JU1 2 8 2fl08. 

Delia M. CarIyIe, Chairman 

Ak-Chin Indian Community 

42507 W. Peters & Nall Road 

Maricopa, Arizona 85238 

RE: Amendment to the Ak-Chin Indian Community Gaming Code 

Dear Chairman Carlyle: 

This letter responds to your request to the National Indian Gaming Commission 

(NIGC) for the review and approval. of the amendment to the Ak-Chin Indian 

Cornunity (Community) Gaming Code submitted to the NIX on May 22,2008. This 

amendment to the ordinance was adopted by the Ak-Chin Indian Community CounciI by 

Resolution No A-32-08 on April 15,2008. 

The arigmal Community ordinance was approved on December 7,1993 with previous 

amendments approved in 2000 and 2003. This letter constitutes approval of your 2008 

submission under the Indian Gaming Regulatory Act (IGRA). 

However, it is important to note that the gaming ordinance is approved for gaming only 

on Indian lands, as defined in the IGRA, over which the Community 

exercises jurisdiction. Furthermore, this approval does not constitute approval of specific 

games. 

ent to the Community Gaming Code and for 

sure that this version is comprehensive md in full conformity 

ions or concerns, please contact Toni Cowan, at 

igned to this matter. 

C: Clxissa Mike, Secretary, Ak-Chin Indian Community 

Chuck McCart y, Director, Ak-Chin Indian Gaming 

MATlOFlAL HEAQQUARTERS 141 i St NW, Suite 9100, Wash~ngtOn, DC 20005 Tel. 202 632 7003 fax 202.632.7066 W.NlGC.GOV 

aEclowAL oFncEs Portland, OR; Sacramento. CA: Phoen~x. AZ. St Paul. MN. Tulsa. OK 
AK-CHIN lMPlAN - COMMUNITY COVlMCl 

42507 W. Peters & Nall Road 

Maricopa, Arizona 85238 

Telephone: (520) 568-1 000 

Resolution No A-32-08 

RESOhkr?!ON QF TEE 

AK-CHIN INDIAN COMMUNITY COUNCIL 

(A Resolution approving the dk-Chin lndian Community's Revised Tribal Gaming 

Ordinance.) 

WHEREAS: the Ak-Chin l ndian Community ("Community") is a federafly recognized 

Indian Tribe organized pursuant to the Indian Reorganization Act of 1934; 

and 

WHEREAS, the Community is governed by the Ak-Chin Community Councii ("Cwncii") 

pursuant to its Articles of Association ('RAclcs") apprcv~d by th~ Secret~rj 

of the Interior on December 20. 1961 ; and 

WHEREAS, the Sornmunity's gaming operation is gove~ned by, among ~iher laws and 

regulations, the Community's Tribal Gaming Ordinance ('Ordinance"); and 

WHEREAS, the Community has revised the Ordinance; aqd 

WHEREAS, the Indian Gaming Regulatory Act {"IGRA) requires that the Community 

submit its revised Ordinance to the National lndian Garning Commission 

("NIGC") for review and approval; and 

WHEREAS, the NIGC has completed an initial review of the January 2008, February 14, 

2008 and February 29,2008 submissions and had some suggested technical 

changes; and 

WHEREAS, in order to expedite N1GC's approval of the Ordinance, the Community 

withdraws its previous submission to be replaced and superseded with the 

attached revised Ordinance; and 

NOW, THEREFORE, BE IT RESOLVED that the Council dces hereby approve the revised 

Ordinance dated March 26, 2008. 

NOW, THEREFORE, BE IT FURTHER RESOLVED, that the Councfl hereby submits this 

Ordinance for approval to the National Indian Gaming Commission. 

BE IT FINALLY RESOLVED that the Council authorizes the Chairman to sign any 

documents necessary for such Ordinance approval. 
Pursuant to authority contained under Articte VIIi, Section l(a), (b), (c3, (I) and (m) of the 

Artides of Association of the Ak-Chin Indian Community, approved by the Secretary of the 

Interior, December 20, 1961, by a quorum of 4 members present at a regular Council 

meeting held on April 5, 2008, at the Ak-Chin Indian Reservation, Arizona, by a vote of 4 

for, Q against, Q not voting and 1 absent; the foregoing Resolution was adopted. 

V~k-~hin Indian Community Council 

ATTEST: 

Ak-Chin Indian community ~ohil 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

SECTION f 

STATEMENT OF POLICY 

It is the purpose of this Code to provide for the sound regulation of all gaming 

activities on lands within the jurisdiction of the Ak-Chin lndian Community, in order to 

protect the public interest in the integrity of such gaming activities, to prevent improper 

or unlawful conduct in the course of such gaming activities, to strengthen tribal selfgovernment and to promote the economic self-sufficiency of the Ak-Chin lndian 

Community. This Code constitutes the ordinance of the Ak-Chin lndian Community 

regulating Class II and Class I11 gaming contemplated by Section I?(b)(2) and Section 

+i 1{d)('I)(A) of the lndian Gaming Regulatory Act, Pub. h. 100-497, 25 U.S.C. 95 

271 0(b3(2) and 271 O(d)(l)(A). 

SECTION 2 

DEFINITIONS 

2.1 For purposes of this Code: 

2.1.1 "Act" means the lndian Gaming Regulatory Act, Public Law 100-497, 25 

U.S.C. 55 2701-2727 and 18 U.S.C. 351666-1 768. 

2.1.2 "Agency" means the Ak-Chin lndian Community Tribal Gaming Agency, 

established by Section 6 of this Code. 
2.1.3 "Appellant" means a Person appealing a decision of the Agency andlor 

Commission. 

2. I .LFnChairman" means the Chairman of the Ak-Chin lndian Community Tribal 

Gaming Commission pursuant to Section 6 of this Code, 

2.1.5 "Class I Gaming" means all farms of gaming defined as Class I in Section 

4(6) of the Act, 25 U.S.C. 5 2703(6). 

2.1 .$"Class II Gaming" means all forms of gaming defined as Class 11 in Section 

4(7) of the Act, 25 U.S.C. 5 2703(7). 

2.1.7 "Class Ill Gaming" means all forms of gaming as defined in Section 4(8) of 

the Act, 25 U.S.C. 5 2703(8). 

2.1.8 "Code" means this Ak-Chin lndian Community Gaming Code. 

2.1.9 "Commission" means the Ak-Chin lndian Community Tribal Gaming 

Commission pursuant to Section 6 of this Code. 

2.1 .I 0 "Communityn means the Ak-Chin lndian Community, and its authorized 

officials, agents and representatives. 

2. I .I 1 "Compact" means the Ak-Chin lndian Community-State of Arizona 

Gaming Compact. 

2.1 -1 2 "Commissioner" means a Commissioner of the Ak-Chin Indian Community 

Tribal Gaming Commission as appointed pursuant to Section 6 of this Code. 

2.1.13Distributor" means a person who distributes Class 11 and 111 Gaming 

devices and/or component parts thereof. 

2.1.14 "Executive Qirector" means the Executive Director of the Ak-Chin Indian 

Community Tribal Gaming Agency as appointed pursuant to Section 6.5 of this Code. 

Page 2 01 73 
2.1 -1 5 "Financier" means each person, firm or corporation providing financing for 

any Gaming Operation, Gaming Facility or any part thereof. 

2.1 -16 "Game" means any scheme for the play of Class II or Class 111 Gaming 

other than a Gaming Device. 

2.1.17 "Gaming Activity" means all forms of Class II and Ill Gaming conducted 

within the Community's Reservation. 

2.1 .I 8 "Gaming Device" means a mechanical device, an electro-mechanical 

device or a device controlled by an electronic microprocessor or another manner, 

whether that device constitutes Class II Gaming or Class Ill Gaming, that allows a 

player or players to play games of chance, whether or not the outcome also is affected 

in some part by skill, and whether the device accepts coins, tokens, bills, coupons, 

ticket vouchers, pull tabs, smart cards, electronic in-house accounting system credits or 

other similar forms of consideration and, through the application of chance, allows a 

player to become entitled to a prize, which may be collected through the dispensing of 

coins, tokens, bills, coupons, ticket vouchers, smart cards, electronic in-house 

accounting system credits or other similar forms of value. Gaming Device does not 

include any of the following: 

(a) those technological aids for bingo games that function only as 

electronic substitutes for bingo cards; 

(b) devices that issue and validate paper lottery products and that are 

directly operated only by Arizona State Lottery licensed retailers and their employees. 
(c) devices that: are operated directly by a lottery player and that 

dispense paper lotiery tickets, if the devices do not identify winning or losing lottery 

tickets, display lottery winnings or disburse lottery winnings. 

(dl devices that are operated directly by a lottery player and that 

validate paper lottery tickets for a game that does not have a predetermined number of 

winning tickets, if: (i) the devices do not allow interactive gaming; (ii) the devices do not 

allow a lottery player to play the lottery for immediate payment or reward (iii) the devices 

do not disburse lottery winnings; and (iv) the devices are not Video Lottery Terminals. 

(e) Player Activated Lottery Terminals. 

2.1 -19 "Gaming Employee" means any person employed as a Primary 

Management Oficial or Key Employee of a Gaming Operation of the Community and 

any person employed in the operation or management of a Gaming Operation, 

including, but not limited to, any person whose employment duties require or authorize 

access to Restricted Areas of a Gaming Facility not otherwise open to the Public. 

2.1.20 "Gaming Facility" means the buildings or structures in which Class 11, and 

Class Ill Gaming, as authorized by the Compact, is conducted. 

2.1.21 "Gaming Facility Operator" means the Community, an enterprise owned 

by the Community, or such other entity of the Community as the Community may from 

time to time designate by written notice to the NlGC and the State as the wholly-owned 

Tribal entity having full authority and responsibility for the operation and management of 

Gaming Activities. 

2.1.22 "Gaming Operation" means any Gaming Activity conducted within any 

Gaming Facilities. 
2.1.23 "Gaming Services" means providing any goods or services, except for 

legal services, to the Community in connection with the operation of Class 11 and 111 

Gaming in a Gaming Facility. 

2.1.24 "Keno" means a house banking game in which a player selects from one 

to twenty numbers on a card that contains the numbers one through eighty; the house 

randomly draws twenty numbers; players win if the numbers they select correspond to 

the numbers drawn by the house, and the house pays all winners, if any, and collects 

from all losers. 

2-7-25 "Key 'Employee" means a Gaming Employee who performs one or more 

of the following functions: 

(a) Bingo Caller; 

(b) Counting room supervisor; 

(c) Chief of security; 

(dl Custodian of gaming supplies or cash; 

(e) Floor manager; 

(9 Bit Boss; 

(g) Dealer; 

(h) Croupier; 

(i) Approver of Credit; and 

u) Custodian of Gaming Devices, including persons with 

access to cash and accounting records within such devices, or if not otherwise included, 

any other person whose total cash compensation is in excess of $50,000 per year; or, if 
not otherwise included, the four most highly compensated persons in the Gaming 

Operation. 

2.1.26 "License" means an approval issued by the Tribal Gaming Agency to any 

natural person or entity ta be involved in the Gaming Operation or in the providing of 

Gaming Services to the Community. 

2.1.27 "Licensee" means any natural person or entity that has been licensed by 

the Tribal Gaming Agency to be involved in the Gaming Operation or in the providing of 

Gaming Services to the Community. 

2.1.28 "Management Contract" means a contract within the meaning of 25 

U.S.C. 55 271 0 (d)(9) and 271 1. 

2.1.29 "Management Contractor" means a natural person or entity that has 

entered into a Management Contract with the Community or the Gaming Facilities 

Operator which has been approved pursuant to the Act, 25 U.S.C. 55 2710(d)(9) and 

271 1. 

2.1.30 "Manufacturer" means a natural person or entity that manufactures 

Gaming Devices and/or component parts thereof as defined by this Compact for use or 

play in the Gaming Facilities. 

2.7.31 "National Indian Gaming Commission" or "NIGC" means the National 

Indian Gaming Commission established pursuant to Section 5 of the Act, 25 U.S.C. § 

2704. 

