

(vi) PIT BOSS;

(vu) DEALER;

(viii) CROUPIER;

(ix) APPROVER OF CREDIT;

(x) CUSTODIAN OF GAMBLING DEVICES INCLUDING PERSONS WITH

ACCESS TO CASH AND ACCOUNTING RECORDS WITHIN SUCH DEVICES; OR

(xi) GENERAL MANAGER;

(2) IF NOT OTHERWISE INCLUDED, ANY OTHER PERSON WHOSE TOTAL CASH

COMPENSATION IS IN EXCESS OF $50,000 PER YEAR; OR

(3) IF NOT OTHERWISE INCLUDED, THE FOUR MOST HIGHLY COMPENSATED

PERSONS IN A GAMING ENTERPRISE; OR

(4) IF NOT OTHERWISE INCLUDED, PERSONS WHO HAVE, ALONE OR WITH

OTHERS, THE AUTHORITY TO SIGN CHECKS OR CREATE OR DISCHARGE FINANCIAL

OBLIGATIONS FOR A GAMING ENTERPRISE.

~ R) License shall mean the permission by authority of the Commission to do an act; which,

without such permission, shall be illegal. License, with respect to real property of the

Community, is a privilege to go on the premises for a certain purpose, but does not operate to

confer on, vest in, or license any title, interest, or estate in such property.

m 5) Licensee shall mean any person, entity or organization granted a license pursuant to the

provisions of this Ordinance.

T) MANAGEMENT CONTRACL~ SHALL MEAN ANY CONTRACT, SUBCONTRACT, OR

COLLATERAL AGREEMENT BETWEEN THE UTE MOUNTAIN UTE TRIBE, OR BETWEEN A

CONTRACTOR AND A SUBCONTRACTOR, W SUCH CONTRACT OR AGREEMENT PROVIDES FOR

THE MANAGEMENT OF ALL OR PART OF A GAMING ENTERPRISE OR GAMING OPERATION.

NOTHING IN THIS PROVISION SHALL BE DEEMED TO GIVE A CONTRACTOR A RIGHT TO

SUBCONTRACT WITHOUT THE PRIOR EXPRESS WR!TFEN APPROVAL OF THE UTE MOUNTAIN

UTE TRIBAL COUNCIL, IF SUCH RIGHT IS NOT EXPRESSLY GRANTED IN THE MANAGEMENT

CONTRACT WITH THE TRIBE.

u) MINoRrrY INTEREST SHALL MEAN AN OWNERSHIP INTEREST OF FIVE (5) PERCENT OR

MORE IN A MANAGEMENT CONTRACT OR IN A GAMING OPERATOR THAT HAS ENTERED

INTO A MANAGEMENT CONTRACT WITH THE COMMUNITY.

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v) Other Compacts shall mean such agreements as may in the future be entered into between

the Community and the State governing Class III gaming as that term is defined by the Indian

Gaming Regulatory Act of 1988, codified at 25 U.S.C. 2703(8).

p) Other games of chance shall mean games similar to traditional bingo in which prizes arc

~.-,.-,,, .,J -,,

symbols determined by chance. Such games may bc played using pull tabs, raffles,

paddlcwhccls, tipboards, punchboards, tip jars, gaming tables, tokcn~, video games as defined

in the Indian Gaming Regulatory Act of 1988, codified at 25 U.S.C. 2703(7)(A). Any game

of chance which is not prohibited by thc criminal laws of the State, or is subject to permissive

regulation pursuant to State law, Chapter 349 or successor legislation shall be included in this

definition.

w) PERSON HAVING A DIRECT OR INDIRECT FINANCIAL INTEREST IN A MANAGEMENT

CONTRACI SHALL MEAN:

(1) WHEN A PERSON IS A PARTY TO A MANAGEMENT CONTRACF, ANY PERSON

HAVING A DIRECT FINANCIAL INTEREST IN SUCH MANAGEMENT CONTRACF;

(2) WHEN A TRUST IS A PARTY TO A MANAGEMENT CONTRACT, ANY

BENEFICIARY OR TRUSTEE;

(3) WHEN A PARTNERSHIP IS A PARTY TO A MANAGEMENT CONTRACT, ANY

PARTNER;

(4) WHEN A CORPORATION IS A PARTY TO A MANAGEMENT CONTRACT, ANY

PERSON WHO IS A DIRECTOR OR WHO HOLDS AT LEAST 10% OF THE ISSUED AND

OUTSTANDING STOCK ALONE OR IN COMBINATION WITH ANOTHER STOCKHOLDER

WHO IS A SPOUSE, PARENT, CHILD OR SIBLING;

(5) WHEN AN ENTITY OTHER THAN A NATURAL PERSON HAS AN INTEREST IN A

TRUST, PARTNERSHIP OR CORPORATION THAT HAS AN INTEREST IN A MANAGEMENT

CONTRACT, ALL PARTIES OF THAT ENTITY ARE DEEMED TO BE PERSONS HAVING A

DIRECT FINANCIAL INTEREST IN A MANAGEMENT CONTRACT.

ft x) P1UMARY Management Officials shall mean (1) any persons who have has a direct OR

INDIRECT financial interest in, or management responsibility for A MANAGEMENT CONTRACT

a gaming enterprise licensed pursuant to the provisions of this Ordinance, and in the case of a

corporation, shall include those individuals who serve on the Board of Directors of such

corporation and each of its stockholders who hold directly or indirectly, 10% or more of its

issued and outstanding stock (2) ANY PERSON HAVING MANAGEMENT RESPONSIBILITY FOR A

MANAGEMENT CONTRACT OR GAMING ENTERPRISE; (3) ANY PERSON WHO HAS AUTHORITY

TO HIRE AND FIRE EMPLOYEES, OR TO SET UP WORKING POLICY FOR A GAMING

ENTERPRISE; OR (4) THE CHIEF FINANCIAL OFFICER OR OTHER PERSON WHO HAS

FINANCIAL MANAGEMENT RESPONSIBILITY FOR THE GAMING ENTERPRISE.

q Y) Shall is used in this Ordinance as imposing an obligation to act.

