Section GMG.01.17 — General Provisions Governing Operation Of Tribally Owned Or Tribally Operated Gaming Facility

(a) Maintenance of Records. The Commission shall insure that all accounting records of each tribally licensed Gaming Facility are kept on a double entry system of accounting, maintaining detailed, supporting, subsidiary records. The Commission shall also insure that the following records are maintained for not less than seven (7) years:

(1) Revenues, expenses, assets, liabilities and equity by game at each location where any component of Class II & III gaming, including ticket sales, is conducted.

(2) Daily cash transactions for each game at each location at which any component of Class II & III gaming is conducted, including but not limited to transactions relating to each gaming table bank, game drop box and gaming room bank.

(3) For electronic games of chance, analytic reports that, by each machine, compare actual hold percentages to theoretical hold percentages.

(4) Contracts, correspondence and other transaction documents relating to all gaming vendors and gaming contractors.

(5) Records of all tribal enforcement activities relating to gaming operated under the Tribal/State Compact and other tribal laws.

(6) All audits prepared by or on behalf of the Tribe.

(7) Personnel information on all Class III and Class II key employees or gaming agents, including complete sets of each employee's fingerprints, employee photographs, and employee profiles and background investigations after the completion of employment, except that employee work schedules shall be maintained for a period of at least two (2) years from the date of the schedule.

(8) Applications for employment, records of background investigations and suitability determinations for licensing shall also be maintained consistent with the requirements under Section GMG.01.15(l)(8).

(9) The Commission shall also be responsible for all the above information pertaining to Class II Gaming owned or operated by the Tribe.

(b) Management Contracts. Each gaming management contract shall fully comply with applicable federal regulations and is subject to the prior approval of the NIGC. Before submission to the NIGC, each gaming management contract shall be approved by the Tribal Council with the advice and comment of the Commission. Before giving final consideration to any proposed gaming management contract, the Tribal Council shall direct the Commission to conduct a complete background investigation of persons and entities with a financial interest in, or having gaming management responsibility for, the gaming management contract, including requiring the submission of all information required under 25 CFR Section 537.1, as amended, incorporated herein by this reference.

(1) Background information on the proposed gaming management contractor including: its name; address; the names and addresses of each person or entity having a direct financial interest or management responsibility for the proposed management contractor; and in case of a corporation, the names and addresses of each member of its board of directors and all stockholders who hold directly or indirectly ten (10%) percent or more of its issued or outstanding stock.

(2) A description of any previous experience that each person listed in Section GMG.01.17(b)(1) above has had with other gaming contracts with Indian tribes or with any gaming activity or operation wherever located, including the name and address of any tribal government or licensing agency with which such person has applied, or held a contract, license, or other agreement or permit relating to gaming, whether granted or not.

(3) A complete financial statement of each person listed in Section GMG.01.17(b)(1) for the past three (3) years.

(4) The Commission shall contact each of the tribal governments and licensing agencies in Section GMG.01.17(b)(2) to determine the performance history of the proposed gaming management contractor.

(5) The Commission shall arrange to have each proposed gaming management contractor investigated to learn of his or her personal attributes and to determine whether he or she has a prior criminal record or any pending criminal charges.

(6) The Commission shall obtain an independent verification of the completed financial statements of the proposed gaming management contractor.

(7) The Commission shall undertake any additional steps it can to determine the character and reputation of the proposed gaming management contractor and each person listed in Section GMG.01.17(b)(1).

(8) If the Tribal Council, after reviewing the information described above, still desires to enter into a management contract with the proposed gaming management contractor, such gaming management contract shall be made in writing and submitted to the Tribe's attorney(s) for review.

(9) Any gaming management contract approved by the Tribal Council must include at a minimum, with respect to the gaming activity to which the contract is applicable, all of the required provisions contained in 25 CFR Section 531.1, as amended, incorporated herein by this reference.

(10) All persons who possess an ownership or management position in the proposed gaming management contract shall apply for an employee gaming license under this Ordinance. No gaming management contract shall be approved by the Tribal Council until all employee gaming license applications have been reviewed and the Commission has submitted written findings on such application(s) to the Tribal Council.

(11) If the Council is satisfied with the information it receives, it shall submit the proposed contract along with all of the above described information to the Chairman of the NIGC for approval.

(c) Each tribally owned or tribally operated gaming facility shall carry sufficient liability insurance to protect the public in the event of an accident, and in any event, such coverage must meet the level required by the Tribal/State Compact.