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WWW.NIGC.GOV

February 28, 2022

Ms. Lisa Estensen

Assistant Attorney General

Yavapai Apache Nation

2400 W. Datsi St.

Camp Verde, AZ 86322

lbluelake@yan-tribe.org

Re: Yavapai-Apache Nation Gaming Code amendments, Res. No. 06-22

Dear Ms. Estensen:

This letter responds to your February 1, 2022 request on behalf of the Yavapai-Apache Nation for 

the National Indian Gaming Commission Chairman to review and approve amendments to the Nation’s 

Gaming Code. 

Resolution Number 06-22 amends the Nation’s Gaming Code to reflect recent amendments to the 

Gaming Compact with the State of Arizona. The Nation has also adopted additional minor amendments to 

bring the ordinance into strict compliance with IGRA and NIGC regulations.

The amendments are consistent with the requirements of the Indian Gaming Regulatory Act and 

NIGC regulations, and are hereby approved. If you have any questions concerning this letter or the 

ordinance review process, please contact Jennifer Lawson at Jennifer_lawson@nigc.gov.

Sincerely,

E. Sequoyah Simermeyer

Chairman
RESOLUTION NO. 0~ -22 

OF THE GOVERNING BODY OF THE 

YAVAPAI-APACHE NATION 

A Resolution Adopting Amendments to the Nation's Gaming Code 

and Authorizing Resubmission to the NIGC for Approval 

WHEREAS: The Yavapai-Apache Tribal Council ("Council") is authorized to represent the 

Yavapai-Apache Nation ("Nation") and act on all matters that concern the health 

and welfare of the Nation, and to make decisions not inconsistent with or contrary 

lo the Constitution of the Yavapai-Apache Nation («Constitution") as provided 

under Article V(a) of the Constitution; and 

WHEREAS: The Com1cil, as the legislative body of the Nation, is authorized to take any and 

all actions necessary ru1d proper for the exercise of its Constitutional powers and 

duties, including those powers and duties not enumerated, and all other powers 

and duties now or hereafter delegated to the Council, or vested in the Council 

through its inherent sovereignty, as provided under Article V (w) of the 

Constitution; and 

WHEREAS: The Council is authorized to enact laws, ordinances and resolutions incidental to 

the exercise of its legislative powers as provided under Article V (v) of the 

Constitution; and 

WHEREAS: The Council is authorized to negotiate and enter into agreements with federal, 

state and local governments and to manage all tribal economic affairs and 

enterprises as provided under Article V (b) and (i), respectively, of the 

Constitution; and 

WHEREAS: On December 27, 2002, the Nation executed the Yavapai-Apache Nation and 

State of Arizona Gaming Compact, which became effective in February 2003 (the 

"2003 Compact"), and on January 8, 2009, pursuant to Resolution No. 03-09, the 

Council approved amendments to the 2003 Compact; and 

WHEREAS: In 201 6, Arizona Governor Doug Ducey proposed modernizing the Gaming 

Compact with the Arizona tribes and on December 12, 201 6, pursuant to Council 

Resolution No. 222-16, the Com1cil approved a Memorandwn of Agreement with 

the State of Arizona under which the Nation and the State of Arizona agreed to 

enter into good faith negotiations regarding compact amendments; and 

WHER...EAS: After more H1an four years of negotiation, the Councii approved the YavapaiApache Nation and State of Arizona P.mendcd and Restated Gaming Compact 

("2021 Compact") on February 18, 2021 pursuant to Council Resolution No. 31-

21; and 

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/'.dn;1ti11~ A;1...:ndrm::,:; ,;i l,w 1->n'n1:"., C.,rni!oi' CorL i:n ·i 1\ Li!h,H'i,:in3 l·C.:sdrn1i·,:sic1 t<> i,H.:c for ;\ppn,val 

V,.r,ion # I (l 17-1:.) 
WHEREAS: The Indian Gaming Regulatory Act ("IGRA") requires that the Nation adopt a 

tribal gaming ordinance in order to engage in, license and regulate gaming on the 

Nation's Indian lands and that such ordinance, and any amendments, be approved 

by the Chair of the National Indian Gaming Commission ("NIGC"); and 

WHEREAS: The Council adopted the Nation's Gaming Code as Title 8 of the Yavapai-Apache 

Nation Code on July 13, 2006, by Resolution No. 55-06, which was approved by 

the NJGC on July 21, 2006; and 

WHEREAS: On September 15, 2016, the Council adopted Resolution No. 180-16 adopting the 

Revised Gaming Code, which was approved by the NIGC on November 21, 2016; 

and 

WHEREAS: The purpose of the Gaming Code is to make lawful and regulate the operation and 

conduct of Class 11 and Class IJJ gaming activities conducted by the Nation on its 

Indian Lands so that revenue may be produced to fund Tribal governmental 

operations and programs which promote the heal, education, and welfare of the 

nation and its members and which promote Tribal economic development; and 

WHEREAS: The Nation's Tribal Gaming Office, Cliff Castle Casino, and the Nation's Office 

of the Attorney General recommend amendments to the Gaming Code to 

correspond with the 2021 Compact and provide other clarifying amendments as 

set forth in Exhibit A (altached to this Resolution and incorporated herein by 

reference) and outlined in Exhibit B (attached to this Resolution and incorporated 

herein by reference); and 

WHEREAS: The Council adopted the amendments to the Gaming Code and authorized their 

submission to the NIGC for approval on December 2, 2021, by Resolution No. 