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z) SUPPORT EMPLOYEE SHALL MEAN ANY PERSON EMPLOYED N THE FIELD OF LIMITED

GAMING, OTHER THAN A KEY EMPLOYEE OR A PRIMARY MANAGEMENT OFFICIAL, WHOSE

DUTIES REQUIRE OR AUTHORIZE THEM TO GAIN UNESCORTED ACCESS TO RESTRICTED

AREAS OF THE GAMING FACILITY NOT OTHERWISE OPEN TO THE PUBLIC.

r) Traditional bingo shall mean that game in which each player is supplied a cord sic~ or board

containing five adjoining horizontal and vertical rows with five spaces in-each row each

containing a number or figure thcrcin and thc word frcc marked in the center space thereof,

or in which such a card or board is represented on a vidco screen. Upon announcement by the

person conducting thc game or the appearance on the video screen of any number or figure

appearing on thc players card or board, the space containing said figurc or-number is covcrcd

by the player. V/hen the player has covered all five spaces in any horizontal and vertical row,

or has covered four spaces and the free space in a five space diagonal row, or shall have

covered the required combination of spaces in some other preannounced pattern or

arrangement, such combination of spaces covered shall constitute bingo. The player or

r,I*urrQ to first announce kin~~ arc awarded money, merchandise, or some other

consideration by the person persons sic) conducting the game

a AA) Tribal Council shall mean the governing board of the Ute Mountain Tribal Ute Tribe, duly

elected in accordance with the terms of the Constitution and By-Laws for governing the Ute

Mountain Ute Tribe adopted June 6, 1940 and subsequently amended.

JIB) Net Revenues shall mean gross revenues of an Indian gaming operation Iess--(a)

Amounts paid out as, or paid for, prizes; and (b) Total gaming-related operating

expenses, excluding management fees.

SECTION 108. OWNERSHIP OF GAMING

THE 1RIBE SHALL HAVE THE SOLE PROPRIETARY INTEREST IN AND OWNERSHIP RESPONSIBILITY FOR

ANY GAMING OPERATION AUThORIZED BY THIS ORDINANCE.

SECtiON 109. STATUTORY REFERENCES

ALL REFERENCES IN mis ORDINANCE TO FEDERAL, TRIBAL AND STATE STATUTES AND REGULATIONS

SHALL MEAN THOSE STATUTES AND REGULATIONS CURRENTLY IN EFFECT AND AS HEREAFTER

AMENDED.

Section 204. Commission Duties.

b) It shall be the responsibility of the Commission to promulgate regulations necessary to

administer the provisions of this Ordinance. The duties involved in the administration of this

Ordinance shall include but not be limited to the following.

(6) Providing for THE CONDUCT OF AN ANNUAL outside independent audit9 of all gaming

activity and presentiNG thosc THE RESULTING audits REPORTS to the National Indian Gaming

Commission;

Section 300. License Required.

Any person, organization or entity (including PRIMARY management officials and key employees),

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conducting a public gaming enterprise pursuant to the provisions of this Ordinance on lands within the

exterior boundaries of the Ute Mountain Ute Tribe RESERVATION or on other lands which are subject

to the jurisdiction of the Ute Mountain UTE Tribe, and any person, organization or entity selling,

leasing or otherwise distributing gambling equipment or games of chance to any public gaming

enterprise on lands within the exterior boundaries of the Ute Mountain Reservation or on other lands

which are subject to the jurisdiction of the Ute Mountain UTE Tribe, shall be required to have and

display prominently, or display upon request, an appropriate, valid and current Ute Mountain UTE

Tribal gaming license issued pursuant to the provisions of this Ordinance. Any other forms of public

gaming operations being conducted within the jurisdiction of the Ute Mountain UTE Tribe without the

lawful written approval of the Gaming Commission are prohibited.

Section 302. Application for Management Officials and Key Employees and Other Employees

The application for management officials and key employees of any gaming operator or the Utc

Mountain Utc Tribe shall contain:

a) The name and address of each proposed management official and proposed key

employee:

b) Explicit and dctailcd information of any criminal record of the applicant in order to

determine whether the applicant:

( has committed a felony or gaming offense in any jurisdiction;

( has engaged in any prior activities, or maintains any habits or

associations affecting his present conduct which would:

( pose a threat to the public and Utc Mountain Tribes interest;

( threaten the effective regulation and control of gaming;

( enhance the dangers of unsuitable, unfair, or illegal mcthods,

or activities in the conduct of gamthg~

c) Thc social security number of thc applicant;

d) A description of any previous cxpericncc which the applicant has had with the gaming industry

generally, and Indian gaming in particular, including specifically the name and address of any

licensing or regulatory agency with which such person has had contact relating to gaming;

c) A financial statement from the applicant;

f) Thc applicants commitment to provide any additional information as may be required by the

Commission;

g) Any additional information, including the fingerprints of the applicant, as may be determined

1w th~ Gaming Commissioit

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SECTION 302. LICENSES FOR KEY EMPLOYEES AND PRIMARY MANAGEMENT OFFICIALS