2.1.32 "Net Revenues" of any Gaming Operation means the gross revenues of 

such Gaming Operation less amounts paid out as, or paid for, prizes and less total 

operating expenses, determined in accordance with generally accepted accounting 

Page60f73 
principles but excluding management fees paid to a Management Contractor within the 

meaning of Section 12Cc) of the Act, 25 U.S.C. 5 271 7 (c). 

2.1.33 "Patron" means any natural person of at least twenty one (21) years of 

age who is within the exterior boundaries of the Gaming Facility for the purpose of 

engaging in Gaming Activity. 

2.1.34 "Personn includes a corporation, company, partnership, firm, association 

or society, as well as a natural person. When "Person" is used to designate the violator 

or offender of any law, it includes a corporation, partnership or any association of 

Persons. 

2.1.35 "Primary Management Official" means the Person having management 

responsibilities under a Management Contract; or any Person who has authority to hire 

and fire employees or to set up working policy for a Gaming Operation; or the chief 

financial officer or other Person who has financial management responsibility for a 

Gaming Operation. 

2.q -36 "Principal" means with respect to any Person: 

(a) Each of its officers and directors; 

(b) Each of its principal management employees, including any 

chief executive officer, chief financial officer, chief operating officer or general manager; 

(c) Each of its owners or partners, if an unincorporated 

business; 
{d) Each of its shareholders who own more than ten (10) 

percent of the shares of the corporation, if a corporation; 

(e) Each person other than a banking institution who has 

provided financing for the entity constituting more than ten (10) percent of the total 

financing of the entity; and 

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

2.1.37 "Reservation'mean, for the purpose of this Code: 

(a) All land within the exterior boundaries of the Ak-Chin Indian 

Reservation, as recognized by the United States Secretary of the Interior as of October 

17,1988; and 

(b) All lands, title to which is held in trust by the United States 

for the benefit of the Community, or held by the Community subject to restriction by the 

United States against alienation, and was so held on October 17, 1988; and 

(c) Any lands, title to which is either held in trust by the United 

States for the benefit of the Community and which are described in Section 20(a)(l) or 

Section 20(b)(l) of the Act (25 U,S.C. 55 2719(a)(l] or 271 9(b)(l)}. 

2.1.38 "Restricted Area" for purposes of the Compact and this Code means 

cashiers cage, count rooms, management information systems (computer) room, 

surveillance room, vault and any other area specifically designated as such by the 

Commission pursuant to a Rule promulgated by the Commission under this Code. 

2.4 -39 "Rule(s)" means the Rules adopted by the Ak-Chin Tribal Gaming Agency 

pursuant to this Code. 
2.A .40 "Slot Machine" means any mechanical or electronic device into which a 

player deposits, consideration including but not limited to, coin, currency or tokens and 

from which coins, currency or tokens are paid out when a particular, randomly 

determined, configuration of symbols appears on the reels or screen of the device. 

2.1 -43 "State" means the State of Arizona, its authorized officials, agents and 

representatives. 

2.1.42 "State Gaming Agency" means the agency of the State which the 

Governor may from time to time designate by written notice to the Community as the 

single State agency which shall act on behalf of the State under this Compact. 

2.1.43 "Technical Standards" means the operational standards for Gaming 

Devices set forth in the Compact andfor its Appendices. 

2.1.44 "Tribe" or "Tribaln means the Ak-Chin Indian Community. 

2.1.45 "Vendor" means any Person that supplies goods andlor sewices to the 

Gaming Facility. 

SECTION 3 

AUTElORlZ.4 TION OF GAMING ACTIVITIES 

3.1 Class I Gaming. The conduct of Class I Gaming on the Reservation is not 

governed by this Code. 

3.2 Class II Gaminq. The Community is hereby authorized to conduct any 

and all forms of Class II Gaming on the Reservation. 

3.3 Class Ill Gaming. The Community is hereby authorized to conduct any 

and all forms of Class 111 Gaming on the Reservation that are authorized to be 

conducted under the Compact. 
SECT10N 4 

COMPLJANCE WTH THE ACT AND COMPACT 

4.1 Compliance with the Act. This Code shall be construed in a manner that 

conforms to the Act in all respects. If this Code is inconsistent with the Act in any 

manner, the provisions of the Act shall govern. 

4.2 Compliance with the Com~act. With respect to the conduct and regulation 

of C!ass Ill Gaming, this Code shall be construed in a manner that conforms to the 

Compact in all respects. if this Code is inconsistent with the Compact in any manner 

the provisions of the Compact shall govern. 

SECTION 5 

GENERAL PROVISIONS GOVERNING THE CONDUCT OF 

CLASS I1 AND CLASS IS/ GAMING 

5.1 Ownership. As required by Section I I (b)(2)(A) of the Act, 25 U.S.C. § 

27lO(b)(Z)(A), the Community shall have the sole responsibility for the conduct of all 

Gaming on the Reservation and the sole proprietary interest in any Gaming Operation. 

Notwithstanding the above, nothing in this Code shall: 

(a) preclude the Community from entering into a Management Contract 

as authorized under Section 12 of the Act, 25 U.S.C. 5 271 1, or 

(b) restrict the exercise by any secured party of its rights under any 

collateral lease, securrty interest or other financing agreement to enforce a lien on or 

security interest in any personal property encumbered thereby, or to enforce its rights 

against net revenues derived by the Community from Gaming for the purpose of 

Page 10 of 73 
repayment of debt obligations of the Community to such secured party in accordance 

with the provisions of such obligations, provided that no entity or person other than the 

Community shall have any proprietary interest in any Gaming Operation. 

5.2 Application of Net Revenues. In compliance with Section I l(b)(2) and (3) 

of the Act, 25 U.S.C. 5 2710(b)(2) and (31, Net Revenues from Gaming shall be used 

only for the following purposes, as more particularly determined by the Ak-Chin Indian 

Community Council: 

(a) to fund Community government operations or programs; 

(b) to provide for the general welfare of the Community and its 

members; 

(c) to promote the Community's economic development; 

(d) to donate to charitable organizations; 

(e) to help fund operations of local government agencies; or 

(9 any other purposes permitted under the Act. 

5.3 Public Safetv Standards. In compliance with Section 11(b)(2)(E) of the 

Act, 25 U.S.C. 5 2710(b)(2)(E), the construction and maintenance of any Gaming 

Facility, and the operation of all Gaming, shall be conducted in a manner which 

adequately protects the environment and the public health and safety. For this purpose, 

all requirements of the Compact and all health, safety and environmental standards 

enacted by the Community shall apply to all Gaming Facilities. 
SECTION 6 

AK-CHIN INDIAN COMMUNI N TRIBAL GAMING COMIWJSSION 

6.1 Establishment. The Ak-Chin Indian Community Tribal Gaming 

Commission is hereby established. The Commission is autonomous governmental 

entity of the Ak-Chin jndian Community wholly independent from the Community's 

Gaming Operation, subject only to the preeminent legislative authority of the Ak-Chin 

Indian Community Council. The Commission shall be deemed a law enforcement 

agency for purposes of taking fingerprints and accessing criminal history information, 

including but not limited to FBI, state and tribal records. The Commission shall have 

overall civil regulatory authority over all Gaming activities conducted on the Tribal lands. 

6.2 Commission Structure. The Commission shall be administered under the 

supervision of five part-time Commissioners. The Commission shall select from itself 

one of its members to serve as part-time Chair and Vice-Chair of the Commission. The 

Vice-Chair shall preside over Commission meetings in the absence of the Chair. At 

least three members of the Commission shall be members of the Community. 

Commissioners shall serve for two-year terms. Three of the members of the 

Commission, including the Chair, shall serve for terms beginning on January 15, 2008, 

and two of the Commissioners shall serve for terms beginning on January 15, 2009. 

Vacancies in the Commission shall be filled by appointment by the Ak-Chin Community 

Council, and Commissioners may be appointed to successive terms. Members of the 

Commission shall continue serving after expiration of their term of office until a 

successor has been appointed. A Commissioner term shall expire on January 15'"f 

the respective term year. While a Commissioner can serve until a successor has been 

Page 12 of 73 
appointed, the term itself still begins and ends on January isth of the respective year. At 

least one of the Commissioners shall possess experience in Gaming Operations, 

Gaming regulation, or business or government. 

6.3 Commissioner Qualification. All Commissioners must not be present 

Community Council members, be over the age of twenty-five (251, must possess a valid 

driver's license, must be persons of the utmost honesty and integrity, must never have 

been convicted of a felony or a misdemeanor involving theft, embezzlement or a crime 

involving moral turpitude, and must be persons whose prior activities, reputation, habits 

and associations shall not in any way jeopardize the effective regulation of Gaming or 

the Community's and public's trust, confidence or interest. Compensation of the 

Commissioners shall be established by the Community Council. Commissioners may 

be removed by the Community Council for neglect of duty, malfeasance in office, or for 

other good cause shown, after a plenary hearing, duly noticed and conducted before the 

Community Council. No Commissioner may be affiliated with or employed by the 

Gaming Operation in any capacity, and no Commissioner shall gamble in the 

Community's Gaming Facility or assume any personal financial interest in any gambling 

by any Patron of the Gaming Facility. Unless othewise specifically provided in this 

Code, a majority vote of the Commission shall be deemed sufficient to effectuate any 

decision or action which this Code authorizes the Commission to make. In addition, 

unless otherwise provided in this Code, a decision or action by the Commission shall be 

final and not subject to review by any court or judicial forum. 

6.4 Aqencv. The Commission hereby designates that the Ak-Chin Indian 

Community Tribal Gaming Agency shall be responsible for the day-to-day regulation of 

Page 13 of 73 
Gaming under the supervision of the Commission. In addition, the Agency shall be 

deemed a law enforcement agency for the purposes of taking fingerprints and 

accessing criminal history information, including but not limited to 'FBI, state and tribal 

records. 

6.5 Executive Director of Agency. The Community shall employ and 

designate an individual to serve as Executive Director of the Agency who shall have 

overall responsibility of the day-to-day administrative functions of the Agency. The 

Executive Director may be removed by the Community Council for neglect of duty, 

malfeasance in office, or for other good cause shown, after a plenary hearing, duly 

noticed and conducted by the Community Council. 

6.5.1 The Executive Director, or his designated representative, shall have the 

power, in the name of the Commission and be responsible: 

(a) to conduct any hearing, investigation or inquiry; 

(b) to compel the production of any information or documents; 

(c) to review and approve investigative work; 

(d) to issue violation notices related to the exercise of all 

investigatory and regulatoy powers of the Agency under this Code; 

(e) for the coordination of the functions of the Agency with the 

State Gaming Agency and other federal, state and local agencies 

as necessary; and 

(f) to be the agent of the Community for service by the National 

Indian Gaming Commission of any official determination, order or 

notice of violation under 25 C.F.R. 51 9.1. 
6.6 Additional Staff. The Executive Director may employ additional staff as 

deemed necessary by the Commission in order to carry out the civil regulatory 

obligations of the Agency. 

6.7 Powers and Duties of A~encv. Acting under the authority and supervision 

of the Commission, the Agency shall have the following powers and duties to: 

(a) have and to exercise primary responsibility for the day-to-day 

regulation of all Gaming in order to ensure the integrity thereof; 

(b) investigate any aspect of any Gaming Operation in order to protect 

the public interest in the integrity of Gaming and to prevent improper or unlawful 

conduct. The Agency may investigate any report of a failure of any Gaming Operation 

to comply with the provisions of the Act, the Compact, this Code, and the Rules; 

(c) carry out each of the responsibilities and duties set forth for the 

Agency in the Compact, including but not limited to Compact Sections 5 and 6; 

(d) make suitability determinations for Tribal Gaming Licenses. 

(e) issue, limit, condition, restrict, renew, suspend andlor revoke Tribal 

Gaming Licenses in accordance with Section 9 of this Code. 