234-21 ; and 

WHEREAS: Following submission of the amendments, NIGC requested additional 

amendments to previously existing language in Sections 103(b), 403(b), and 

Section 502(b) of the Gaming Code; and 

WHEREAS: The Nation's Office of the Attorney General also recommends an additional 

clarifying amendment to Section 302(b); and 

WHEREAS: The additional amendments to the Gaming Code are highlighted in Exhibit A; and 

WHEREAS: The Council finds it in the best interest of the Nation to adopt the amendments to 

the Gaming Code as set forth in Exhibit A and to resubmit the amendments to 

NIGC for approval. 

NOW THEREFORE BE IT RESOLVED that the Yavapai-Apache Tribal Council, 111 Collllcil 

assembled, at which a quorum is present, hereby adopts the amendments to the Gaming Code as 

set forth in Exhibit A 

Paf:.~ :2 o:· 3 

.'\dor:'.lti .,. /\J!1~n·1nn. "ll~ ti..") :;•u·.~ i\atiou~~ C ~rnin~ ( (H.::...~ :d··:l ..-\ u~1:c:H·i:t:i11_; · Re~·ubn.i•.;~;it).~ 1(, 1"\.!h-jC fr1r ,\pprnv·:ll 
BE IT FURTHER RESOLVED that the Council hereby authorizes the resubmission of the 

amended Gaming Code along with a copy of this Resolution to the NIGC for approval. 

BE IT FURTHER RESOLVED that the amended Gaming Code, once approved by the NlGC 

Chair, shall supersede all prior enactments of the Gaming Code and any other prior enactments 

that are inconsistent with the amended Gaming Code. 

BE IT FURTHER RESOLVED that the amended Gaming Code shall be filed with the Council 

Secretary, Tribal Gaming Office, the Cliff Castle Casino, the Clerk of the Nation's Tribal Court, 

the Human Resources Department, and the Office of the Attorney General. 

BE IT FINALLY RESOLVED that the Chairman and Vice-Chairwoman, or either of them, are 

hereby authorized· to take such further action as deemed necessary to carry out the intent and 

purposes of this Resolution. 

CERTIFICATION 

I hereby certify that the foregoing resolution was adopted by an affirmative vote of the 

Tribal Council, with a quorum in attendance, presented for approval on ~ .,__._'-"'4 2.J 

2022, by a vote of - ~ _in favor,_E__opposed and _Q__abstaining, pursuant to the authority 

contained under the Constitution of the Yavapai-Apache Nation as cited above. 

ATTEST: 

Karla Reimer, Council Secretary 

Approved as 10 Form: 

~DIA f ~ n}1⁄2MWI., Ohceofthe Attorney General 

P.t(c l ,•t 

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I ·· TITLE 8 

· YAVAPAI-APACHE NATION 

GAMING CODE 

CHAPTER 1: GENERAL PROVISIONS ............................................................................................................... 1 

SECTION 101. ENACTMENT OF YAVAPAI-APACHE NATION GAMING CODE ................................................................. 1 

SECTION 102. PURPOSE ......................................................................................................................................................... 1 

SECTION 103. GAMING POLICY ............................................................................................................................................ 1 

SECTION 104. INTERPRETATION ......................................................................................................................................... 2 

CHAPTER 2: DEFINITIONS ................................................................................................................................. 3 

CHAPTER 3: YAVAPAI-APACHE NATION TRIBAL GAMING OFFICE ................................................... 10 

SECTION 301. ESTABLISHMENT AND STRUCTURE .......................................................................................................... 10 

SECTION 302. COMMISSION ................................................................................................................................................ 10 

SECTION 303. TRIBAL GAMING 0FF'JCE STAFF ................................................................................................................ 13 

SECTION 304. PR0HJfllTI0N ON IMMEDIATE EMPLOYMENT BY THE GAMING FACILITY OPERATOR .................... 15 

SECTION 305. PROHIBITION ON GAMBLING ..................................................................................................................... 15 

SECTION 306. ETHICS P0LICY ............................................................................................................................................ 15 

CHAPTER 4: LICENSE FOR OPERATING AND CONDUCTING GAMING ACTIVITY ........................... 16 

SECTION 401. WHO SHALL BE LJCENSED ......................................................................................................................... 16 

SECTION 402. APPLICATIONS FOR A TRIBAL GAMING LICENSE ................................................................................... 17 

SECTION 403. BACKGROUND INVESTIGATIONS ............................................................................................................... 20 

SECTION 404. TEMPORARY TRIBAL GAMING LICENSE .................................................................................................. 20 

SECTION 405. ELIGIBILITY DETERMINATION .................................................................................................................. 21 

SECTION 406. ADDITIONAL BACKGROUND INVESTIGATIONS ....................................................................................... 21 

SECTION 407. REPORT TO THE NATIONAL INDIAN GAMING COMMISSION ................................................................ 21 

SECTION 408. DURATION AND RENEWAL OF LICENSES ................................................................................................ 2 3 

SECTION 409: TRIBAL LICENSING STANDARDS .............................................................................................................. 23 

SECTION 410: UTILIZATION OF GAMING EMPLOYEES .................................................................................................... 24 

SECTION 411: IDENTIFICATION ......................................................................................................................................... 24 

CHAPTER 5: DENIAL, SUSPENSION, REVOCATION, AND NON·RENEWAL OF TRIBAL GAMING 

LICENSES .... , .... , ....................................................................................................................................................... 25 

SECTION 501; DISCLOSURE OF POSSIBLE GROUNDS FOR DENIAL, SUSPENSION, REVOCATION ORN ON· 

RENEWAL OF A TRIBAL GAMING LICENSE; CHANGE OF PRINCIPALS ........................................................................... 25 

SECTION 502: GROUNDS FOR DENIAL, SUSPENSION, REVOCATION OR NON-RENEWAL OF A TRIBAL GAMING 

LJCENSE ................................................................................................................................................................................... 25 