THE GAMING COMMISSION SHALL INSURE THAT THE POLICIES AND PROCEDURES SET OUT N THIS

SECTION ARE IMPLEMENTED WITH RESPECT TO KEY EMPLOYEES AND PRIMARY MANAGEMENT

OFFICIALS EMPLOYED AT ANY GAMING ENTERPRISE OR BY ANY GAMING OPERATOR:

A) APPLICATION FORMS. THE APPLICATION FORM FOR A KEY EMPLOYEE OR A PRIMARY

MANAGEMENT OFFICIAL SHALL CONTAIN TIlE PRIVACY ACT NOTICE REQUIRED BY 25 C.F.R. §

556.2 AND THE NOTICE REGARDING FALSE STATEMENTS REQUIRED BY 25 C.F.R. § 5563. THE

GAMING COMMISSION SHALL COMPLY WITH THE REQUIREMENTS OF 25 C.F.R. §~ 556.2 AND 5563

FOR OBTAINING SIGNED STATEMENTS CONTAINING THESE NOTICES FROM ALL KEY EMPLOYEES

AND PRIMARY MANAGEMENT OFFICIALS WHO COMPLETED APPLICATIONS THAT DID NOT CONTAIN

THESE NOTICES.

B) BACKGROUND INVESTIGATIONS. THE GAMING COMMISSION SHALL PERFORM A

BACKGROUND INVESTIGATION FOR EACH PRIMARY MANAGEMENT OFFICIAL AND EACH KEY

EMPLOYEE OF ANY GAMING OPERATION IN ACCORDANCE WITH THE REQUIREMENTS OF 25 C.F.R.

PART 556. THE GAMING COMMISSION SHALL CONDUCT AN INVESTIGATION SUFFICIENT TO MAKE

A DETERMINATION UNDER SECTION 302 (C) OF THIS ORDINANCE. IN CONDUCTING A

BACKGROUND INVESTIGATION, THE GAMING COMMISSION SHALL KEEP CONFIDENTIAL THE

IDENTITY OF EACH PERSON INTERVIEWED IN THE COURSE OF THE INVESTIGATION EXCEPT AS

OTHERWISE PERMITFED BY LAW. AT A MINIMUM, THE GAMING COMMISSION SHALL REQUEST

FROM EACH PRIMARY management official and from each key employee all of the following

information:

1) FULL NAME, OTHER NAMES USED (ORAL AND/OR WRITTEN), SOCIAL

SECURITY NuMBER(S), BIRTH DATE, PLACE OF BIRTH, CITIZENSHIP, GENDER, ALL

LANGUAGES SPOKEN AND/OR WRITFEN, STATE AND COUNTRY OF RESIDENCE FROM

AGE EIGHTEEN (18) TO THE PRESENT;

2) CURRENTLY AND FOR THE PREVIOUS TEN (10) YEARS: ALL BUSINESS AND

EMPLOYMENT POSITIONS HELD, ALL OWNERSHIP INTERESTS IN THOSE BUSINESSES,

ALL BUSINESS AND RESIDENCE ADDRESSES, AND ALL DRIVERS UCENSE NUMBERS;

3) 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 SECTION

302(B)(2) OF THIS ORDINANCE;

4) CuRRENT BUSINESS AND RESIDENCE TELEPHONE NUMBERS;

5) A DESCRIPTION OF ANY EXISTING AND PREVIOUS BUSINESS RELATIONSHIPS

WITH INDIAN TRIBES, INCLUDING OWNERSHIP INTERESTS IN AND/OR MANAGEMENT

RESPONSIBILITY FOR THOSE BUSINESSES, AND A DESCRIPTION OF ANY EXISTING

AND PREVIOUS BUSINESS RELATIONSHIPS BETWEEN ANY INDIAN TRIBE AND ANY

ENTITY IN WHICH APPLICANT HAS MANAGEMENT RESPONSIBILITY, IS A PARTNER,

BENEFICIARY, TRUSTEE, OFFICER OR DIRECTOR OR HOLDS AT LEAST 10% OF THE

ISSUED AND OUTSTANDING STOCK ALONE OR IN COMBINATION WITH ANOTHER

STOCKHOLDER WHO IS A SPOUSE, PARENT, CHILD OR SIBLING, OR OTHERWISE HAS

A DIRECT OR INDIRECT FINANCIAL INTEREST IN A MANAGEMENT CONTRACT AS

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DEFINED IN SECTION 101(w) OF THIS ORDINANCE;

6) A DESCRIPTION OF ANY EXISTING AND PREVIOUS BUSINESS RELATIONSHIPS

WITH THE GAMING INDUSTRY GENERALLY, INCLUDING OWNERSHIP INTERESTS IN

AND/OR MANAGEMENT RESPONSIBILITY FOR THOSE BUSINESSES AND A DESCRIPTION

OF ANY EXISTING AND PREVIOUS BUSINESS RELATIONSHIPS BETWEEN ANY GAMING

ENTITY AND ANY ENTITY IN WHICH APPLICANT HAS MANAGEMENT RESPONSIBILITY,

IS A PARTNER, BENEFICIARY, TRUSTEE, OFFICER OR DIRECTOR OR HOLDS AT

LEAST 10% OF THE ISSUED AND OUTSTANDING STOCK ALONE OR IN COMBINATION

WITH ANOTHER STOCKHOLDER WHO IS A SPOUSE, PARENT, CHILD OR SIBLING, OR

OTHERWISE HAS A DIRECT OR INDIRECT FINANCIAL INTEREST IN A MANAGEMENT

CONTRACT AS DEFINED IN SECTION 101(w) OF THIS ORDINANCE;