(9 issue forms for License applications, perform background 

investigations of License applications, withhold Licenses pending investigations, 

approve or deny applications and issue or require the issuance of employee 

identification cards and Licenses; 

(g) require each Management Contractor to prepare a plan for the 

protection of public safety and the physical security of Patrons of Gaming Facilities, 

setting forth the respective responsibilities of the Agency, the security departments of 

Page 15d73 
the Gaming Operations, any Community police agency and, if appropriate, any State or 

local police agency. Such plan, and any subsequent modifications thereof, shall be 

submitted to and reviewed by the Agency and, after such review, shall be 

recommended for adoption by Commission with such modifications as the Commission 

shall deem proper; 

(h) review and approve surveillance coverage for each Gaming Facility 

and may confer with the State Gaming Agency or other organizations regarding the 

adequacy of such surveillance; 

(i) receive notice of changes to the Gaming Facility floor layout by the 

manager; 

u) promulgate, review, and revise as necessary, Rules to govern the 

integrity of the Gaming Operation and to recommend the adoption of these Rules by the 

Commission; 

(k) establish a list of Persons permanently barred from the Gaming 

Facilities because of their criminal history or association with organized crime or any 

member of organized crime or any Person who poses a threat to the integrity of 

Gaming. The Agency shall also establish a list of self-banned persons from the Gaming 

Facility Gaming Facility. The Agency shall employ its best efforts to exclude persons on 

such lists from entry into its Gaming Facilities. The Agency shall send a copy of its lists 

on a monthly 'basis to the State Gaming Agency and the Gaming Facility General 

Manages, along with detailed information regarding why the person has been barred 

and the barred persons photograph, drivers' license information, andlor fingerprints, to 

the extent such items are in the possession of the Agency; 

Page 16 of 73 
(I} refuse service, access, and entry to the Gaming Facility to 

individuals whose conduct is contrary to the public interest and whose presence may be 

injurious to the peace, health, or welfare of the Patrons or employees of the Gaming 

Facility; 

(m) review and approve the Promotions, as defined in Appendix G of 

the Compact, and the Technical Standards and rules of each Game or Gaming Device 

operated by any Gaming Operation, and ensure that such Game and Gaming Devices 

conform to the Technical Standards and Rules, and shall, in accordance with the 

Compact, propose to the State Gaming Agency any changes to such Technical 

Standards and Rules as the Agency deems appropriate; 

(n) issue a notice of concern andlor notice of violation andfor impose 

civil penalties for violations of the Act, the Compact, this Code, and the Rules, in 

accordance with Section 9 of this Code; 

(a) initiate civil actions in the name of the Community, in the courts of 

the Community, the State or the United States to enforce or enjoin violations of the 

provisions of the Act, the Compact, this Code or the Rules; 

(p) receive any complaint from any person, including the Gaming 

public or any employee of any Gaming Operation, who is or who claims to be adversely 

affected by any act or omission of a Gaming Operation or any employee thereof, and 

which is asserted to violate the Act, the Compact, this Code or the Rules. Within two (2) 

business days of receiving such a complaint, the Agency shall give the Gaming 

Operation notice and opportunity to provide written comment. The Agency, in making 

its decision, shall review and give due consideration to both the complaint and the 

Page 17 a1 73 
written comments of the Gaming Operation. Subsequent to its review, the Agency may 

impose such remedial action as it deems appropriate to bring the Gaming Operation 

into compliance with the subject provision. The Gaming Operation shall have all 

protections and rights provided to it in Section 9 of this Code. Upon appeal to the 

Commission, the Commission, in its sole discretion, may conduct a hearing and receive 

additional evidence regarding the issues identified in the complaint; 

(q) adopt an annual operating budget which shall be subject to the 

approval of both the Commission and the Ak-Chin Community Council. The expenses 

of the Agency shall be assessed against the Gaming Operation, and the Gaming 

Operation shall pay such assessments to the Community, or in accordance with a 

Management Agreement; 

(r) employ such staff from time to time as it deems necessary to fulfill 

its responsibilities under the Act, the Compact, this Code and the Rules, and may retain 

legal counsel upon the approval of both Commission and the Community Council, 

consultants and other professional services, including investigative services, to assist it 

with respect to any of the issues over which the Commission exercises jurisdiction. The 

Agency, consistent with prevailing laws of the Community, shall establish its own 

personnel policies and procedures. These personnel policies and procedures shall be 

consistent wherever possible with the general personnel policies and procedures of the 

Community. The Agency shall confer with the Community's Human Resources Director 

for the sole purpose of ensuring compliance with applicable laws governing personnel 

matters of the Agency; 

Page 1Bd73 
(s) compel upon reasonable notice any Licensee, any Person 

employed by a Gaming Operation and any Person doing business with a Gaming 

Operation to appear before it and to provide such information, documents or other 

materials as may be in their possession to assist in an investigation conducted by the 

Agency; 

(t) issue subpoenas and to compel the attendance of witnesses at any 

place within the Tribal lands, to administer oaths and to require testimony under oath; 

{u) establish a schedule of fees and charges for the issuance of 

licenses, including application fees and annual renewal fees. In addition, the Agency 

may impose such fees on Licensees as are reasonably related to the making of 

background investigations and the costs of enforcement of this Code and of the 

Licenses issued thereunder; 

(v) require each Distributor and each Manufacturer to verify under 

oath, on forms prescribed by the Agency, that the Gaming Devices distributed or 

manufactured by them for use at any Gaming Facility comply with the Technical 

Standards and all requirements of the Act, the Compact, this Code and the Rules. The 

Agency may require the testing of any Gaming Device, at the expense of the 

Distributors or Manufacturer thereof, to ensure such compliance; 

(w) enter at any time any Gaming Facility within Tribal lands to inspect 

the Gaming Facility, its employees and operations, its equipment and supplies, its 

business records and books of account or any other financial records or documents 

pertaining to the business operations of the Gaming Facility, and to make summaries or 

Page 19 01 73 

(c) Principal; 

(d) Person; 

(e) Management Contractor; 

(fj Financier; 

(g) Licensee; or 

(h) Vendor. 

6.8.2 The Agency's Executive Director or his designated Agency representative 

shall: 

(a) review and approve the background investigative work; 

(b) report the results to the NIGC; 

(c} obtain and process a Person's fingerprints; 

(d) make the suitability determination for a License; 

(el verify information submitted by Persons subject to Section 6.8-1 ;

(9 determine a Person's prior activities, criminal record, if any, 

reputation, habits and associations; 

(g) interview a sufficient number of knowledgeable people, such as 

former employers and personal references of such Persons subjecf to Section 6.8.1 to 

provide a basis for the Tribe to make a finding concerning eligibility for employment 

andlor suitability for a Tribal Gaming License; and 

(h} document all potential problems, disqualifying information and any 

other information pertinent to making a suitability determination. 

6.9 Procedures of the Commission. The Commission shall conduct its 

operations and instruct the Agency to act in accordance with procedural resolutions and 

Page 21 of 73 
safeguards adopted in accordance with Section 6 and Section 9 of this Code. 

6.9.1 Regular meetings of the Commission may be held upon such 

notice, and at such time and place as shall from time to time be fixed by the 

Commission. Nothing in this provision shall be construed to restrict the Commission's 

ability to conduct special or emergency meetings upon such notice as is required by this 

Code. 

6.9.2 Special meetings of the Commission may be called by the 

Chairman or the Executive Director upon such notice as the Commission shall provide. 

The person calling the special meeting shall give notice of the time, place, and reasons 

for the meeting. 

6.9.3 At any meeting of the Commission, a majority of the members then 

in office shall constitute a quorum for the transaction of business. The vote of a majority 

of the members present at a meeting at which a quorum is present shall be the act of 

the Commission, except where this Code otherwise requires an action to be taken by 

the vote of a majority of the members of the Commission then in office. The Chairman 

shall preside at all Commission meetings, unless the Vice-chairman presides in his 

absence. In the absence of the Chair and Vice-Chair, the remaining Commissioners 

shall designate a presiding officer. The Chairman or other presiding officer shall have a 

vote on all matters. 

6.9.4 Any action required or permitted to be taken at a Commission 

meeting may be taken without a meeting if all of the members of the Commission sign 

written consents setting forth the action taken or to be taken, at any time before or after 

the intended effective date of such action. Such consents shall be filed with the minutes 

Page 22 of 73 
of the Commission, and shall have the same effect as a unanimous vote of the 

Commission at a legal meeting thereof. 

6.9.5 Commission members may participate in a Commission meeting by 

means of conference telephone or similar communications equipment by means of 

which all persons participating in the meeting can hear each other. Participation in a 

meeting in such manner by any member who does not object at the beginning of such 

meeting to the holding thereof in such manner shall constitute presence in person at 

such meeting. 

6.9.6 Any hearing conducted by the Commission under this Code may, at 

the direction of the Commission, be conducted by the Executive Director or by one or 

more members of the Commission designated by the Commission for that purpose. 

6.10 Temporaw Orders. The Chairman and the Executive Director or any two 

Commission Members acting jointly upon a written affidavit signed by both persons, 

setting forth with reasonable specificity the harm, shall have the authority to protect the 

integrity of Gaming Activity by issuing temporary orders. These temporary orders shall 

be issued for the sole purpose of directing a Gaming Operation, Gaming Facilities 

Operator, Gaming Employee or any natural person, entity, or agency within the 

Community's jurisdiction to take any action or to cease and desist from any action which 

constitutes an immediate emergency situation that threatens the public safety, health, 

welfare andlor the integrity of Gaming Activity. All such affidavits must: 

(a) state with specificity all facts constituting an immediate emergency 

situation that threatens the public safety, health, welfare andlor the integrity of Gaming 

Activity; 

Page 23 of 73 
(b) be immediately delivered by hand to a Primary Management 

Official and Community Council Chairman; and 

(c) The temporary order and the supporting affidavit shall, upon 

request by any affected person, be subject to review by the Commission at its earliest 

opportunity. In any event, all such temporary orders shall expire within 72 hours from 

their initial issuance, unless extended after notice and opportunity to be heard is granted 

to any affected person. 

6.1 1 Prohibition. No member or employee of the Commission or the Agency 

shall participate as a player in any Gaming Activity conducted on Community land. 

SECTION 7 

GAMING AGENTS 

7.1 For the purpose of ensuring compliance with the Act, the Compact, this 

Code, andlor the Rules, the Commission, through its Agency, shall employ Gaming 

Agents who shall report to and be under the supervision of the Agency Executive 

Director and not under the supervision of any Management Contractor or any Gaming 

Operation. 

7.2 For the purpose of ensuring compliance with the Act, the Compact, this 

Code and the Rules, the Gaming Agents shall have unfettered access to all facilities of 

all Gaming Operations at all times, including all Gaming Facilities and all other locations 

where any equipment, goods, supplies, books, records or other material relating to 

Gaming is kept or stored. For such purposes, personnel employed by any Gaming 

Operation shall provide Gaming Agents access to locked and secure areas of the 

Gaming Facilities. 

Page 24 of 73 
7.3 Gaming Agents shall report to the Executive Director regarding any failure 

by a Gaming Operation to comply with any of the provisions of the Act, the Compact, 

this Code or the Rules. 

7.4 Gaming Agents may also receive customer complaints with respect to any 

Gaming Operation and shall assist in seeking voluntary resolution of such complaints. 

SECTION 8 

DETENTION OF PERSONS FOR 

NOTIFYING LAW ENFORCEMENT AUTHORITJES 

8.j Pursuant to the Compact, the Gaming Facility Operator shall at all times 

maintain an area within the Garning Facility for the temporary detention of persons who 

may be involved in illegal activities within the Gaming Facility, for the purpose of 

notifying appropriate law enforcement authorities. 

8.2 Such temporary detention area shall be equipped with both video and 

audio recording capabilities. 

8.3 All individuals confined in such area shall be under both video and audio 

observation at all times during the temporary detainment provided for in this Section. 

8.4 Upon placing such Persons in the temporary detainment area, the 

representative of the Management Contractor, or in the absence of a Management 

Contractor then the Gaming Facility Operator, or the Tribal Gaming Agency shall 

immediately notify the Surveillance Department of the Gaming Facility that such 

Persons have been placed in detainment, and shall immediately cause the video and 

audio recording capabilities of the temporary detainment area to be activated, so as to 

Page 25 of 73 
maintain continuous observation of such Persons. The video and audio recording 

capabilities shall remain activated throughout the temporary detention of the Persons 

placed in this area, including the removal of said persons from the detainment area by 

the Ak-Chin lndian Community Police Department or other appropriate law enforcement 

authorities. 