SECTION 503: PROCEEDINGS TO DENY A TRIBAL GAMING L!CENSE ........................................................................... 27 

SECTION 504: PROCEEDINGS TO SUSPEND, REVOKE OR NOT RENEW A TRIBAL GAMING LICENSE ...................... 28 

CHAPTER 6: VIOLATIONS OF GAMING CODE, COMPACT OR GAMING R.EGULAT!ONS ................ 31 

SECTION 601: INVESTIGATION RESPONSIBILITIES ......................................................................................................... 31 

SECTION 602: NOTICE OF VIOLATION PROCEDURES ..................................................................................................... 31 

CHAPTER 7: MINIMUM INTERNAL CONTROL STANDARDS; PROMULGATION OF COMMISSION 

GAMING REGULATIONS; REVIEW OF GAMING FACILITY OPERATOR INTERNAL CONTROLS, 

PLANS, RULES, LOTTERIES ............................................................................................................................... 34 

SECTION 701. MINIMUM INTERNAL CONTROL STANDARDS ........................................................................................ 34 

SECTION 702. COMMISSION GAMING REGULAT!ONS ...................................................................................................... 34 

5EC110N 703. REVIEW OF GAMING FACILITY OPERATOR INTERNAL CONTROLS ..................................................... 35 

Adopted on September 15, 2016 by Resolution No. 180-16, as amended on January 27, 2022 by Resolution No. 06· 

22 

j 
SECTION 704. REVIEW OF GAMING FACILITY OPERATOR PLANS, RULES, LOTTERIES AND PROMOTIONS ......... .36 

CHAPTER 8: FINANCIAL PRACTICES AND REPORTING ......................................................................... 38 

SECTION 801. MONTHLY REPORTS ··········· ........................................................................................................................ 38 

SECTION 802. MAINTENANCE OF BOOKS AND RECORDS; TRIBAL GAMING OFFICE ACCESS .................................. 38 

SECTION 803. DEPOSIT OF GROSS RECEIPTS; PAYMENT OF OPERATING EXPENSES ................................................ 39 

SECTION 804. ANNUAL AUDIT ........................................................................................................................................... 39 

SECTION 805. DISPOSITION OF NET REVENUES ............................................................................................................. 40 

SECTION 806. COMPLIANCE WITH INTERNAL REVENUE CODE .................................................................................. ..40 

CHAPTER 9: GAMING OPERATION STANDARDS AND REQUIREMENTS ................................................... 41 

SECTION 901. DESIGNATION OF OFFICER IN CHARGE ................................................................................................... 41 

SECTION 902. REPORTING TO THE TRIBAL GAMING OHICE ........................................................................................ 41 

SECTION 903. PREMISES OPEN TO THE TRIBAL GAMING OFFICE .............................................................................. ..41 

SECTION 904. PATRON DISPUTES ..................................................................................................................................... 41 

SECTION 905. RESTRICTION ON MINORS ......................................................................................................................... 42 

SECTION 906. SAFETY AND SECURITY; SURVEILLANCE ................................................................................................. 43 

SECTION 907. FINANCIAL SERVICES IN GAMING FACILITIES ........................................................................................ 44 

SECTION 908. PROHJBITION AGAINST GAMBLING; CERTAIN EMPLOYMENT RESTRICTIONS ................................. 44 

CHAPTER 10: PROBLEM GAMBLING ............................................................................................................ 46 

SECTION 1001. PROBLEM GAMBLING ............................................................................................................................... 46 

SECTION 1002. LIMITATIONS ON LIABILITY; NO WAIVER OF SOVEREIGN IMMUNITY FOR SELF-EXCLUSION ..... 47 

CHAPTER 11. BARRING; TRESPASS; CONSENT TO JURISDICTION .................................................... 48 

SECTION 1101. BARRING .................................................................................................................................................... 48 

SECTION 1102. TRESPASS ................................................................................................................................................... 49 

SECTION 1103. CONSENT TO JURISDICTION .................................................................................................................... 49 

SECTION 1104. REMEDIES FOR TRESPASS ....................................................................................................................... 50 

CHAPTER 12: LAW ENFORCEMENT AND EMERGENCY PERSONNEL ................................................. 51 

SECTION 1201. COORDINATION ON LAW ENFORCEMENT MAITERS ......................................................................... .51 

SECTJON 1202. LAW ENFORCEMENT SERVICES PLAN ................................................................................................... 51 

SECTION 1203. EMERGENCY MEDICAL AND FIRE SUPPRESSION ................................................................................. 51 

CHAPTER 13: FRAUDULENT ACTS; CHEATING ......................................................................................... 52 

SECTION 1301. CHEATING .................................................................................................................................................. 52 

SECTION 1302. USE OF DEVICE FOR CALCULATING PROBABILITIES ........................................................................... 53 

SECTION 1303. USE OF COUNTERFEIT OR UNAPPROVED OR PROHIBITED OBJECTS, DEVICES OR MEANS IN 

GAMING ACTIVITY UNLAWFUL ........................................................................................................................................... 53 

SECTION 1304. MANUFACTURE, SALE OF DISTRIBUTION OF DEVICES FORA WRONGFUL PURPOSE; 

REBUTTABLE INFERENCE OF CHEATING ........................................................................................................................... 54 

SECTION 1305. MARKING, ALTERATION OR MODIFICATION OF EQUIPMENT AND DEVICES ASSOCIATED WITH 

GAMING; UNLAWFUL INSTRUCTION .................................................................................................................................. .54 

SECTION 1306. REMEDIES FOR FRAUDULENT ACTS; CHEATING ................................................................................. 54 