7) THE NAME AND ADDRESS OF ANY LICENSING OR REGULATORY AGENCY

WITH WHICH THE PERSON HAS FILED AN APPLICATION FOR A LICENSE OR PERMIT

RELATED TO GAMING, WHETHER OR NOT SUCH LICENSE OR PERMIT WAS GRANTED;

8) 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;

9) FOR EACH MISDEMEANOR CONVICTION AND EACH CHARGE FOR WHICH

THERE IS AN ONGOING MISDEMEANOR PROSECUTION (EXCLUDING MINOR TRAFFIC

VIOLATIONS), IF SUCH CONVICTION OR CHARGE IS WITHIN TEN (10) YEARS OF THE

DATE OF THE APPLICATION, THE NAME AND ADDRESS OF THE COURT INVOLVED

AND THE DATE AND DISPOSITION;

10) FOR EACH CRIMINAL CHARGE (EXCLUDING MINOR TRAFFIC CHARGES),

WHETHER OR NOT THERE IS A CONVICTION, IF SUCH CRIMINAL CHARGE IS WITHIN

TEN (10) YEARS OF THE DATE OF THE APPLICATION AND IS NOT OTHERWISE LISTED

PURSUANT TO SECTION 302(B)(8) OR (9) OF THIS ORDINANCE, THE CRIMINAL

CHARGE, THE NAME AND ADDRESS OF THE COURT INVOLVED AND THE DATE AND

DISPOSmON;

11) FOR EACH LAWSUIT IN WHICH THE APPLICANT IS A PARTY, FILED WITHIN

TEN (10) YEARS OF THE DATE OF THE APPLICATION, THE NAME AND ADDRESS OF

THE COURT INVOLVED, CASE NUMBER, CAUSES OF ACTION, DATE THE ACTION WAS

FILED, DISPOSITION AND DATE OF DISP0SmON;

12) THE NAME AND ADDRESS OF ANY LICENSING OR REGULATORY AGENCY

wrru WHICH THE PERSON HAS FILED AN APPLICATION FOR AN OCCUPATIONAL

LICENSE OR PERMIT, WHETHER OR NOT SUCH LICENSE OR PERMIT WAS GRANTED;

13) TwO CURRENT PHOTOGRAPHS;

14) A COMPLETE FINANCIAL STATEMENT SHOWING ALL SOURCES OF INCOME

FOR THE PREVIOUS FIVE (5) YEARS, AND ASSETS, LIABILITIES, AND NET WORTH AS

OF THE DATE OF THE SUBMISSION;

-10-
15) THE APPLICANT~S WRUTEN CERTIFICATION THAT IT HAS PROVIDED ALL

INFORMATION PREVEOUSLY REQUESTED BY THE TRIBE, OR IF NOT, A DESCRIPTION

OF ALL OUTSTANDING REQUESTS FOR INFORMATION FROM THE TRIBE, THE DATES

REQUESTED AND REASON FOR NOT PROVIDING THE REQUESTED INFORMATION;

16) THE, APPLICANTS WRrITEN COMMITMENT TO PROVIDE ANY ADDITIONAL

INFORMATION AS MAY BE REQUIRED BY THE COMMISSION;

17) ANY OTHER INFORMATION THE GAMING COMMISSION DEEMS RELEVANT;

AND

18) FINGERPRINTS CONSISTENT WITH PROCEDURES ADOPTED BY THE GAMING

COMMISSION PURSUANT TO 25 C.F.R. § 522.2(H).

C) ELIGIBILITY DETERMINATION. THE GAMING COMMISSION SHALL REVIEW A PERSONS

PRIOR ACTIVITIES, CRIMINAL RECORD, IF ANY AND REPUTATION, HABITS AND ASSOCIATIONS TO

MAKE A FINDING CONCERNING THE ELIGIBILITY OF A KEY EMPLOYEE OR PRIMARY MANAGEMENT

OFFICIAL FOR EMPLOYMENT IN A GAMING OPERATION. IF THE GAMING COMMISSION IN

APPLYING THE STANDARDS ADOPTED IN THIS ORDINANCE DETERMINES THAT EMPLOYMENT OF

THE PERSON POSES A THREAT TO THE PUBLIC INTEREST OR TO THE EFFECTIVE REGULATION OF

GAMING, OR CREATES OR ENHANCES DANGERS OF UNSUITABLE, UNFAIR, OR ILLEGAL PRACTICES

AND METHODS AND ACTIVITIES IN THE CONDUCT OF GAMING OR THE CARRYING ON OF RELATED

BUSINESS AND FINANCIAL ARRANGEMENTS, THAT PERSON SHALL NOT BE LICENSED AS A KEY

EMPLOYEE OR PRIMARY MANAGEMENT OFFICIAL AND A GAMING ENTERPRISE SHALL NOT EMPLOY

THAT PERSON IN A KEY EMPLOYEE OR PRIMARY MANAGEMENT OFFICIAL POSITION.

D) PROCEDURES FOR FORWARDING APPLICATIONS AND REPORTS FOR KEY EMPLOYEES AND

PRIMARY MANAGEMENT OFFICIALS TO THE NATIONAL INDIAN GAMING COMMISSION. THE

GAMING COMMISSION SHALL FOLLOW THE PROCEDURES FOR FORWARDING APPLICATIONS AND

REPORTS OF BACKGROUND INVESTIGATIONS FOR KEY EMPLOYEES AND PRIMARY MANAGEMENT

OFFICIALS TO THE NATIONAL INDIAN GAMING COMMISSION AS SET FORTH IN 25 C.F.R. PARTS

556 AND 558.

E) REPORT TO THE NATIONAL INDIAN GAMING COMMISSION.