8.5 Upon placing said persons in the temporary detention area as set forth 

above, the representatives of the Management Contractor, or in the absence of a 

Management Contractor, then the Gaming Facility Operator, or Tribal Gaming Agency 

making the placement shall immediately notify the Ak-Chin lndian Community Police 

Department or other appropriate law enforcement authorities of said detention, and shall 

request that the Ak-Chin lndian Community Police Department or other law enforcement 

authorities transfer custody of said individuals from detention as quickly as possible. 

SECTION 9 

LICENSING 

9.1 Burden of Proof. It is the determination of the Community that the public 

interest in the integrity of Gaming is such that the burden of proof to establish fitness to 

obtain or maintain a License under this Code shall be upon the applicant or Licensee, 

as the case may be. 

9.2 Suitability Requirements. Except as stated in Section 9.6.7 of this Code 

regarding licensing requirements for gaming employees, the Agency may limit, 

condition, restrict, deny, suspend, or revoke a License when it has detemined that the 

applicant or principal(s) for, or holder(s) of, a License: 

Page 26 of 73 
(a) has violated, failed or refused to comply with the provisions, 

requirements, conditions, !imitations or duties imposed by any provision of the Act, the 

Compact, this Code, the Rules, or when such applicant or principal(s) or holder has 

knowingly allowed or failed to take action to terminate any such violation which has 

occurred upon any premises occupied or operated by any such person ar over which he 

or she has substantial control; 

(b) knowingly causes, aids, abets, or conspires with another to cause 

any person or entity to violate any tribal, federal, or state laws, or the Rules or 

regulations of the Agency, or the provisions of this Code; 

(c) has knowingly obtained a Tribal License or state certification by 

fraud, misrepresentation, concealment or through inadvertence or mistake; 

(d) has been convicted of, or forfeited bond upon a charge of, or plead 

guilty to, forgery, larceny, extortion, conspiracy to defraud, willful failure to make 

required payment or repotts to any tribal, state or United States governmental agency at 

any level, or knowingly filing false repoh therewith, or of any similar offense or 

offenses, or of bribing or othenvise unlawfully influencing a public official or employee of 

a Tribe, State or the Federal government, or of any offense involving any unlawful 

gaming activity or physical harm to individuals or moral turpitude; 

(e) makes misrepresentation of, or fails to disclose a material fact to 

the State, Commission, or the Agency; 

(fj fails to prove, by clear and convincing evidence, that he, she or it is 

qualified in accordance with the provisions of this Section; 
(g) is subject to current prosecution or pending charges, or a conviction 

which is under appeal for any offenses referenced in Code Section 9.2(d); 

(h) had a gaming License issued by any tribe or state in the United 

States revoked or denied; 

(i) has demonstrated a willful disregard for compliance with gaming 

regulatory authority in any jurisdiction, including suspension, revocation, denial of 

application or forfeiture of License; 

0) has pursued or is pursuing economic gain in an occupational 

manner or context which is in violation of the criminal laws of any tribe, state or the 

federal government if such pursuit creates reasonable cause to believe that the 

participation of such person in gaming or related activities would be detrimental to the 

proper operation of any authorized gaming or related activity. For the purpose of this 

paragraph, occupational manner or context shall be defined as the systematic planning, 

administration, management or execution of an activity for financial gain; 

(k) is a career criminal offender or is a member of organized crime or 

an associate of a career criminal offender or member of organized crime in such a 

manner which creates probable cause to believe that the association is of such a nature 

as to be detrimental to the proper operation of the authorized gaming or related 

activities. For the purposes of this paragraph, career criminal offender shall be defined 

as any person whose criminal convictions andlor behavior is pursued in an occupational 

manner or context for the purpose of economic gain utilizing such methods which have 

been deemed criminal violations of any tribal, federal or state law. Organized crime 

shall be defined as any group of persons who operate together as criminal offenders; 

Page 28 of 73 
(I) is a person whose prior activities, criminal record, if any, reputation, 

habits and associations pose a threat to the public interests of the Community or to the 

effective regulation and control of Gaming, or creates or enhances the dangers of 

unsuitable, unfair or illegal practices, methods and activities in the conduct of Gaming, 

or the carrying on of the business and financial arrangements incidental thereto; or 

(m) refuses to provide, without reasonable justification, any information 

to, or refuses to cooperate with, the Commission, the Executive Director, Gaming 

Agents, or any other staff as may be employed by the Agency, during the course of their 

official duties ensuring compliance with the provisions of the Act, the Compact, this 

Code, and the Rules. 

9.3 License Requirements. !n compliance with Section 11 [b)(Z)(F) of the Act, 

25 19.S.C. § 2710(b)(2)(F), the following individuals and entities shall be subject to the 

background investigation and licensing requirements of this Code and, in the case of 

any person, firm or corporation involved in the conduct of Class !I1 Gaming, the 

Compact: 

(a) each Gaming Employee, 

(b) each Key Employee, 

(c) each Primary Management Official; 

Id) each Gaming Management Contractor and each Principal thereof, 

(e) each Distributor and Manufacturer, 

(9 each Gaming Facility, 

(g) each provider of a Gaming Setvice, and 

Page 29 of 73 
(h) each person, firm or corporation providing financing for any Gaming 

Operation, Garning Facility or any part thereof. 

9.4 The Community shall notrfy the State Gaming Agency and the National 

Indian Gaming Commission of the results of any licensing process in accordance with 

the Compact and such regulations or procedures as the National lndian Gaming 

Commission may establish. 

9.5 Application Requirements. 

9.5.1 Each application for any category of License must be submitted to 

the Agency on forms provided by the Agency, and must be accompanied by the 

required fee, as set forth in Section 9.6.6 hereof, and by such supporting information as 

the Agency shall prescribe by regulation. 

9.5.2 Each applicant for a vendor's License shall be accompanied by a 

certificate of sponsorship from the Management Contractor, or in the absence of a 

Management Contractor the Gaming Facility Operator which certificate shall state that 

the Management Contractor, or in the absence of a Management Contractor the 

Gaming Facility Operator wishes to engage the applicant for certain services, and 

intends to do so upon the issuance of an appropriate License. 

9.5.3 Each application for a Management Contractor's License, a 

vendor's License, or in the case of an individual who is net an enrolled member of the 

Community, for Gaming Employee" License, shall also be submitted to the appropriate 

State Gaming Agency, together with applicable fees, for state certification if required. In 

addition, the applications of, and reports concerning the background reports of Key 

Employees or Primary Management Officials engaged by, or applying for engagement 

Page 30 of 73 
by the Management Contractor shall be submitted to the National Indian Gaming 

Commission for further review and action, prior to the applicant's receiving final action 

from the Agency. 

9.5.4 In connection with the application, the applicant shall consent in 

writing, on a form provided by the Agency, to the release of any information that may be 

relevant to the Agency's inquiry into the applicant's background from any Person. The 

form will clearly state that any and all information obtained by the Agency in the course 

of reviewing a licensing application shall remain confidential, and shall not be released 

by the Agency to any other person or agency without the applicant's written consent, 

except in the following circumstances: 

(a) such information is required by the Compact to be disclosed 

to the National Indian Gaming Commission; 

(b) such information is required by the Compact to be disclosed 

to the State Gaming Agency; or 

(c) such information is ordered to be disclosed by judicial 

subpoena or court order for use in a judicial proceeding in which the applicant is a party. 

The Agency shall be bound by the terms of such consent form. 

9.6 General Provisions of Licenses. 

9.6.1 Each License issued by the Agency shall expire (subject to 

renewal) not later than one year after the date of its issuance. Such License may be 

renewed for subsequent one year periods upon proper application therefore, on forms 

specified by the Agency, but no License shall have any vested right to renewal. 

Page 31 of 73 
9.6.2 If, under the Compact, a State certification is required by a 

prospective Licensee, the Agency may not authorize issue a License to such 

prospective Licensee until State certification is approved. 

9.6.3 After a License has been issued, the Agency may, at any time, at 

the expense of the Licensee, conduct such background or other investigation as it may 

deem appropriate with respect to the Licensee. If such subsequent investigation 

discloses information that would have made the Licensee ineligible for the License if 

such information had been known prior to the issuance of the License, the Agency shall 

revoke the License in accordance with this Section 9.22 of this Code. 

9.6.4 If, after the issuance of a License, an event occurs that would have 

made the Licensee ineligible for the License if such event had occurred prior to the 

issuance of the License, the Agency shall revoke the License in accordance with this 

Secdion 9.22 of this Code. 

9.6.5 If, after the issuance of a License to a Licensee who is obligated to 

obtain a State certification under the Compact, the State certification is revoked, the 

Agency shall revoke the License in accordance with this Section 9.22 of this Code. 

9.6.6 Applicants for Licenses or for renewal of Licenses must be 

accompanied by nonrefundable fees for the following categories of Licenses: (1) new 

employees; (2) employee renewal; (3) new vendors; (4) renewal vendors; 

(5) fingerprints reprints; and (6) badge duplication I replacement. Such fees shall be set 

by the Agency with the approval of the Commission and shall be assessed to represent 

the reasonable cost to the Agency for processing such applications. 
9.6.7 if the Agency determines, on the basis of the background 

investigation and such other information as it may obtain, that an applicant is qualified 

for a License, the Agency may, but shall not be required to, issue such License. The 

Agency, at its sole discretion, may impose any qualifications to such License it deems 

appropriate, or may refuse to issue such License despite an applicant's qualifications. 

9.6.8 Prior to issuing a permanent License to a Gaming Employee, a Key 

Employee, a Primary Management Official, Management Contractor or a Principal of a 

Management Contractor, the Agency shall forward the results of the background 

investigation to the National lndian Gaming Commission in such form as shall be 

required by the National lndian Gaming Commission, in accordance with such 

regulations or procedures as the National lndian Gaming Commission may establish. 

The Agency shall consider any objections of the National lndian Gaming Commission in 

determining whether to issue the requested License. 

9.7 Licensure of Garninq Facilities. No Gaming shall take place at any 

Gaming Facility unless such Gaming Facility has a current License issued by the 

Commission for the conduct of such Gaming at such Gaming Facility on the 

Reservation. A separate License shall be issued for each Gaming Facility; such 

License shall specify whether Class II Gaming, Class Ill Gaming or both is permitted to 

be conducted therein. 

9.7.1 No License shall be issued ta any Gaming Facility unless: 

(a) the floor plans and sunreillance systems for such Gaming Facility 

have been reviewed and approved by the Agency, and 

Page 33 d 73 
(b) the Agency has issued a certficate of compliance with respect to 

the Gaming Facility's floor plan. 

(c) Each Gaming Facility License issued by the Agency shall have a 

primary term sf one year. Such License may be renewed for subsequent periods of one 

year upon proper application therefore, on forms provided by the Commission. 

9.8 Licensure of Manaqernent Contractors. No person, firm or corporation 

shall act as a Management Contractor unless such Management Contractor has a 

current License issued by the Agency. For each Management Contract, a background 

investigation sha31 be conducted of: 

(a) each Person with management responsibility for a Management 

Contract; 

(b) each Person who is a director of a corporation that is a party to a 

Management Contract; 

(c) the ten (10) Persons who have the greatest direct or indirect 

financial interest in a Management Contract; 

(d} any entity with a financial interest in a Management Contract; and 

(e) any other person with a direct or indirect financial interest in a 

Management Contract otherwise designated by the NIGC. 

9.8.1 For each natural person identified above, the management contractor 

shall provide the following infomation: 

(a) full name, other names used (oral or written), social securrty 

number(s), birth date, place of birth, citizenship, and gender; 

Page 34 of 73 
(b) a current photograph, driver's license number, and a list of all 

languages spoken or written; 

(c) business and employment positions held, and business and 

residence addresses currently and for the previous ten (10) years, the city, state 

and country of residence from age eighteen (1 8) to the present; 

(d) the names and current addresses of at least three (33 personal 

references, including one (7) personal reference who was acquainted with the 

person at each different residence location for the past five (5) years; 

(e) current business and residence telephone numbers; 

(9 a description of any existing and previous business relationships with 

Indian tribes, including ownership interests in those businesses; 

(g) a description of any previous and existing business relationships with the 

gaming industry generally, including ownership interests in those businesses; 

(h) 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; 

(i) for each gaming offense and for each felony for which there is an ongoing 

prosecution or a conviction, the name and address of the court involved, the charge, 

and the dates of the charge and the disposition; 

Cj) for each misdemeanor conviction or ongoing misdemeanor prosecution 

(excluding minor traffic violations) within ten (10) years of the date of the application. 