SECTJON 1307. UNLAWFUL DISSEMINATION OF iNFORMATION CONCERNING RACING; EXEMPTIONS, PENALTY 

.................................................................................................................................................................................................. 55 

SECTJON 1308. DETENTION AND QUESTIONING OF PERSONS SUSPECTED OF VIOLATING TRIBAL, FEDERAL OR 

STATE LAW; LIMITATIONS ON LIABILITY; POSTING OF NOTICE ................................................................................... 55 

SECTION 1309. DISPOSITION OF EVIDENCE OR OTHER PROPERTY SEIZED BY AGENT OF THE TRIBAL GAMiNG 

OFFICE ..................................................................................................................................................................................... 56 

CHAPTER 14: TRIBAL COURT JURISDICTION ........................................................................................... 58 

SECTION 1401. JURISDICTION ............................................................................................................................................ 58 

Adopted on September 15, 2016 by Resolution No. 180·16, as amended on January 27, 2022 by Resolution No. 06· 

22 
SECTION 1402. APPEALS FROM DECISIONS TO SUSPEND, REVOKE OR NON-RENEW A TRIBAL GAMING LICENSE . 

..................................................................... . ···· .......... ,. ......................................................... ••••.·:· .... 58 

SECTION 1403. APPEAL Or GAMING REGULATIONS PROMULGATED BY THE COMMISSION ................................... 58 

SECTION 1404. PATRON DISPUTES .................................................................................................................................. 59 

SECTION 1405. ENFORCEMENT ACTION BY THE COMMISSION ................................................................................... .59 

SECTION 1.406, TRESPASS ACTIONS ................................................................................................................................. 59 

SECTION 1407. ENFORCEMENT OF COMMISSION SUBPOENAS AND ORDERS OF THE COMMISSION ...................... 60 

CHAPTER 15: OTHER PROVISIONS ............................................................................................................... 61 

SECT/ON 1501. SEVERABILITY ........................................................................................................................................... 61 

SEC110N 1502. EFFECTIVE DATE ...................................................................................................................................... 61 

SECTION 1503. AGENT FOR SERVICE OF PROCESS ......................................................................................................... 61 

Adopted on September 15, 2016 by Resolution No. 180-16, as amended on January 27, 2022 by Resolution No. 06-

22 
TITLE8 

YAVAPAI-APACHE NATION 

GAMING CODE 

CHAPTER 1: GENERAL PROVISIONS 

Section 101. Enactment of Yavapai-Apache Nation Gaming Code 

Pursuant to the Tribal Counci t' s authority under Article V of the Yavapai-Apache Nation 

Constitution, and in compliance with the Indian Gaming Regulatory Act, the Tribal Council has 

enacted the Yavapai-Apache Nation Gaming Code to govern, regulate and control Gaming 

Activities conducted by the Nation on the Indian Lands of the Yavapai-Apache Nation. As of 

the Effective Date, except with regard to the Cliff Castle Casino Business Code, enacted as Tit1e 

36 of the Yavapai-Apache Nation Tribal Code as amended, this Gaming Code, supersedes, 

repeals, and replaces all prior gaming ordinances, codes, resolutions, and other legislative 

documents regulating tribal gaming on the Indian Lands of the Nation. 

Section 102. Purpose 

The purpose of this Gaming Code is to make lawful and to regulate the operation and 

conduct of Gaming Activities on the Indian Lands of the Nation so that revenue may be 

produced to fund Tribal governmental operations and programs which promote the health, 

education, and welfare of the Nation and its members and which promote Tribal economic 

development. 

Section 103. Gaming Policy 

Page 1 

(a) Gaming Activity Authorized. Class II and Class Ill Gaming are authorized to be 

conducted on the Indian Lands of the Nation if such gaming is conducted in 

accordance with the provisions of this Gaming Code and the Indian Gaming 

Regulatory Act, and where such gaming involves Class III Gaming or those forms 

of Class II Poker referenced in the Poker MOU, is conducted in accordance with 

the provisions of the Compact and/or the Poker MOU. All forms of Class I 

Gaming are authorized to be conducted on the Indian Lands of the Nation. Class I 

Gaming is not subject to this Gaming Code. 

(b) Ownership of the Gaming Operation. The Yavapai-Apache Nation, acting 

through the Tribd Council, an enterprise owned by the Nation, or such other 

entity owned by the Nation, shall have the sole proprietary interest in and 

responsibility for the operation and conduct of any Gaming Activity on the Indian 

Lands of the Nation. 

(c) Gaming Facility Operator. The Gaming Facility Operator shall have the 

responsibility for the on-site operation, management, and security of the Gaming 

Facility. The Gaming Facility Operator shall establish, maintain, and adhere to a 

written security plan that meets the requirements of the Compact. The Gaming 
Facility Operator shall adopt reasonable procedures designed to provide for the 

physical safety of its patrons and employees, the safeguarding of assets and the 

protection of the patrons' property and the Gaming Operation's property. 

(d) Protection of the Environment; Public Health and Safety. The Nation's 

construction and maintenance of any Gaming Facility, and the conduct of any 

Gaming Activity, shall be done in a manner that adequately protects the 

environment and the public health and safety, and conforms with all applicable 

requirements oflaw. 

Section 104. Interpretation 

Page2 

(a) Construction. This Gaming Code is an exercise of the sovereign power of the 

Nation and shall be liberally construed for the accomplishment of its purpose and 

to comply with the Indian Gaming Regulatory Act and the Gaming Compact. 

Nothing in this Gaming Code shall be construed as providing the State of Arizona 

with any authority over the Nation's Gaming Activities that is not otherwise 

provided for in the Compact, including any authority over Class II Gaming 

Activities that is not otherwise provided for in the Compact and/or the Poker 

MOU. 