(1) THE GAMING COMMISSION SHALL PREPARE AND FORWARD TO THE NATIONAL

INDIAN GAMING COMMISSION AN INVESTIGATIVE REPORT ON EACH BACKGROUND

INVESTIGATION PREPARED N ACCORDANCE WITH THE REQUIREMENTS OF SECTION 302(D)

OF THIS ORDINANCE. INVESTIGATIVE REPORTS SHALL INCLUDE THE STEPS TAKEN IN

CONDUCTING A BACKGROUND INVESTIGATION; RESULTS OBTAINED; CONCLUSIONS

REACHED; AND THE BASES FOR THOSE CONCLUSIONS.

(2) THE GAMING COMMISSION SHALL SUBMIT, WITH THE INVESTIGATIVE REPORT, A

COPY OF THE ELIGEBILITY DETERMINATION MADE UNDER SECTION 302(C) OF THIS

ORDINANCE.

(3) IF A LICENSE IS NOT ISSUED TO AN APPLICANT, THE GAMING COMMISSION SHALL

NOTIFY THE NATIONAL INDIAN GAMING COMMISSION AND MAY FORWARD COPIES OF 11S

ELIGIBILITY DETERMINATION AND INVESTIGATIVE REPORT, IF ANY, TO THE NATIONAL.

INDIAN GAMING COMMISSION FOR INCLUSION IN THE INDIAN GAMING INDIVIDUALS

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RECORD SYSTEM.

(4) WITH RESPECT TO KEY EMPLOYEES AND PRIMARY MANAGEMENT OFFICIALS, THE

GAMING COMMIssIoN SHALL RETAIN APPLICATIONS FOR EMPLOYMENT AND REPORTS, IF

ANY, OF BACKGROUND INVESTIGATIONS FOR INSPECrION BY THE CHAIRMAN OF THE

NATIONAL INDIAN GAMING COMMISSION OR HIS OR HER DESIGNEE FOR NO LESS THAN

THREE (3) YEARS FROM THE DATE OF TERMINATION OF EMPLOYMENT.

F) GRANTING OF A GAMING LICENSE. THE GAMING COMMISSION SHALL FOLLOW THE

PROCEDURES FOR ISSUING OR NOT ISSUING A GAMING LICENSE AS SET FORTH IN 25 C.F.R. §

558.4.

G) SUSPENSION OF A GAMING LICENSE. THE GAMING CoMMissioN SHALL COMPLY WITH THE

PROCEDURES FOR SUSPENDING A GAMING LICENSE AS SET FORTH IN 25 C.F.R. § 558.5.

(1) IF, AFTER THE ISSUANCE OF A GAMING LICENSE, THE GAMING COMMISSION

RECEIVES FROM THE NATIONAL INDIAN GAMING COMMISSION RELIABLE INFORMATION

INDICATING THAT A KEY EMPLOYEE OR A PRIMARY MANAGEMENT OFFICIAL IS NOT

ELIGIBLE FOR EMPLOYMENT UNDER SECFION 302(C) OF THIS ORDINANCE, THE GAMING

COMMISSION SHALL SUSPEND SUCH LICENSE AND SHALL NOTIFY THE LICENSEE IN WRITING

OF THE SUSPENSION AND THE PROPOSED REVOCATION.

(2) THE GAMING COMMISSION SHALL NOTIFY THE LICENSEE OF A TIME AND A PLACE

FOR A HEARING ON THE PROPOSED REVOCATION OF A LICENSE.

(3) AFTER A REVOCATION HEARING, THE GAMiNG COMMISSION SHALL DECIDE TO

REVOKE OR TO REINSTATE A GAMING LICENSE. THE GAMING COMMISSION SHALL NOTIFY

THE NATIONAL INDIAN GAMING COMMISSION OF ITS DECISION.

H) Any other employee not holding a POSITION AS A PRIMARY management OFFICIAL position or a

key cmploymcnt position EMPLOYEE shall be required to fill out an employment application provided

by the gaming operator or the Ute Mountain UTE Tribe and shall be required to submit to a

background check with local law enforcement authorities chosen by the gaming operator or the Ute

Mountain UTE Tribe and leave stteh a set of fmgerprints on file with said authorities a act of

fmgcrprints

Section 305. Cl~ses of Licenses.

THE GAMING COMMISSION SHALL ISSUE A SEPARATE LICENSE TO EACH PLACE, FACILITY, OR

LOCATION WHERE CLASS LI OR CLASS HI GAMING IS CONDUCTED PURSUANT TO THIS ORDINANCE.

Upon proper application and approval, the following classes of licenses may be issued by the Gaming

Commission:

a) Class A license for a gaming cntcrpri3c in which TO a gaming operator wishcs to conduct

traditional bingo and othcr gamcs of chancc CLASS H GAMING at a Tribal gaming enterprise. The

license shall be site specific, valid for a period of one year and shall have an application fee TO BE

ESTABLISHED BY THE GAMING COMMISSION.

b) Class B license for a gaming cntcrprisc in which TO a gaming operator wishca to conduct

gamcs of chancc CLASS III GAMING at a Tribal gaming enterprise. The license shall be site specific,

valid for a period of one year and shall have an application fee TO BE ESTABLISHED BY THE GAMING

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COMMISSION.

c) CLASS C LICENSES.

(1) Class C license to any PRIMARY management official or key employee of either a

gaming operator or the Tribe; the license shall be valid for a period of one year and shall have

an application fee of $30.00 TO BE ESTABLISHED BY THE GAMING COMMISSION, and a

(2) Class C-i license to any other SUPPORT employee, not licensed as a primary

management official or a gaming cntcrprisc KEY EMPLOYEE licensed under the provisions of

this ORDINANCE AND NOT A UTE MOUNTAIN UTE TRIBAL MEMBER; the license shall be valid

for a period of one year and shall have an application fee TO BE ESTABLISHED BY THE

GAMING COMMIssIoN.