The name and address of the court involved, and the dates of the prosecution and the 

disposition; 

Page 35 of 73 
(k) a complete financial statement showing all sources of income for the 

previous three (3) years, and assets, liabilities, and net worth as of the date of the 

submission; and 

(I) for each criminal charge (excluding minor traffic charges) regardless of 

whether or not it resulted in a conviction, if such criminal charge is within ten (i0) years 

of the date of the application and is not otherwise listed pursuant to paragraphs {i) and 

Ij) of this Section, the name and address of the court involved, the criminal charge, and 

the dates of the charge and the disposition. 

(m) Fingerprints for each person for whom background is provided under this 

Section. 

9.8.2 Each person with a direct or indirect financial interest in a Management 

Contract or management responsibility for a Management Contract shall respond within 

thirty (30) days to written or oral questions submitted by the NIGC. 

9.8.3 The following notices shall be placed on the application form for a License 

before that form is filled out by any applicant for a License for a Management Contract: 

"In compliance with the Privacy Act of 1974, the following information is provided: 

Solicitation of thtS information in this Section is authorized by 25 U.S.C. 5s 2701 ef seq. 

The purpose of the requested information is to determine the suitability of individuals 

with a financial interest in, or having Management Contractor responsibility pursuant to 

a Management Contract. The information will be used by National Indian Gaming 

Commission members and staff and Indian tribal officials who have need for the 

information in the pedormance of their official duties. The information may be disclosed 

to appropriate federal, tribal, state, or foreign law enforcement and regulatory agencies 

Page 36 of 73 
in connection with a background investigation or when relevant te civil, criminal or 

regulatory investigations or prosecutions or investigations of activities white associated 

with a gaming operation. Failure to consent to the disclosures indicated in this 

statement will mean that the Chairman of the National Indian Gaming Commission will 

be unable to approve the contract in which the person has a financial interest or 

management responsibility. 

The disclosure of a person's Social Security Number (SSN) is voluntary. 

However, failure to supply a SSN may result in errors in processing the information 

provided. 

A false statement knowingly and willfully provided in any of the information 

pursuant to this Section may be grounds for not approving the contract in which an 

applicant has a financial interest or management responsibility, or for disapproving or 

voiding such contract after it is approved by the Chairman of the NIGC. Also, an 

applicant may be punished by fine or imprisonment. (US. Code, Title 18, Section 

7 001 .)" 

9.8.4 For each entity identified in this Section, the Management Contractor shall 

provide to NlGC the following: 

(a) each of the ten (10) largest beneficiaries and the trustees when the 

entity is a trust; 

(b) each of the ten (10) largest partners when the entity is a 

partnership, and 

Page 37 of 73 
(c) each person who is a director or who is one of the ten (10) largest 

shareholders of the issued and outstanding stock alone or in combination with another 

stockholder who is a spouse, parent, child or sibling when the entity is a corporation. 

Id) The required information: (i) in paragraph 9.8.1 (a) of this Section for 

each individual identified in subsection 9.3 of this Section; (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 or other 

documents that provide day-to-day operating rules for the organization; (v) a description 

of any existing and previous business relationships with Indian tribes, inchding 

ownership interests in those businesses; (vi) a description of any existing and previous 

business relationships with the gaming industry generally, including ownership interest 

in those business; (vii) the name and address of any licensing or regulatory agency with 

which the entity has filed an application for a License or pennit relating to gaming, 

whether or not such License or permit is granted; (wiii) for each gaming offense and for 

each felony for which there is an ongoing prosecution or a conviction, the name and 

address of the court involved, the charge, and the dates of the charge and disposition; 

(ix) for each misdemeanor conviction or ongoing misdemeanor prosecution within ten 

(10) years of the date of the application, the name and address of the court involved, 

and the dates of the prosecution and disposition; (x) complete financial statements for 

the previous three (3) fiscal years; and (xi) 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 

Pega38~fn 
paragraph 9.8.l(i) and Ij) of this Section, the criminal charge, the name and address of 

the court involved and the dates of the charge and disposition. 

9.8.5 Each entity with a direct or indirect financial interest in a Management 

Contract shall respond within thirty (30) days to writien or oral questions submitted by 

the Chairman. 

9.8.6 Each entity required to submit information under this Section shall sign 

and submit the following statement: "A false statement knowingly and willfully provided 

in any of the information pursuant to this Section may be grounds for not approving the 

contract in which we have a financial interest; or for disapproving or voiding such 

contract after it is approved by the Chairman of the National Indian Gaming 

Commission. Also, we may be punished by fine or imprisonment (PI.!% Code, Title 18, 

Section 1007)." 

9.9 Licensure of Gaming Emplovees, Key Employees and Primary 

Management Officials. No person shall be employed as a Gaming Employee, a Key 

Employee or a Primary Management Official unless such person has a current License 

issued by the Agency, Individuals so licensed shall wear a unique tribal identification 

credential, as issued by the Agency, at all times while on duty in the Gaming Facility. 

9.9.3 The following notices shall be placed on the application form for a License 

before that form is filled out by any applicant for a License for a Gaming Employee, a 

Primary Management Official or a Key Employee: 

"In compliance with the Privacy Act of 1974, the following 

information is previded: Solicitation of the information on this form is 

authorized by 25 3 U.S.C. 2701 et seq. The purpose of the request 

Page 39 ~7 73 
information is to determine the eligibility of individuals ta be employed in a 

gaming operation. The information will be used by National lndian 

Gaming Commissian members and staff who have need for the 

information in the performance of their official duties. The information may 

be disclosed to appropriate Federal, Tribal, State, local, or foreign law 

enforcement and regulatory agencies when relevant to civil, criminal or 

regulatory investigations or prosecutions or when pursuant to a 

requirement by a tribe or the National Indian Gaming Commission in 

connection with the hiring or firing of an employee, the issuance or 

revocation of a gaming License, or investigations of activities while 

associated with a tribe or a gaming operation. Failure to consent to the 

disclosures indicated in this notice will result in a tribe's being unable to 

hire you in a prirnary management official or key employee position. 

The disclosure of your Social Security number (SSN) is voluntary. 

However, failure to supply a SSN may result in errors in processing your 

application. 

A false statement or any part or your application may be grounds far not 

hiring you, or for firing you after you begin work. Also, you may be punished by 

fine or imprisonment. (U.S. Code, Title q8, Section 1007 .)" 

9.9.2 The Agency shall notify all applicants for a Management Contractor's or 

Gaming Employee's License for a position of Key Employee or Primary Management 

Official that upon temporary issuance of a License to the applicant, the Agency must, 

within sixty (60) calendar days, give notice thereof to the National lndian Gaming 

Page 40 of 73 
Commission. In the event the Agency receives, information from the NIGC that such 

Primasy Management Official or Key Employee does not meet the standards 

established in the Act for issuance of such a License, the Agency shall immediately 

suspend such License and give notice thereof to the Licensee. In such circumstances, 

the Licensee may, after receiving notice of the suspension, request that the 

Commission reconsider the Agency's actions. Upon such request for consideration, the 

Commission shall review the information of the NIGC, and shall also consider such oral 

statement(s) or written documentation as the Licensee may present to the Commission 

at the time and place designated by the Commission. Within fifteen (15) calendar days 

of receipt of such staternent(s) or documentation, or the Licensee's request for 

reconsideration, whichever is later, the Commission shall issue a written decision. If the 

Commission's decision is adverse, then the Licensee may appeal the License 

suspension, revocation, or denial pursuant to Section 9 of this Code within thirty (30) 

calendar days of receiving notice thereof. 

9.9.3 In the case of an application for a Gaming Employee's License concerning 

the position far Key Personnel or Primary Management Official, the Agency shall submit 

the following to NIGC: 

(a) a completed application for a License, 

(b) a report on the background investigation undertaken by the Agency 

concerning the applicant; and 

(c) a determination that the applicant is suitable to assume hisher 

duties in that the applicant poses no threat to the public interest or to the effective 
regulation of gaming, and does not create or enhance dangers of unsuitable, unfair or 

illegal practices and methods and activities in the conduct of gaming. 

9.9.4 The completed License application shall be submitted to the NlGC when a 

Key Employee or Primary Management Official begins work under a temporary License. 

Such other documentation as required by section 9.9.3Cb) and (c) shall be shall be 

submitted no later than sixty (60) days after a Key Employee or Primary Management 

Official begins work. A Gaming Operator shall net employ a Key Employee or Primary 

Management Official who does not have a license after ninety (90) days. The report on 

the background investigation undertaken by the Agency shall detail: 

(a) the steps taken in conducting the background investigation, 

(b) the results obtained, 

(c) the conclusions reached, and 

(d) the bases for those conclusions. 

9.9.5 In the event a Gaming Employee's License is not issued to an applicant 

for a Key Employee or Primary Management Oficial position, the Agency shall notify 

the NlGC and shall fonvard its eligibility determination and investigative report to the 

NlGC for inclusion in the Indian Gaming Individuals Records System. The Agency shall 

retain applications for employment and reports of background investigations for 

inspection by the Chairman of the NlGC or hisher designee for no less than three (3) 

years from the date of termination of employment. 

9.1 0 Licensure of Financiers. Any third-party financing extended or guaranteed 

for the Gaming Operation and Gaming Facilities shall be disclosed to the State Gaming 

Agency and persons or entities extending such financing shall be required to be 

Page 42 of 73 
licensed by the Agency and annually certified by the State Gaming Agency, unless said 

person or entity is an agency of the United States or a lending institution licensed and 

regulated by the State or the United States. 

9.1 1 Non-Gaming Emplovees. All persons who are not Gaming Employees but 

work at any facility where Gaming occurs or is supervised or administered, must obtain 

a non-gaming License from the Agency before commencing employment. Such nongaming License may be issued upon a determination by the Agency that the employee 

is not a threat to the effective regulation of Gaming and creates no risk or enhances no 

danger of unfair or illegal practices, methods or activities in the conduct of Gaming. 

Individuals so designated shall wear a unique tribal identification credential, as issued 

by the Agency, at all times while on duty. All applicants for a License shall provide such 

information as the Agency shall require. 

9.j2 Licensure of Distributors. No Person, firm or corporation shall distribute 

Gaming Devices, or component parts thereof, used or to be used in a Gaming 

Operation unless such Distributor has a current License issued by the Agency. 

9.13 Licensure of Manufacturers. No Person, firm or corporation shall use any 

Gambling Device, or component part thereof, in a Gaming Operation unless the 

manufacturer of such Gaming Device, or component part thereof, had a current License 

issued by the Agency at the time of the installation of such Earning Device, or 

component party. 

9.14 Licensure of Providers of Gaminq Services. No Person, firm or 

corporation shall purchase any Gaming Senrice, or enter into a contract, agreement, 

understanding, or any arrangement whatsoever, for the purchase of any Gaming 

Page 43 of 73 
Service, unless the provider of such Gaming Sewice has a current License issued by 

the Agency. 

9.15 Backwound Investigations. The Agency shall conduct, or cause to be 

conducted, background investigation of all License applicants. The Agency shall' 

subject every applicant for a License to a thorough background investigation, and such 

investigations shall be updated upon application for a renewal of such License, and at 

such other times as the Agency may determine to be appropriate. Such background 

investigations shall be performed according to an investigative system, regularly 

updated and improved, that will comply with the requirements of the Act, the Compact, 

this Code, and the Rules. Such investigative system may include review of records of 

all available tribal, state and federal law enforcement agencies, resources of the NIGC, 

communications with other Indian tribes engaged in gaming activities, and any other 

sources of information accessible to the Agency for this purpose. The Agency shall 

maintain files that shall contain all information acquired in the course of its background 

investigation of License applicants. Such information and files shall be secured in such 

a way that the identities of confidential informants and the information itself will be 

protected from inadvertent disclosure so as to comply with the applicable provisions of 

federal statutes protecting individual privacy. All applicants will be notified of their rights 

under the Federal Privacy Act as specified in 23 C.F.R. Part 556. 