(b) Notice. Any notice required pursuant to this Gaming Code shall be in writing and 

served or delivered by hand delivery, electronic mail, or by U.S. mail. 

(c) Computation of Time. Tn computing any period of time prescribed or allowed 

by this Gaming Code, the day of the act, event, or default from which the 

designated period of time begins to run shall not be included. The last day of the 

period so computed shall be included, unless it is a Saturday, Sunday or legal 

holiday under the Nation's laws, or when the act to be done is the filing of or 

providing access to any report or document, and the last day of the period falls on 

a day in which the weather or other conditions have made the offices in which the 

report or document is to he filed inaccessible, in which event the designated 

period shall extend until the end of the next day on which the office is accessible 

which is not a Saturday, Sunday or legal holiday. When the period of time 

prescribed or allowed is less than eleven (11) days, intermediate Saturdays, 

Sundays and legal holidays under the Nation's laws shall be excluded from the 

computation period. 
CHAPTER 2: DEFINITIONS 

The following words shall have the following meanings under this Gaming Code, unless 

the context othenvise requires: 

1. "Act" means the Indian Gaming Regulatory Act, Public Law 100-497, 25 U.S.C. §§ 

2701- 2721 and 18 U. S.C. § § 1166-1168 and its implementing regulations; 

2. "Ancillary Services" means any goods or services, except for legal services, provided to 

the Nation in connection with the operation of Class III Gaming in a Gaming Facility, 

including but not limited to equipment, transportation, food, linens, janitorial supplies, or 

maintenance, as set forth in the Compact and Appendix J; 

3. "Applicant" means any Person who has applied for a License or other approval from the 

Commission or certification from the State Gaming Agency under this Gaming Code and 

the Compact; 

4. "Barred Person" means a Person who is temporarily or permanently barred from entering 

or remaining in the Gaming Facility pursuant to Section 1101 of this Code; 

5. "Card Game Table11 means a single table at which the Nation conducts the card game of 

poker, jackpot poker or blackjack; 

6. "Chairperson" means the Chairperson of the Yavapai-Apache Nation, or alternatively, the 

Chairperson of the Commission; 

7. "Class I Gaming" means all forms of gaming defined as Class I in Section 4(6) of the 

Indian Gaming Regulatory Act, 25 U.S.C. § 2703(6); 

8. "Class II Gaming" means all fom1s of gaming defined as Class II in Section 4(7) of the 

Indian Gaming Regulatory Act, 25 U.S.C. § 2703(7); 

9. nclass III Gaming" means all fonns of gaming as defined in Section 4(8) of the Indian 

Gaming Regulatory Act, 25 U.S.C. § 2703(8); 

10. "Commission" means the body within the Tribal Gaming Office consisting of five 

individuals appointed by the Tribal Council to oversee the Tribal Gaming Office and to 

oversee the regulation of all Gaming Activities on the Indian Lands of the Nation, subject 

to the provisions of this Code; 

11 . "Compact" means the Gaming Compact between the Yavapai-Apache Nation and the 

State of Arizona, dated December 27, 2002, as amended hy the Yavapai-Apache Nation 

Amended and Restated Gaming Compact dated April 15, 2021 ("2021 Compact"), and all 

amendments and all appendices approved thereunder; 

12. "Distributor" means a Person that distributes Gaming Devices and/or component parts 

thereof; 

Page 3 
13. "Enrolled Tribal Member" means an enrolled member of the Yavapai-Apache Nation 

,;,,.,hose name appears on the Nation's official membership roll; 

14. "Executive Director" means the Person charged with overseeing the Tribal Gaming 

Office staff and who has the overall responsibility for the day-to-day functions of the 

Tribal Gaming Office in conformance with Section 303 of this Code; 

15. "Gaming Activity" or "Gaming Activities" means all fonns of Class II or Class III 

gaming owned and operated by the Nation and conducted on the Indian Lands of the 

Nation, unless specifically noted herein; 

16. "Gaming Code" or "Code" means this Gaming Code of the Yavapai-Apache Nation; 

17. "Gaming Device" means a fixed location or mobile mechanical device, electromechanical device, or device controlled by an electronic microprocessor or in any other 

manner, whether that device would constitute Class II Gaming or Class III Gaming if 

operated on Indian Lands by an Indian tribe, which is used in connection with a game of 

chance, whether or not the outcome of the game is also affected in some part by skill, and 

where the game includes the payment of consideration in the form of coins, tokens, bills, 

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

credits or any other forms of consideration and, through the application of chance, the 

player of the game may become entitled to a prize, which may be paid in coins, tokens, 

bills, coupons, ticket vouchers, smart cards, electronic in-house accounting system credits 

or any other forms of value. Gaming Device does not include any of the following: 

Page4 

(a) Those technological aids used in live bingo games that function only as electronic 

substitutes for bingo cards and cannot substitute for the bingo caller; 

(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 expressly authorized by Arizona statutes and which are operated by the 

Arizona State Lottery that allow a lottery player to dispense paper lottery tickets, 

so long as the devices do not identify winning or losing lottery tickets, display 

lottery winnings or disburse lottery winnings; 

(d) Devices expressly authorized by Arizona statutes and which arc operated by the 

Arizona State Lottery that allow a lottery player to 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 Vjdeo Lottery Terminals; 

(e) Player Activated Lottery Temrinals; 

18. "Gaming Employee" means any person employed as a Primary Management Official or 

Key Employee of a Gaming Operation of the Nation, 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; 

19. "Gaming Facility" means the buildings or structures in which Gaming Activities are 

conducted on the Indian Lands of the Nation. The hotel is not a "Gaming Facility" 

within the meaning of the Compact, as reflected in the Agreement between the Nation 

and the State pursuant to Section 2(n) of the Compact, or this Code; 