(3) CLAsS C-2 SUPPORT LICENSE TO ANY Um MOUNTAIN UTE TRIBAL MEMBER NOT

LICENSED AS A PRIMARY MANAGEMENT OFFICIAL OR AS A KEY EMPLOYEE LICENSED

UNDER THE PROVISIONS OF THIS ORDINANCE. THE LICENSE SHALL BE VALID FOR A

PERIOD OF ONE YEAR AND MAY HAVE AN APPLICATION FEE TO BE ESTABLISHED BY THE

GAMING COMMISSION. THE GAMING COMMISSION MAY IN ITS DISCREFION DETERMINE

THAT THERE WILL BE NO APPLICATION FEE FOR CLASS C-2 LICENSES.

d) Class D license to any distributor or manufacturer of gambling equipment and/or games of

chance THAT RECEIVES AN AMOUNT EQUAL TO OR IN EXCESS OF TWENTY-FIVE THOUSAND

DOLLARS ($25,000) PER YEAR FOR GAMBLING EQUIPMENT AND/OR GAMES OF CHANCE to be used

in a Tribal gaming enterprise. The license shall have an application fee TO BE ESTABLISHED BY THE

GAMING CoMMIssION.

e) Class £ license for each game of chance to be used in a tribal gaming enterprise; the license

shall be valid for a period of one year and shall have an application fee TO BE ESTABLISHED BY THE

GAMING COMMISSION.

Section 306. Exemptions

a) The following activities are not public gaming opcrations CLASS H OR CLASS III GAMING

under the terms of this ordinance and, therefore, do not require a license under this title:

(1) Gaming not for gain. Gaming in which no cash or valuable prizes are won,

other than points for cumulative competitive ratings or places for immediate

competitive rankings, is not subject to the provisions of this Ordinance. However,

gaming for gain which is conducted by a non-profit organization is subject to the

requirements of this Ordinance if cash of valuable prizes are awarded. Valuables

prize means an object or service worth One Hundred Dollars ($100.00) or more in

fair market value.

(2) Traditional Indian Gaming. Traditional Indian Gaming activity, in the nature

of hand games, are not subject to the provisions of this ordinance when engaged in by

individuals as a part of, or in connection with, tribal ceremonies or celebrations. The

Gaming Commissionsis hereby authorized to determine on a case-by-case basis, upon

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request, whether a particular gaming activity qualifies for the exemption.

SECTION 315. LICENSES FOR MANAGEMENT CONTRACTORS, PERSONS WITH DIRECT OR INIMRECF

FINANCIAL INTERESTS AND PERSONS wmi MINORiTY INTERESTS

A) FOR EACH GAMING ENTERPRISE FOR CLASS H OR CLASS HI GAMING, THE GAMING

COMMISSION SHALL PERFORM A BACKGROUND INVESTIGATION OF THE FOLLOWING PERSONS IF A

BACKGROUND INVESTIGATION IS NOT OTHERWISE REQUIRED PURSUANT TO THIS ORDINANCE:

(1) ALL PARTIES ENTERING INTO A MANAGEMENT CONTRACT WITH THE COMMUNITY;

(2) EACH PERSON WITH A DIRECT OR INDIRECT FINANCIAL INTEREST IN A

MANAGEMENT CONTRACT AS DEFINED IN SECTION 101(w) OF THIS ORDINANCE;

(3) EACH PERSON WITH A MINORITY INTEREST IN A MANAGEMENT CONTRACT OR

MANAGEMENT CONTRACTOR AS DEFINED IN SECTION 101(u) OF THIS ORDINANCE; AND

(4) ANY OTHER PERSON WITH A DIRECT OR INDIRECT FINANCIAL INTEREST IN A

MANAGEMENT CONTRACT OTHERWISE DESIGNATED BY THE GAMING COMMISSION.

B) FOR EACH NATURAL PERSON IDENTIFIED IN SECTION 315(A) OF ThIS ORDINANCE, THE

GAMING COMMISSION SHALL REQUEST ALL OF THE INFORMATION REQUIRED PURSUANT TO

SECTION 302(B) OF THIS ORDINANCE.

C) RESPONSES ~ro QUESTIONS. EACH PERSON SUBJECT TO THE PROVISIONS OF SECTION

315(B) OF THIS ORDINANCE SHALL PROVIDE A WRITFEN RESPONSE TO WRFITEN OR ORAL

QUESTION PROPOUNDED BY THE GAMING COMMISSION.

D) APPLICATION FORMS. THE APPLICATION FORM FOR PERSONS SUBJECT TO THE

PROVISIONS OF SECTION 3 15(B) OF THIS ORDINANCE SHALL CONTAIN ThE FOLLOWING NOTICES,

WHICH SHALL BE MUST BE SIGNED AND SUBMITFED BY EACH PERSON REQUIRED TO SUBMIT

INFORMATION UNDER SECTIoN 315(s):

(1) PRIVACY ACT NOTICE. THE APPLICATION FORMS WILL CONTAIN THE PRIVACY

ACT NOTICE AS SET FORTH IN 25 C.F.R. § 556.2.