9.16 Procedures for Background Investigations. The procedures to be followed 

by the Agency for conducting the background investigations and suitability 

determinations for applicants and licensees are as follows: 

Page 44 of 73 
(a) only the Agency is responsible for the conduct of the background 

investigations and suitability determinations, 

(b) there shall be written operating procedures for investigations 

maintained by the Agency, which at a minimum shall include the following: (i) 

verification in writing of all information submitted by the applicant, (ii) inquiry into the 

applicant's prior activities, criminal record, if any, and reputation, habits, and 

associations; interview by telephone or meeting of a sufficient number of knowledgeable 

people such as former employers, personal references, and others identified on histher 

application; exchange of information with all appropriate agencies, and (iii) identification 

of, and d~cumentation of, all potential problem areas andlor disqualifying information, 

and written disposition of all inquiries into such matters. 

9.17 Information Required of Applicant. The Agency shall request all of the 

following information from each applicant: 

(a) full name, other names used (oral or written), social security 

number(s) andfor tax identification number, birth date, place of birth, citizenship, gender, 

all languages (spoken or written); 

(b) currently and for the previous five (5) years: business and 

employment positions held, ownership interests in those businesses, business and 

residence addresses, and drivers' license numbers; 

(c) the names and current addresses for at least three (3) personal 

references, including one (I) personal reference who was acquainted with the applicant 

during each period of residence listed currently and for the previous five (5) years; 

(d) current business and residence telephone numbers; 

Page 45 of 73 
(e) a description of any existing and previous business relationships 

with Indian tribes, including ownership interests in those businesses; 

(9 a description of any existing and previous business relationships 

with the gaming industryl generally, including ownership interests in those businesses; 

(g) the name and address of any licensing or regulatory agency with 

which the person has filed an application for a License or permit related to gaming, 

whether or not such License or permit was granted, and all disciplinary actions taken 

against the applicant by any federal, state or tribal gaming agency, and by any 

professional, licensing or regulatory body or entity ever having jurisdiction over the 

applicant's professional or business activities, whether related to gaming or not; 

(h) for each felony for which there is an ongoing prosecution or a 

conviction, the charge, the name and address of the court involved, and the date and 

disposition, if any; 

(i) for each misdemeanor conviction or ongoing misdemeanor 

prosecution (excluding minor traffic charges), within ten {iO) years of the date of the 

application, the name and address of the court involved and the date and disposition; 

u) 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 clause (h) or (i), the criminal 

charge, the name and address of the court involved and the date and disposition; 

(k) the name and address of any licensing or regulatory agency with 

which the person has filed an application for an occupational License or permit, whether 

or not such License or permit was granted; 
(I) a current photograph; 

(m) the applicant's complete and current financial disclosure statement; 

(n) any other information the Agency deems relevant; and 

(0) fingerprints consistent with procedures adopted by the Agency 

according to 25 C.F.R. Section 522.2 (h). 

(p) Applicants shall be advised that the information submitted with their 

applications shall be checked and verified with independent sources pursuant to internal 

security and operational procedures established by the Agency. Submission of such 

applications shall be considered agreement by any applicant that such independent 

verification can and shall be conducted by the Agency. In conducting a background 

investigation, the Agency shall keep confidential the identity of each person interviewed 

in the course of the investigation. 

9.18 License Denial. The Agency shall not issue any License to individuals or 

entities required to be licensed under the Code should the Agency determine that said 

individual or entity fails to meet the suitability requirements referenced in this Section 9. 

Individuals or entities denied issuance of a License pursuant to this Section 9 shall have 

a right to request a hearing before the Commission pursuant to Section 9.23. In the 

event an application is denied, the Agency shall inform the applicant by notice sent by 

registered or certfied mail, return receipt requested, and, if it is a Class III application, 

shall inform the State Gaming Agency, giving the reasons and substantiating 

documentation for its decision. The applicant may appeal such decision to the 

Commission, within thirty (30) calendar days of the denial of such application, except 

that, in the event the Management Contractor, or in the absence of a Management 

Page 47 d 73 
Contractor, the Gaming Facility Operator withdraws its Certificate of Sponsorship for 

such applicant, there will be no right of appeal. 

9.19 Notice of Concern. In the event that the Commission or the Agency 

obtains information that the Management Contractor, or in the absence of the 

Management Contractor the Gaming Facility Operator, may have breached any 

provision of this Code or the Compact the Agency shall issue a Notice of Concern to the 

Management Contractor. The Notice of Concern shall include the following: 

(a) A detailed description of the alleged breach, 

(b) A time certain for the Management Contractor, or in the absence of 

the Management Contractor the Gaming Facility Operator, to complete the steps 

outlined for cure of the alleged breach, 

(c] A provision for the Management Contractor, or in the absence of 

the Management Contractor the Gaming Facility Operator, an oppo~unity to meet with 

the Agency's Executive Director to review and discuss the steps taken by the 

Management Contractor to correct the alleged breach. 

(d) The Management Contractor's, or in the absence of the 

Management Contractor the Gaming Facility Operator, completion of the steps outlined 

by the Notice of Concern shall constitute a cure of all alleged breaches contained in the 

Notice of Concern. 

9.20. Notice of Violation. 

9.20.1 In the event that the Commission or the Agency obtains 

information that a breach of the Act, the Compact, this Code, or the Rules has occurred, 

or that a Licensee has failed to complete or refused to complete the steps outlined in a 

Page 48 of 73 
Notice of Concern the Agency shall have authority to issue a Notice of Violation. The 

Notice of Violation shall be submitted to the licensee, the Management Contractor, or in 

the absence of the Management Contractor the Gaming Facility Operator, and the 

Commission. The Agency may also request penalty consideration pursuant to Section 

13 of this Code. A Notice of Violation shall contain the following: 

(a) a citation to the Act, the Compact, this Code, the Rules, that 

has been or is being violated; 

(b) a description of the circumstances surrounding the violation, 

set forth in common and concise language; 

(c) the action(s) which must be taken to correct the violation; 

(d) notice that the violation must be corrected within a time 

deemed appropriate by the Agency from receipt of the notice, or if contested, explained 

in writing within fifteen (1 5) calendar days of the Agency's determination on the matter; 

(e) notice of the civil fine or other enforcement action that will or 

could be imposed if the violation is not corrected; 

If) notice that a written response to the notice ~f violation must 

be submitted to and received by the Agency within fifteen (15) calendar days of the 

receipt of the notice of violation; and 

(g) notice that the Notice of Violation shall be the written 

decision of the Agency in the event that no written response to the Notice of Violation is 

submitted to the Agency within the time provided in this Section. 

Page 49 d 73 
9.20.2 In the event the violation is not corrected or a written response to 

the Notice of Violation is not made within fifteen (15) calendar days following receipt of 

the Notice of Violation, the Agency may take one or more of the following actions: 

(i) recommend that the Commission suspend or revoke the License of the person or 

entity to whom the Notice of Violation was directed, (ii) assess a civil penalty in 

accordance with the provisions of this Code, andfor (iii) forcibly remove the violator from 

the Gaming Facility. 

9.20.3 Each person or entity to whom a Notice of Violation is issued shall 

submit a written response to the Agency within fifteen (75) calendar days of the receipt 

of the Notice of Violation, together with any additional information the person believes 

that the Agency should consider. Upon receipt of the written response, the Agency 

shall issue a written decision within fifteen (15) calendar days, and shall mail such 

decision to the Person or enti@ who is the subject of the Notice of Violation by certified 

or registered mail, return receipt requested. In the event of an adverse decision from 

the Agency, the party responding to the Notice of Violation may, within thirty (30) 

calendar days, appeal the matter to the consideration of the Commission. In the event 

of an adverse decision from the Commission, the party responding to a Notice of 

Violation may appeal the matter to the Tribal Court. In such instance, the Court's power 

of review shall' be limited to issues of due process, and the Tribal Court shall not review 

any determination regarding the merits or correctness of the underlying administrative 

decision. The Tribal Court shall hear the appeal within ten (qO) days, excluding 

weekends and holidays, and shall render a written decision within ten (10) days, 

excluding weekends and holidays, after the hearing. 

Page 50 of 73 
9.21 lnvesticfations of Complaints. The Agency shall review and 

consider all complaints allleging a violation of the terns of the Act, the Compact, this 

Code, the Rules, and in its discretion investigate whether such violation may exist. The 

Agency shall investigate any reports that the Gaming Facility is not being properly 

maintained in accordance with the terms of any License or does not adequately protect 

the health, safety and welfare of the employees or patrons. 

The Agency shall give written notice of, and provide a copy of, the 

complaint directly to the Licensee and to the Management Contractor, or in the absence 

of a Management Contractor the Gaming Facility Operator, or by mailing such notice 

and complaint by certified or registered mail, return receipt requested. The Licensee 

shall file with the Agency a written reply to the complaint within fieen (15) calendar 

days of receipt of the notice and complaint. 

9.22 Suspension or Revocation of Licenses. Any License issued by the 

Agency under this Code shall constitute a revocable privilege to conduct the licensed 

activity and shall not create a right in the licensee to conduct that activity. Any such 

License may be suspended or revoked 'by the Agency for breach of any of the 

provisions of the Act, the Compact, this Code, and the Rules, upon hearing before the 

Commission after prior notice to the Licensee and the Management Contractor. The 

Licensee, his or its attorney and any person affected by the License shall have the right 

to be present at any hearing conducted in accordance with this clause and to offer 

sworn oral or documentary evidence relevant to the alleged violation. A License may 

be summarily suspended if the continued licensing of a person or entity constitutes an 

Page 51 of 73 
immediate threat to the public health, safety or welfare. The Agency shall provide copies 

of any License suspension1 revocation appeal to the Commission. 

9.23 Riqht of Appeal. 

A Person contesting any finding of the Commission pursuant to Section 9 

of this Code, shall have the right to appeal such finding by filing for an appeal before the 

Commission. 

9.24 Appeal Procedures. 

9.24.1 . Any such appeal must be filed by such affected Person 

("Appellant") with the Agency in writing on or before the tenth (10th) day following 

receipt of the written findings of the Agency. 

9.24.2 The Appellant, his or its attorney and any person affected by 

the License shall have the right to be present at an appeal conducted in accordance 

with this Section. 

9.24.3 The Commission shall afford an Appellant an opportunity for 

a hearing in accordance with the terms of this Code, and the Rules and regulations 

promulgated thereunder. 

9.24.4 The Commission shall afford an Appellant the opportunity for 

a hearing prior to taking final action resujting in the revocation of the License or the 

imposition of any penalties which the Commission is authorized to impose pursuant to 

this Code, and the Rules and regulations promulgated thereunder. 

9.24.5 Nothing in this Section shall limit the Commission's authority 

to issue a temporary order without a hearing pursuant to Section 6.of this Code. 

9.25 v. 

Page 52 d 73 
9.25.1 The Commission shall provide written notice to the Appellant 

of the hearing at least ten (10) business days, excluding weekends and holidays, prior 

to the date set for the hearing. The day the Appellant receives the notice shall be 

considered a full day" notice under this Section. The notice shall be sent by registered 

or certified mail, or may be personally sewed upon the Appellant. The notice shall state 

the date, time and place of the hearing. The notice shall also contain an indication of 

the action(s) being considered by the Commission, including, but not limited to: 

(a) whether the Commission is holding the hearing for the purpose of 

obtaining further information from the Appellant; 

(b) whether the Commission will be considering the grant or denial of the 

License Application; 

(c} whether the Commission will be examining any alleged violations of the 

Code, the Compact, the Act, the conditions of any License issued by the Commission, 

any order by the Commission; or 

(d) whether any other sanctions or penalties will be considered. 

9.26 Appearance throu~h Counsel. 

9.26.3 Parties to al! hearings governed by this Chapter may appear 

personally or through an attorney, except that a party must personally attend any 

hearing on the merits unless his attendance has been waived, in writing, by the 

Commission. 

9.26.2 When a party has appeared through an attorney, service of all 

notices, motions, orders, decisions and other papers shall thereafter be made upon the 

attorney, unless the party requests otherwise in writing. 
9.26.3 When a party is represented by an attorney, the attorney shall sign 

all motions, notices, requests, and other papers on behalf of the party, including a 

request for subpoenas. 