20. "Gaming Facility Operator" means the Nation, an enterprise owned by the Nation, or 

such other entity of the Nation as the Nation may from time to time designate by written 

notice to the State of Arizona under the Compact as the wholly-owned tribal entity 

having full authority and responsibility for the operation and management of Gaming 

Activities; 

21. "Gaming Operation" means any Gaming Activity conducted within any Gaming Facility 

or on the lndian Lands of the Nation; 

22. "Gaming Regulation" or "Regulation" means a written rule duly promulgated by the 

Commission under Chapter 7 of this Code in conformance with the Tribal Gaming 

Office's duties and responsibilities under this Code and the Compact to regulate the 

conduct of Gaming Activity on the Indian Lands of the Nation; 

23. "Gaming Vendor" means any Person or entity which sells, leases, distributes or provides 

(I) devices, machines, or equipment used directly in connection with Gaming Activity 

including that which has the capacity to affect the calculation, storage, collection, 

electronic security, or control of gaming revenues; (2) services which are unique to the 

operation of Gaming Activity, including, but not limited to, simulcasting and 

bookmaking; and (3) security or surveillance services or equipment for the Gaming 

Facility. Gaming Vendors include Persons who provide general construction contracting, 

payroll and locks and locksmith services for the Gaming Facility, as well as Persons who 

provide player tracking, player acquisition, promotional, and marketing services related 

to Gaming Activity, as set forth in the Compact and Appendix J; 

24. "Gross Receipts" means receipts from the sale of shares, tickets, or rights in any manner 

connected with participation or the right to participate in Class II or Class III Gaming 

Activities including but not limited to any admission fee or charge, the sale of 

merchandise, refreshments, souvenirs, services, equipment, or supplies, interest earned on 

deposits, and all other miscellaneous receipts; 

25. "Host system" means the Gaming Facility Operator's MCS and, if used, an incentive 

system and/or validation system; 

Page 5 
26. "Indian Lands" means (1) all lands within the limits of the Yavapai-Apache Nation 

Reservation, and (2) any lands title to wrlch is held -in trust by the United States for the 

benefit of the Yavapai-Apache Nation or a member thereof or held by the 

Yavapai-Apache Nation or member thereof, subject to restriction by the United States 

against alienation, and over which the Yavapai-Apache Nation exercises governmental 

power; 

27. "Internal Controls" means written policies and procedures of the Gaming Facility 

Operator based on regulatory standards designed to create a system of checks and 

balances to safeguard the integrity of the Gaming Operation and protect its assets from 

unauthorized access, misappropriation, forgery, theft or fraud; 

28. "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; 

( d) Custodian of gaming supplies or cash; 

( e) · Floor manager; 

(f) Pit boss; 

(g) Dealer; 

(h) Croupier; 

(i) Approver of credit; 

U) Custodian of gambling devices including Persons with access to cash and 

accounting records within such devices; 

(k) lf not otherwise included, any other Person: (1) whose total cash compensation is 

in excess of $50,000 per year; (2) who ranks among the four most highly 

compensated persons in the Gaming Operation; or (3) is designated by the Nation 

as a Key Employee; 

29. "Licensee" means any Person who has received a Tribal Gaming License from the 

Commission to be involved in the Gaming Operation as a Gaming Facility Operator, 

Gaming Employee, Gaming Vendor or provider of Ancillary Services to the Nation; 

30. "Manufacturer" means a Person that manufactures Gaming Devices and/or component 

parts thereof for use or play in the Gaming Facility; 

31. "MCS" means the Gaming Facility Operator's online monitoring and control system (also 

known as a game management system) that regularly monitors each gaming device via a 

real time defined communication protocol; 

32. "Nation" means the Yavapai-Apache Nation, a federally recognized Indian Nation; 

33. "National Indian Gaming Commission" means the National Indian Gaming Commission 

established by the Indian Gaming Regulatory Act, 25 U.S.C. §§ 2701-21, 18 U.S.C. §§ 1166-68; 

Page6 
34. "Net Revenue" means gross gaming revenues of a Gaming Operation less (a) amounts 

paid out as, or paid for, prizes; and (b) total gaming-related operating expenses, including 

all those expenses of the Gaming Operation commonly known as operating expenses and 

non- operating expenses consistent with professional accounting pronouncements and the 

Indian Gaming Regulatory Act, 25 U.S.C. § 2703, excluding management fees; 

35. "Notice of Violation" means a v.ritten notice of the Executive Director that has been 

served upon the Gaming Facility Operator or a Vendor alleging or finding a violation of 

the Act, the Gaming Code, Compact, Gaming Regulations or any applicable gaming laws 

of the Yavapai-Apache Nation or the State of Arizona in confonnance with Section 602 

of this Code; 

36. "Occasion" means a gathering at which a Gaming Activity is conducted; 

37. "Patron Dispute" means the dispute that occurs whenever the Gaming Facility Operator 

refuses payment of alleged winnings to a patron or there is otherwise a dispute regarding 

that patron's wins or losses from Gaming Activity, and the Gaming Facility Operator and 

the patron are unable to resolve the dispute to the satisfaction of the patron; 

38. "Person" includes a natural person, trust, firm, company, association, partnership, society, 

political subdivision, government agency, municipality, industry, public or private 

corporation, or any other entity whatsoever, except that the term "Person" does not 

include the Nation, the Tribal Council or the Commission; 

39. "Player Activated Lottery Tenninal" means an on.line computer system that is not a 

Video Lottery Tenninal and that does not provide the player with interactive gaming, but 

that uses the terminal for dispensing paper tickets only, in which: 

(a) The tenninal algorithm is used for the random generation of numbers; 

(b) The tickets dispensed by the terminal do not allow the player the means to play 

directly against the tern1inal; 

(c) The player uses the dispensed ticket to participate in an off-site random drawing; 

and 

(d) The player cannot play against the terminal for immediate payment or reward; 

40. "Poker MOU" means the Memorandum of Understanding Regarding Poker Between the 

Yavapai-Apache Nation and the State of Arizona, dated December 27, 2002, as amended. 