(2) NOTICE REGARDING FALSE STATEMENTS. THE APPLICATION FORM WILL CONTAIN

THE FOLLOWING STATEMENT: A FALSE STATEMENT KNOWINGLY AND WILLFULLY

PROVIDED N ANY OF THE INFORMATION PROVIDED PURSUANT TO SECTION 315(B) OF THE

UTE MOUNTAIN UTE TRIBE UTE MOUNTAIN UTE RESERVATION GAMING ORDINANCE MAY

BE GROUNDS FOR NOT ISSUING AN OPERATORS LICENSE TO AN ENTITY IN WHICH I HAVE

A FINANCIAL INTEREST OR MANAGEMENT RESPONSIBILITY, OR FOR SUSPENDING, REVOKING

OR CONDITIONING SUCH LICENSE AFTER IT IS ISSUED. ALSO, I MAY BE PUNISHED BY FINE

OR IMPRISONMENT (U.S. CODE, TITLE 18, SECTION 1001).

E) FOR EACH ENTITY IDENTIFIED IN SECTION 315(A) OF THIS ORDINANCE, THE MANAGEMENT

CONTRACTOR SHALL PROVIDE TO THE GAMING COMMISSION THE FOLLOWING INFORMATION:

(1) LIST OF INDIVIDUALS.

(I) EACH PERSON WHO OTHERWISE HAS A DIRECT OR INDIRECT FINANCIAL

INTEREST IN THE MANAGEMENT CONTRACT AS DEFINED IN SECTION 10 1(w) OF

ThIS ORDINANCE;

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(LI) EACH PERSON WHO HAS A MINORITY INTEREST IN THE MANAGEMENT

CONTRACT OR THE MANAGEMENT CONTRACTOR AS DEFINED IN SEcrioN 101(u) OF

THIS ORDINANCE

(2) REQUIRED INFORMATION.

(I) THE INFORMATION REQUIRED IN SECTIONS 315(B) AND 302(B) OF THIS

ORDINANCE FOR EACH NDIVIDUAL IDENTIFIED IN SECTION 315(E)(1) OF THIS

ORDINANCE;

(ii) CoPIEs OF DOCUMENTS ESTABLISHING THE EXISTENCE OF THE ENTITY,

SUCH AS THE PARTNERSHIP AGREEMENT, THE TRUST AGREEMENT, OR THE

ARTICLES OF INCORPORATION;

(III) COPIES OF DOCUMENTS DESIGNATING THE PERSON WHO IS CHARGED WITH

ACTING ON BEHALF OF THE ENTITY;

(iv) COPIES OF BYLAWS AND ALL OTHER DOCUMENTS THAT PROVIDE THE DAYTO-DAY OPERATING RULES FOR THE ORGANIZATION;

(v) A DESCRIPTION OF ANY EXISTING AND PREVIOUS BUSINESS RELATIONSHIPS

WITH INDIAN TRIBES, INCLUDING OWNERSHIP INTERESTS IN AND/OR MANAGEMENT

RESPONSIBILITY FOR THOSE BUSINESSES, AND A DESCRIPTION OF ANY EXISTING

AND PREVIOUS BUSINESS RELATIONSHIPS BETWEEN ANY INDIAN TRIBE AND ANY

ENTiTY IN WHICH APPLICANF HAS MANAGEMENT RESPONSIBILITY, IS A PARTNER,

BENEFICIARY, TRUSTEE OR HOLDS AT LEAST 10% OF THE ISSUED AND

OUTSTANDING STOCK ALONE OR IN COMBINATION WITH ANOTHER STOCKHOLDER,

OR OTHERWISE HAS A DIRECT OR INDIRECT FINANCIAL INTEREST IN A

MANAGEMENT CONTRACT AS DEFINED IN SECTION 101(w) OF THIS ORDINANCE;

(VI) A DESCRIPTION OF ANY EXISTING AND PREVIOUS BUSINESS RELATIONSHIPS

WITH THE GAMING INDUSTRY GENERALLY, INCLUDING OWNERSHIP INTERESTS IN

AND/OR MANAGEMENT RESPONSIBILITY FOR THOSE BUSINESSES AND A DESCRIPTION

OF ANY EXISTING AND PREVIOUS BUSINESS RELATIONSHIPS BETWEEN ANY GAMING

ENTITY AND ANY ENTITY IN WHICH APPLICANT HAS MANAGEMENT RESPONSIBILITY,

IS A PARTNER, BENEFICIARY, TRUSTEE, OR HOLDS AT LEAST 10% OF THE ISSUED

AND OUTSTANDING STOCK ALONE OR IN COMBINATION WITH ANOTHER

STOCKHOLDER, OR OTHERWISE HAS A DIRECT OR INDIRECT FINANCIAL INTEREST

IN A MANAGEMENT CONTRACT AS DEFINED IN SECTION 101(w) OF THIS

ORDINANCE;

(VII) THE NAME AND ADDRESS OF ANY LICENSING OR REGULATORY AGENCY

WITH WHICH THE ENTITY HAS FILED AN APPLICATION FOR A LICENSE OR PERMIT

RELATED TO GAMING, WHETHER OR NOT SUCH LICENSE OR PERMIT WAS GRANTED;

(yin) FOR EACH GAMING OFFENSE AND FOR EACH FELONY FOR WHICH THERE IS

AN ONGOING PROSECUTION OR A CONVICTION, ThE CHARGE, THE NAME AND

ADDRESS OF THE COURT INVOLVED, AND THE DATE AND DISPOSITION IF ANY;

(ix) FOR EACH MISDEMEANOR CONVICTION AND EACH CHARGE FOR WHICH

THERE IS AN ONGOING MISDEMEANOR PROSECUTION, IF SUCH CONVICTION OR

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CHARGE IS WITHIN TEN (10) YEARS OF THE DATE OF THE APPLICATION, THE NAME