9.27 Discovew Procedures for Enforcement Hearinqs. 

9.27.1 The Commission andlor the Commission's legal counsel and the 

Appellant shall exchange a list of persons that each party intends to call as witnesses 

no later than five (5) days, excluding weekends and holidays, before a scheduled 

enforcement hearing. The day the list is received shall be considered a full day's notice 

under this Section. Each witness shall be identified by name, if known, position, and 

business address. If no business address is available, a home address for the witness 

shall be provided. Any witness not identified in accordance with this Section may be 

prohibited from testifying at a hearing in the Commission's discretion. 

9.27.2 The Commission andlor the Commission's legal counsel, the 

Agency, and the Appellant shall exchange a copy of all documents or tangible things 

that they intend to offer as evidence in support of each party's case in chief. This 

exchange shall be made to the opposing party no later than five (5) days, excluding 

weekends and holidays, befare a scheduled enforcement hearing. The day the 

documents are received shall be considered a full day's notice under this Section. 

Failure to make available any document or tangible thing in accordance with this 

Section may, in the Commission's discretion, be grounds to deny the admission into 

evidence of such document or tangible thing. 

9.28 Confidential Materials. 

Page 54 d 73 
All information, documents, testimony, and other evidence pertaining to a 

Commission hearing is confidential subject only to disclasure according to the Act, 

Code, Compact, the Rules, or applicable court or administrative order. 

9.29 Hearing Procedures. 

9.29.7 The Chair of the Commission, or in the absence of the Chair 

another Commission member as designated by the Commission, shall preside over all 

hearings, and shall call the proceedings to order, control the presentation of evidence, 

the appearance of witnesses, and the order of the proceedings. 

9.29.2 The Commission may require any person, including, but not limited 

to, any Applicant or Licensee, or any agent, employee or representative of any 

Applicant or Licensee, to appear and test@ before it with regard to any matter within its 

jurisdiction at such time and place as it may designate. Such testimony shall be under 

oath and may include any matters which the Commission deems relevant to the 

discharge of the Commission's official duties. Testimony shall be recorded providing a 

full, verbatim transcript of the proceedings, and may be used by the Commission as 

evidence in any proceeding or matter before the Commission. 

9.29.3 Any party to the hearing may call and examine witnesses. The 

Commission shall exercise its discretion to limit the testimony of witnesses where that 

testimony is argumentative or repetitive. 

9.29.4 The Commission shall have the authority to eject from the hearings 

any person who is disruptive, disorderly, or who shows a lack of proper respect for the 

Commission or the nature of the proceedings. 
9.29.5 Persons shall be permitted to speak only when recognized by the 

presiding hearing chairperson. 

9.29.6 Any member of the Commission may ask questions of witnesses, 

and may request or allow additional evidence at any time. 

9.29.7 The Applicant or Licensee or their representatives may conduct 

cross-examinations reasonably required for a full and true disclosure of the facts. 

9.29.8 In any hearing involving employees or agents of the Management 

Contractor, or in the absence of a Management Contractor, the Gaming Facility 

Operator, they may be present and may offer such testimony, evidence or argument 

concerning the matters at issue as they may deem appropriate. 

9.29.9 The Commission, in its discretion, has the power to sequester 

witnesses. 

9.30 Evidence 

9.30.1 In hearings governed by this provision, the Commission shall not 

be bound by technical rules relating to evidence and witnesses. The Commission shall 

admit all testimony that is relevant, material and which has reasonable probative value, 

but shall exclude immaterial, irrelevant or unduly repetitious testimony. The 

Commission shall give effect to the rules of privilege unless such privilege is waived. 

Basic principles of relevancy, materiality and probative force shall govern the proof of all 

questions of fact. Objections to evidentiary offers and offers of proof of evidence not 

admitted may be made and shall be noted in the record. 

9.30.2 All evidence, including records and documents in the possession 

of the Commission or which the Commission desires to avail itself, shall be duly offered 

Page 56 d 73 
and made a part: of the record in the case. Every party shall be afforded adequate 

opportunity to rebut or offer countervailing evidence. 

9.30.3 The Commission may take official notice of any generally 

recognized fact or any established technical or scientific fact; but parties shall be 

notified either before or during the hearing or by full reference in preliminary reports or 

otherwise, of the facts so noticed, and they shall be afforded an opportunity to contest 

the validity of the official notice. 

9.30.4 Documentary evidence may be received in the form of copies or 

excerpts, if the original is not readily available. Upon request, parties shall be given an 

opportunity to compare the copy to the original. 

9.30.5 The record in a hearing governed by this Code shall include: 

(a) All Applications, intermediate rulings and exhibits and appendices 

thereto. 

(b) Evidence received or reviewed, stipulations and admissions, 

including but not: limited to confidential evidence received pursuant to the 

confidential materials provision of this Code. 

(c) A statement of matters officially noticed. 

(d) Questions and offers of proof, objections, and rulings thereon. 

{e) Any decision, opinion, findings or report by the Commission. 

(f) A transcript of the hearing. 

9.31 Determinations by the Commission. 

9.31 .I The Commission shall make all determinations of issues before it 

by a majority vote of the Commission. 
9.31.2 All determinations made by the Commission involving the grant, 

denial, cancellation or revocation of a License, a finding of a violation of this Code, the 

Rules, the Compact, IGRA, the conditions of any License issued by the Commission, 

any order by the Commission, and the imposition of any sanctions or penalties shall be 

made by motion and on the record. 

9.31.3 A copy of any resolution reached pursuant to this Section shall be 

served upon the Applicant or Licensee by registered or certified mail, or may be served 

personally. 

9.32 Sanctions. 

9.32.1 If any party or its attorney fails to comply with any provision of this 

Code, the Rules and Regulations developed by the Commission pursuant to the Code, 

the Compact, the Act, the conditions of any License issued by the Commission, or any 

order by the Commission, the Commission, upon motion or upon its own initiative, may 

in its discretion impose upon such party appropriate sanctions in regard ta the failure(s) 

as are just, including, but not limited to, the following: 

(a> An order prohibiting the use of any witness, document or tangible 

thing which should have been disclosed, produced, exhibited or exchanged 

pursuant to these Rules or any order of the Commission; 

(b) An order that such party may not support or oppose designated 

claims or defenses; 

(c) An order striking any pleadings or parts thereof, or staying further 

proceedings or dismissing the proceeding or any part thereof, or entering a 

judgment by default against such party; 

Page 58 d 73 
(d) A finding against such party; or 

(e) Any sanction othervvise set forth in this Code. 

9.32.2 Appeal to Tribal Court. 

Subject to the burden of proof set forth in Section 9.11 of this Code, decisions of 

the Commission to affirm the denial, suspension or revocation of a License pursuant to 

this Section 9 may be appealed to the Tribal Court of the Community by the aggrieved 

Person by written notice submitted to the Tribal Court and Commission within ten (10) 

days following receipt of the notice of the Commission's decision. 

9.33 Procedure. 

The Tribal Court shall schedule a hearing no sooner than twenty (20) days after 

nor later than thirty (30) days from the date the notice of appeal is filed and shall 

provide written notice of the hearing to the parties. The parties shall submit any written 

statements and any supporting evidence to the Court and the opposing party at least 

seven (7) days prior to the scheduled Court hearing. 

9.34 Review. 

The Court's power of review shall be limited to issues of due process, and shall 

Not entail any determination regarding the merits or correctness of the underlying 

administrative decision. In all appeals before the Tribal Court, there shall be deference 

given by the Tribal Court to the determination of the Commission as the body charged 

with the responsibility of interpreting its own regulations. In all cases, the standard on 

review shall be a preponderance of evidence. 

9.35 Court Findinqs. 
The Court shall issue its written decision within ten (10) days after the hearing. 

The decision of the Tribal Court shall be final. 

9.36 Stav Pending Review. 

The effectiveness of any action to suspend or revoke an existing License shall be 

stayed during any period of an appeal. However, a License may be summarily 

suspended by the Agency if the continued licensing of a person or entity constitutes an 

immediate threat to the public health, safety or welfare. 

SECTION 10 

STANDARDS OF OPERATION AND MANAGEMENT 

1 Class 11 Gaminq. The Commission shall adopt minimum standards for 

internal controls and rules of play for Class II Gaming in compliance with the Act, 

Compact, this Code and the Rujes. 

10.2 Class 111 Gaminq. The Commission shall adopt minimum standards for 

internal controls and rules of play for Class Ill Gaming in compliance with the Act, the 

Compact, this Code and the Rules. In compliance with the then current Management 

Agreement (if any) the Commission shall allow the Management Contractor to review 

and participate in the drafting of the minimum standards for internal controls prior to the 

adoption of the minimum standards for internal controls. 

10.3 Internal Controls. The Internal controls shall include the plan of 

organization and all of the coordinate methods and measures adopted within a Gaming 

Operation to safeguard its assets, check the accuracy and reliability of its accounting 

data, promote operational efficiency and encourage adherence to prescribed 

Page M) of 73 
managerial policies. Generally, internal controls shall include a system of accounting 

controls and a system of administrative controls. The initial technical standards for 

Electronic Games of Chance shall be those set forth as Appendix "A" of the Compact. 

10.4 Annual Audit. In compliance with Section 1 I (b) (2) (C) and (D) of the Act, 

25 U.S.C. § 2710 (13) (2) (C) and (D), each Gaming Operation shall be subject to an 

audit by independent certified public accountants engaged 'by and reporting to the 

Community Council, licensed in the appropriate State, having in-depth knowledge of, 

and experience with, the accounting standards and auditing procedures appropriate for 

the Gaming industry. This audit shall be peliformed not less than annually, and copies 

of the annual audit shall be provided to the Commission, State Gaming Agency, the 

Agency and to the National Indian Gaming Commission. Such independent certified 

public accountant shall submit an audit report expressing an unqualified or qualified 

opinion or, if appropriate, disclaim any opinion on the financial statement taken as a 

whole in accordance with generally accepted auditing standards published by the 

American Institute of Certified Public Accountants. The examination and audit shall 

disclose whether the accounts, records and internal controls and accounting procedures 

maintained by the licensed Gaming Facility are as required by the Act, the Compact, 

this Code and the Rules. All contracts for supplies, services or concessions for a 

contract amount in excess of $25,000 annually (except contracts for professional legal 

or accounting services) relating to Gaming shall be subject to such audits. Pursuant to 

Section lZ(9) of the Compact, the annual audit shall also report the Community's Class 

Ill Net Win, as defined in the Compact, and shall include or be supplemented by an 

Page 61 oi 73 
attestation by the auditor that Class Ill Net Win is accurately reported consistent with the 

terms of Appendix I to the Compact. 

10.5 Additional Infomation. The Agency may, when it deems necessary, 

request additional information from either the Management Contractor, or in the 

absence of a Management Contractor the Gaming Facility Operator, or the independent 

accountant, regarding the financial statement, the audit or both. In addition, copies of 

all letters from the independent accountant to the Management Contractor, or in the 

absence of a Management Contractor the Gaming Facility Operator, regarding internal 

control matters shall be provided to the Agency within thirty (30) calendar days after 

receipt by the Management Contractor, or in the absence of a Management Contractor 

the Gaming Facility Operator. Nothing herein shall limit the Community Council or the 

Agency to require such further internal, intennittent or other audits as may be deemed 

appropriate. 

10.6 Facilihr Inspection. The Agency shall no less than monthly and at such 

other times as it believes is warranted, cause detailed inspections to be made of each 

licensed Gaming Facility to assure that such facility is being operated in accordance 

with the terms of the License and of the provisions of the Act, the Compact, this Code 

and the Rules, and that in all other respects the Gaming Facility's operation is in 

furtherance of the purpose of this Code. 

10.7 Unsuitable Methods of Operation. No Licensee shall, in the course of 

involvement with Gaming Activities, undertake any conduct or commit any action that 

harms, or may harm the public health, safety, or general welfare of the Community, or 

that would impose or tend to impose discredit upon the Community or its Gaming 

Page 62 of 73 
Operations and may be grounds for disciplinary action by the Agency in accordance 

with its Rules. 