41. "Pot" means a location on a Poker table or the total amount anted and bet by players 

during a hand which is awarded to the winning player; 

42. "Primary Management Official"' means: 

Page7 

(a) The Person having management responsibility for a management contract; or 

(b) Any Person who has authority to hire and fire employees or to set up working 

policy for a Gaming Operation; or 

(c) The chief financial officer or other person who has :financial management 

responsibility; or 
(d) Any other Person designated by the Nation as a primary management official; 

43. "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, ifan unincorporated business; 

(d) Each of its shareholders who own more than ten (10) percent of the shares of the 

corporation, if a corporation, including a proxy, trustee, agent or delegate 

authorized to exercise any right of a shareholder of more than ten (10) percent of 

the shares of the corporation; 

(e) Each Perso~ other than a qualified banking institution insured by the Federal 

Deposit Insurance Corporation, who has provided financing for the entity 

constituting more than ten (10) percent of the total financing of the entity; and 

(f) Each of the beneficiaries or trustees of a trust; 

44. "Proposition Player" means a player who receives a salary, wage, or fixed sum from the 

Gaming Facility Operator for playing in short games (those with empty seats), starting 

new games or filling in where needed. Although a Proposition Player works for the 

Gaming Facility Operator, the Proposition Player plays his or her own money, retains his 

or her winnings and absorbs his or her losses; 

45. "Refusal of Service" means a notification by the Gaming Facility Operator that 

temporarily prohibits a Person from entering or remaining in the Gaming Facility for a 

specified period of time as provided for under Section 906(a)(l) of this Code; 

46. "'Secure Area" means the following areas within the Gaming Facility: Gaming Device 

storage and repair areas, count rooms, vaults, cages, security offices and surveillance 

rooms, revenue accounting offices, rooms containing infonnation systems that monitor or 

control Gaming Activities, or other areas as may be agreed to by the State Gaming 

Agency and the Tribal Gaming Office in a separate agreement; 

47. "Self-Excluded Person" means a Person who, by acknowledging that he or she is a 

problem gambler, has voluntarily placed his or her name on the Tribal Gaming Office's 

and/or the State Gaming Agency's self-exclusion list; 

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

49. "State Certification" means the process utilized by the State Gaming Agency to ensure 

that all Persons required to be certified are qualified to hold such certification in 

accordance with the provisions of the Compact; 

50. "State Gaming Agency" means the agency of the State which the Governor may from 

time to time designate by written notice to the Nation as the single State agency 

authorized to act on behalf of the State under the Compact; 

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51. "Tribal Constitution" means the Constitution of the Yavapai-Apache Nation adopted on 

March 7, 1992, as approved by the Secretary of Interior pursuant to authority granted by 

the Act of June 18, 1934, 48 Stat. 984, as may be amended; 

52. "Tribal Council" means the Tribal Council of the Yavapai-Apache Nation, the governing 

body of the Nation; 

53. "Tribal Court" means the judiciary of the Yavapai-Apache Nation; 

54. "Tribal Gaming License" or "License" means an approval issued by the Commission to 

the following Persons who are involved in the Gaming Operation: 

(a) The Gaming Facility Operator, including its Principals, Primary Management 

Officials and Key Employees; 

(b) Gaming Employees; 

(c) Manufacturers and Distributors of Gaming Devices, Gaming Vendors, and 

providers of Ancillary Services; and 

( d) Those Persons who are otherwise required to secure a Tribal Gaming License 

from the Commission pursuant to the Compact or this Code; 

55. "Tribal Gaming Office" means the tribal regulatory agency designated by the action of 

the Tribal Council as the entity that shall exercise the civil regulatory authority of the 

Nation over Gaming Activities pursuant to this Gaming Code; 

56. "Vendor" means a Manufacturer or Distributor of Gaming Devices, Gaming Vendor, or 

provider of Ancillary Services, as those tem1s are defined in this Gaming Code; 

57. "Video Lottery Terminal" means an on-line computer or data-processing tenninal capable 

of providing a source of both input and a video display output for the computer system to 

which it is connected, in which a player is playing against the algorithm of the tenninal 

so that the player is playing directly against the terminal for immediate payment and is 

immediately rewarded or penalized based on the outcome, and which dispenses a paper 

receipt which can be redeemed by the player for the player's winnings. 

Page9 
CHAPTER 3: YAVAPAI-APACHE NATION TRIBAL GAMING OFFICE 

Section 301. Establishment and Structure 

The Yavapai-Apache Nation Tribal Gaming Office is established under this Gaming 

Code to regulate all Gaming Activity on the Indian Lands of the Nation consistent with the terms 

of this Code, the Act, the Compact, and all Gaming Regulations implemented hereunder. The 

Tribal Gaming Office shall consist of the Commission, the Executive Director, and all Tribal 

Gaming Office staff 

Section 302. Commission 

(a) Composition; Staggered Terms. The Commission shall consist of five (5) 

enrolled Tribal Members appointed by the Tribal Council in a manner that 

provides for staggered tenns. Each member of the Commission shall serve for a 

term of five (5) years, and may be subject to reappointment by the Tribal Council 

upon the expiration of his or her term. A commissioner may continue to serve 

after the expiration of his or her term of office until a successor has been 

appointed, unless such commissioner has been removed for cause under Section 

302( e) of this Code. 