AND ADDRESS OF THE COURT INVOLVED AND THE DATE AND DISPOSITION;

(x) FOR EACH CRIMINAL CHARGE, WHETHER OR NOT THERE IS A CONVICTION,

IF SUCH CRIMINAL CHARGE WAS FILED WITHIN TEN (10) YEARS OF THE DATE OF

THE APPLICATION AND IS NOT OTHERWISE LISTED PURSUANT TO SECrION

315(E)(vrn) OR (LX) OF THIS ORDINANCE, THE CRIMINAL CHARGE, THE NAME AND

ADDRESS OF THE COURT INVOLVED AND THE DATE AND DISPOSITION;

(xi) FOR EACH LAWSUIT iN WHICH THE ENTITY IS A PARTY, FILED WITHIN TEN

(10) YEARS OF THE DATE OF THE APPLICATION, THE NAME AND ADDRESS OF THE

COURT INVOLVED, CASE NUMBER, CAUSES OF ACTION, DATE THE ACTION WAS

FILED, DISPOSITION AND DATE OF DISPOSITION;

(XII) COMPLETE FINANCIAL STATEMENTS FOR THE PREVIOUS FIVE (5) FIsC&J~,

YEARS;

(XIII) THE ENTITYS WRrLTEN CERTIFICATION THAT IT HAS PROVIDED ALL

INFORMATION PREVIOUSLY REQUESTED BY THE TRIBE, OR IF NOT, A DESCRIPTION

OF ALL OUTSTANDING REQUESTS FOR INFORMATION FROM THE TRIBE, THE DATES

REQUESTED AND REASON FOR NOT PROVIDING THE REQUESTED INFORMATION;

(xiv) THE ENTITYS WRITTEN COMMITMENT TO PROVIDE ANY ADDITIONAL

INFORMATION AS MAY BE REQUIRED BY THE CoMMISSIoN;

(xv) ANY OTHER INFORMATION THE GAMING COMMISSION DEEMS RELEVANT.

F) RESPONSES TO QUESTIONS. EACH ENTITY SUBJECT TO THE PROVISIONS OF SECFION

3 15(E) OF THIS ORDINANCE SHALL PROVIDE A WRITFEN RESPONSE TO WR1T~EN OR ORAL

QUESTION PROPOUNDED BY THE GAMING COMMISSION.

C) APPLICATION FORMS. THE APPLICATION FORM FOR ENTITIES SUBJECT TO THE

PROVISIONS OF SECTION 315(E) OF THIS ORDINANCE SHALL CONTAIN A PRIVACY ACT NOTICE

INCORPORATING THE PROVISIONS SET FORTH IN 25 C.F.R. § 556.2 AND ThE NOTICE REGARDING

FALSE STATEMENTS AS SET FORTH IN SECTION 315(D)(2) OF THIS ORDINANCE.

SECTION 316. SUBMISSION OF BACKGROUND INFORMATION

A MANAGEMENT CONTRACTOR SHALL SUBMIT THE BACKGROUND INFORMATION REQUIRED N

SECTION 315 OF THIS ORDINANCE IN ACCORDANCE WITH SECTION 307 OF THIS ORDINANCE FOR

PURPOSES OF ITS LICENSE RENEWAL, AND WITHIN TEN (10) DAYS OF ANY PROPOSED CHANGE IN

FINANCIAL INTEREST APPROVED BY THE TRIBAL COUNCIL.

SECTION 317. ELIGIBILITY DETERMINATIONS

THE GAMING COMMISSION SHALL REVIEW THE PRIOR ACTIVITIES, CRIMINAL RECORD, IF ANY,

AND REPUTATION, HABITS AND ASSOCIATIONS OF EACH PERSON SUBJECT TO A BACKGROUND

INVESTIGATION PURSUANT TO SECTIONS 315 OF THIS ORDINANCE TO MAKE A FINDING

CONCERNING THE APPROVAL OF A GAMING OPERATOR. IF THE GAMING COMMISSION, IN

APPLYING THE STANDARDS ADOPTED IN THIS ORDINANCE, DETERMINES THAT ANY PERSON WITH A

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FINANCIAL INTEREST IN OR MANAGEMENT RESPONSIBILITY FOR A MANAGEMENT C0NTRAcr, OR

OTHERWISE SUBJECT TO A BACKGROUND INVESTIGATION PURSUANT TO SECTIONS 315 OF THIS

ORDINANCE, POSES A THREAT TO THE PUBLIC INTEREST OR TO THE EFFECTIVE REGULATION AND

CONTROL OF GAMING, OR CREATES OR ENHANCES THE DANGERS OF UNSUITABLE, UNFAIR, OR

ILLEGAL PRACTICES, METHODS AND ACFIVITIES IN THE CONDUCT OF GAMING OR THE CARRYING

ON OF RELATED BUSINESS AND FINANCIAL ARRANGEMENTS, THE MANAGEMENT CONTRACTOR

SHALL NOT BE LICENSED AS A GAMING OPERATOR.

Section 504. Contracts

All GAMING RELATED contracts THAT RESULT IN THE PURCHASE(S) OF fef supplies, services or

concessions for a contract amount in excess of Twenty-five Thousand Dollars ($25,000.00) annually

(except for contracts for professional legal or accounting services) rclnting to Class II gaming (as

dcfincd by thc Indian Gaming Rcgulatory~ Act, 25 U.S.C. § 2703 shall be SPECIFICALLY INCLUDED

WITHIN THE SCOPE OF subjcct to the outsidc independent audits provided for in Section 204(b) (6) of

this Ordinance.

February 10, 1995 11:3OamMST

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