SECTION I1 

PROHIBITED ACTS 

11 I It shall be a violation of this Code for any Person governed by this Code 

to: 

(a) conduct or participate in any Gaming on the Reservation other than 

at a Gaming Facility; 

(b) receive, distribute, apply or divert any property, funds, proceeds or 

other assets of a Gaming Operation to the benefit of any individual or any other person 

except as authorized by the Act, the Compact, this Code, the Rules or any other 

applicable law, statute or regulation; 

(c) tamper with or manipulate any equipment used in the conduct of 

Gaming with the intent to cause any person to win or lose any wager other than in 

accordance with the publicly announced rules of the Gaming Operation; 

(d) do any other act in connection with the conduct of Gaming with the 

intent to affect the outcome of any wager other than in accordance with the publicly 

announced rules of the Gaming Operation; 

(e) alter or misrepresent the outcome or other event on which wagers 

have been made after the outcome is made sure but before it is revealed to the players; 

(9 place, increase or decrease a bet or determine the course of play 

after acquiring knowledge, not available to all players, of the outcome of the game or 

any event that affects the outcome of the game or which is the subject of the bet, or aid 
anyone in acquiring such knowledge for the purpose of placing, increasing or 

decreasing a bet or determining the course of play contingent upon that event or 

outcome; 

(g} claim, collect or take, or attempt to claim, collect or take, money or 

anything of value made in or from a Gaming Device, with intent to defraud, without 

having made a wager thereon, or to claim, collect or take an amount greater than the 

amount won; 

(h) place or increase a bet after acquiring knowledge of the outcome of 

the game or other event which is the subject of the bet, including past-posting and 

pressing bets; 

(i) reduce the amount wagered or cancel the bet after acquiring 

knowledge of the outcome of the game or other event which is the subject of the bet, 

including pinching bets; 

(i) manipulate, with the intent to cheat, any component of any Gaming 

Device in a manner contrary to the designed and normal operational purpose for the 

component, including but not limited to, manipulating the Gaming Device, with 

knowledge that the manipulation affects the outcome of the game or with knowledge of 

any event that affects the outcome of the game; 

(k) use tokens other than those approved by the Commission or coin 

other than lawful, legal tender of the United States of America, or use a coin not of the 

same denomination as the coin intended to by used in the Gaming Device; 

Page 64 of 73 
(I) possess, with the intent to use, any device to assist in projecting 

the outcome of the game, in keeping track of the cards played, in analyzing the 

probability of the occurrence of an event relating to the game; 

(m) use any device or means to cheat, or possess any such device, at 

a Gaming Facility; 

(n) entice or induce another to go to any place on the Reservation 

where Gaming is being conducted or operated in violation of the provisions of the Act, 

the Compact, this Code, the Rules or any other applicable law, statute or regulation; 

with the intent that the other person play or participate in the Gaming; 

(0) assist, enable or allow any person under the age of twenty-one (21) 

to place a wager in any Gaming Facility. 

{p) participate as a player in any Gaming activities while such persen is 

listed as a person barred from the Community's Gaming Facilities, or 

(q) enter the Gaming Facility while bearing a firearm or other deadly 

weapon, as defined in the Ak-Chin Indian Community Law and Order Code, unless 

specifically authorized by the Agency to do so. 

(r) conduct any of the following: (i) locating an automatic teller 

machine ("ATM") adjacent to or in close proximity to, any Gaming Device as defined 

pursuant to Compact; (ii) locating in a Gaming Facility an ATM that accepts electronic 

benefit transfer cards issued by a state or federal program intended to provide for needy 

families or individuals; (iii) accepting checks or other non-cash items issued pursuant to 

a state or federal program that is intended to provide for needy families or individuals; 

Page 85 of 73 
and (iv) for the Gaming Facility Operator to extend credit to any patron of a Gaming 

Facility or Gaming Activity. 

(s) permit persons who are obviously intoxicated to participate in 

Gaming activities; 

(t) knowingly cater to, assist, employ or associate with, in business 

affairs, persons who have been barred from the Gaming Facilities, or with persons who 

have been identified in writing by the Commission, the Agency or the State Gaming 

Agency as persons of notorious or unsavory reputation, or with persons who have 

extensive police records, or with persons who have defied congressional investigative 

committees or other officially constituted bodies acting on behalf of the United States or 

any state with regard to Gaming; 

(u) employ in any position any person who has been denied a License 

for such position from the Agency, and employing any person lacking a Commissionissued Gaming License in any position for which such a License is required; 

(v) contract for Gaming Services or Gaming Devices with any person 

or entity who has been denied a License to supply Gaming Sewices or Gaming Devices 

by the Commission, and contract for the senrices, merchandise or equipment with any 

person or entity who has failed to obtain a License to supply services, merchandise or 

equipment from the Agency, if required; 

(w) after receiving notification from the Agency, employ in the Gaming 

Operation any person whom the Community or any courl has found guilty of cheating or 

using any improper device in connection with any game, whether as a licensee, dealer 

OF player at a licensed game or device, as well as any person whose conduct of a 

Page % of 73 
licensed game as a dealer or other employee of a licensee resulted in revocation or 

suspension of the License of such licensee; 

(x) conduct, carry on or operate any Gaming Activities on Tribal lands 

which are not conducted, or operated on the premises of a licensed Gaming Facility, 

except in the event of a Class I1 per-event activity conducted pursuant to a permit 

issued by the Agency; 

(y) conduct, carry on or operate any cheating or thieving game or 

device on or off the Gaming Facility premises, knowingly which may have in any 

manner been tampered with or otherwise placed in a condition, or operated in a 

manner, which tends to deceive the public or which might make the game more liable to 

win or lose, or which tends to alter the normal random selection of criteria that 

determine the results of the game; 

(t) deny any agent of the Agency, the appropriate State Gaming 

Agency, the Ak-Chin Indian Community Police or other officials having jurisdiction, upon 

proper and IawFul demand, access to and inspection or disclosure of, any portion of the 

Gaming Facility, as authorized by applicable laws and regulations. 

(aa) alter or misrepresent any Gaming Facility promotional coupon, 

credit, document or other tangible item. 

SECTION 12 

PATRON DISPUTES 

12.7. Patron Disputes. 

A Patron Dispute occurs when a Patron does not receive money or other items of 

value based on Gaming Activity within a reasonable amount of time from the 

Page 67 of 73 
Management Contractor, or in the absence of a Management Contractor the Gaming 

Facility Operator. Whenever the Management Contractor, or in the absence of a 

Management Contractor the Gaming Facility Operator, refuses to pay winnings to a 

Patron, and the Management Contractor, or in the absence of a Management 

Contractor the Gaming Facility Operator, and the Patron are unable to resolve the 

dispute to the satisfaction of the Patron, and the dispute involves: 

(a) at least five hundred dollars ($5001, the Management Contractor 

shall immediately notify the Agency. 

(b) less than five hundred dollars ($500), the Management Contractor 

shall inform the Patron of hisfher right to request that the Agency conduct an 

investigation. Upon request of the Patron, the Agency shall conduct whatever 

investigation it deems necessary and shall determine whether payment should be 

made. 

12.2 Notice. 

The Management Contractor, or in the absence of a Management 

Contractor the Gaming Facility Operator, shall receive notice of all Patron disputes 

within three (3) days, excluding weekends and holidays, following receipt of same by 

the Agency. The Management Contractor, or in the absence of a Management 

Contractor the Gaming Facility Operator, shall receive seven (7) days advance notice of 

any hearing regarding any Patron dispute. All hearings that affect the interest of the 

Management Contractor, or in the absence of a Management Contractor the Gaming 

Facility Operator, shall be subject to the protections as outlined in Section 9 of this 

Code. 

Page 68 off 3 
12.3 Asencv and Commission Hearinqs. 

The Agency shall notify the Management Contractor, or in the absence of 

a Management Contractor the Gaming Facility Operator and the Patron of its decision 

related to the dispute within thirty (30) calendar days after the date the Agency receives 

notification from the Patron. The decision of the Agency is effective on the date it is 

received by the aggrieved party as reflected on the return receipt. Within thirty (30) 

calendar days after the date of receipt of the written decision, the aggrieved party may 

file a petition with the Commission requesting a review of the Agency's decision. The 

Commission may set a hearing on the matter or make a decision based solely upon the 

prior decision and other documentation provided to it by the Patron and the 

Management Contractor. The Commission shall then issue a written decision and shall 

mail it to the parties by registered mail or certified mail, return receipt requested. Any 

hearing shall be conducted pursuant to Section 9 of this Code. 

12.4 Appeals to the Tribal Court. 

A Patron may appeal the Commission's decision to the Tribal Court within 

thirty (30) days of receipt of the Commission's written decision. The Tribal Court shall 

have jurisdiction to hear and render decisions on Patron Disputes. Disposition of the 

action in Tribal court will be final and binding upon all parties in accordance with Tribal 

law. If not delineated in this Section 12, the appeal will be subject to the rules, 

procedures, and evidentiary requirements used by the Tribal Court at the time the 

appeal is filed. 

12.5 Procedure. 

The Tribal Court shall schedule a hearing within twenty (20) days of 
receiving the written appeal and provide written notice of the hearing to the parties. The 

parties shall submit any written statements and any supporting evidence to the Court 

and the opposing party at least seven (7) days prior to the scheduled Court hearing. 

12.6 Review. 

The Court's power of review shall be limited to issues of due process, and 

shall not entail any determination regarding the merits or correctness of the underlying 

administrative decision. In all appeals before the Tribal Court, there shall be deference 

given by the Tribal Court to the determination of the Commission. In all cases, the 

standard on review shall be a preponderance of evidence. 

12.7 Court Findings. 

The Court shall issue its written decision within twenty (20) days of the 

hearing. The decision of the Tribal Court shall 'be final. 

SECTION f3 

PENALTIES 

13.1 Any individual or entity who violates, attempts to violate, or conspires to 

violate, any provision of the Act, the Compact, this Code or the Rules may be subject to 

civil penalties including exclusion from employment by any Gaming Operation, denial, 

suspension or revocation of a License, exclusion from attendance at any Gaming 

Facility, exclusion from the Resewation if a non-member of the Community, or, with 

respect to any person subject to the civil jurisdiction of the Community to impose such 

fines, a fine of not more than $25,000 for each such violation. Any such violation may 
also be referred to the appropriate law enforcement agency for possible criminal 

prosecution. 

13.2 No action of the Agency andlor Commission to impose a civil penalty 

pursuant to this Section 13 shall be valid unless the person or entity affected is given 

notice of their right to appeal the penalty before the Commission, either in person or 

through a representative or legal counsel, and to submit such evidence for review by the 

Agency andlor Commission. Notwithstanding the foregoing, if the Agency deems it 

necessary to protect the public interest and the integrity of Gaming, the Agency may 

take such action with immediate effect as it deems required, and shall thereupon 

provide notice and an opportunity to be heard to the affected person or entity as soon 

as is reasonably practicable following such action. 

SECTION f4 

REPEAL 

To the extent that they are inconsistent with this Code, all prior Codes governing 

Gaming Activities are hereby repealed. 

SECTION 15 

AMENDMENTS 

This Code may be amended from time to time by a duly authorized Community 

Council resolution. 

SECTION 16 

SOVEREIGN IMMUNIN 

The Ak-Chin Community Tribal Council confers on the C;ornmission, the 

Commissioners, the Agency, the Executive Director, and the Agency's employees and 

Page 71 of 73 
agents while acting within the course and scope of their respective employment or official 

capacity, all of the Community's rights, privileges, immunities and sovereign immunity 

from suit, to the same extent as the Community. 

SECTION 17 

SEVEMBILIN 

Each provision of this Code shall be separate and independent of the other 

provisions. If any tribunal of competent jurisdiction finds any provision of this Code to be 

invalid or unenforceable, the remaining provisions shall remain in full force and effect to 

the extent possible. 

CER TIFECA 710N 

Pursuant to the authority contained under Article VIII, Section ?(a), (b), (c), (I) 

and (m) of the Articles of Association of the Ak-Chin lndian Community, approved by the 

Secretary of the Interior on December 20, 1961, by a quorum of 3 members present at a 

Regular Council meeting held on April 15, 2008, at Maricopa, Ak-Chin lndian 

Resenration, Arizona, by a vote of 4 for, Q against, ,Q not voting, and -1 absent; the 

foregoing Ak-Chin lndian Community Gami 

A EST: hewit 

Delia M. Carlyle, Acting ~edretary 

Ak-Chin lndian community Council