(b) Qualifications. No Person shall be eligible or qualified to serve or continue to 

serve as a commissioner unless he or she meets the following qualifications: 

(1) ls twenty-one (21) years of age or older; 

(2) Has no financial interest in, or management responsibility for, any Gaming 

Activity; 

(3) Has no financial interest in a Vendor licensed by the Commission; 

(4) Must qualify for and obtain a valid Tribal Gaming License; 

(5) Is not a member of the Tribal Council; and 

(6) Complies with any policy approved by the Tribal Council restricting the 

Nation's Board and Commission members from being an immediate 

family member of a Tribal Council member if such a policy is in effect at 

the time of appointment. 

(c) Selection of Officers. The Commission shall select annually by majority vote 

( 1) +--t 'h Ch . f th C . . fl\ f. one . o. 1 s mem-ers to serve as a1rperson o. e omm1ss1on, one , , , o its 

members to serve as Vice Chairperson, and one (l) of its mein.bers to serve f:1-8 

Secretary. The Vice Chairperson sha11 serve as Chairperson of the Commission 

during meetings of the Commission at which the Chairperson is absent. 

(d) Motions and Resolutions; Meetings; Quorum. Unless otherwise provided in 

this Code, all official actions of the Commission shall be taken by motion or 

Page 10 
resolution approved by the vote of a majority of the quorum present in the 

meeting. The Commission shall meet at the call of the Chairperson of the 

Commission or a majority of the commissioners, but in no event shall the 

Commission meet less than once per calendar month. Three (3) members of the 

Commission shall constitute a quorum. In the case of an emergency, the 

commissioners may participate in meetings via electronic communications, 

whereby each commissioner can hear and speak to ihe other commissioners in 

real time. Proxy voting shall be prohibited. 

(e) Removal of Commissioners. A commissioner may be involuntarily removed 

from office before the expiration of his or her term in accordance with the 

following procedures: 

(1) Any member or members of the Tribal Council or a majority of the 

commissioners may submit a written request to remove a commissioner to 

the Secretary of the Tribal Council, specifying the factual basis of the 

request; 

(2) The cause for removal shall be limited to the following grounds: (1) 

conviction in any court of a felony; (2) a failure to meet or maintain the 

qualifications for commissioners set forth in Section 302(b) of this Code; 

(3) gross neglect of duty; (4) malfeasance in office; or (5) conduct which 

amounts to gross and intentional disregard of the laws and procedures 

applicable to the affairs of the Commission; 

(3) Within thirty (30) days following receipt of the written request for 

removal, the Tribal Council shall convene for the purpose of voting on the 

removal of the commissioner. Before any vote is taken, the commissioner 

shall be given written notice and a full opportunity, either in person or 

through a representative of his or her choice, to answer or otherwise 

respond to any and all of the allegations against him or her; and 

(4) If the Tribal Council determines by majority vote that removal for cause 

has been established by a preponderance of the evidence, the Tribal 

Council shall remove the commissioner. 

(f) Resignations and Vacancies. Any commissioner may resign at any time by 

giving written notice of such to the Secretary of the Commission and to the 

Secretary of the Tribal Council. The resignation shall become effective at the time 

specified in such notice, and the acceptance of such resignation shall not be 

necessary to make it effective. Any vacancy on the Commission, however 

caused, shall be filled for the unexpired portion of the vacated commissioner's 

term by a qualified person appointed by the Tribal Council. 

(g) Compensation. Commissioners shall be reasonably compensated as determined 

by the Tribal Council and in accordance with the annual budget of the 

Commission. 

Page 11 
Page 12 

(h) Powers and Duties. The Commission shall have the following powers and 

duties: 

(1) To oversee the regulation of all Gaming Activity on the Indian Lands of 

the Nation; 

(2) To conduct hearings regarding Licensees in accordance with this Gaming 

Code and any Gaming Regulations; 

(3) To bring suits in Tribal Court seeking remedies for violations of this Code 

or the Compact, including against any Person who commits trespass as 

described in Chapter 11 of this Code, or who engages in any activity or 

activities prohibited by this Code or the Compact; 

(4) To make licensing decisions in accordance with this Gaming Code, the 

Compact, and the Gaming Regulations; 

(5) To establish fees for applications for Licenses and renewals thereof; 

(6) To issue barring decisions in conformance with this Code and the 

Compact; 

(7) To decide Patron Disputes in accordance with this Gaming Code; 

(8) To administer oaths and affirmations to ·witnesses appearing before the 

Commission; 

(9) To require by subpoena the attendance and testimony of witnesses and the 

production of all books, papers, and documents necessary for the 

Commission to carry out its regulatory duties under this Gaming Code and 

the Compact, and to bring actions in the Tribal Court for the enforcement 

of such subpoenas; 

(10) To perform the Commission's powers and duties within the budget 

approved by the Tribal Council; 

(11) To enter into contracts, consistent with the budget approved by the Tribal 

Council, for services or activities necessary to the discharge of the duties 

of the TribaJ Gaming Office under this Gaming Code and the Compact; 

(12) To keep minutes, records, and books in which shall be kept a true, faithful, 

and correct record of all proceedings of the Commission; 

(13) To submit quarterly and annual reports to the Tribal Council on the 

activities of the Tribal Gaming Office; such reports to include financial 

infonnation and infonnation on the general regulatory activities of the 

Tribal Gaming Office; 
(14) To promulgate Gaming Regulations subject to the applicable notice and 

comment provisions of Chapter 7 of this Code; 

(15) To approve internal policies and procedures to govern the day-to-day 

operation of the Tribal Gaming Office; 

(16) Subject to the approval of the Tribal Council, to amend or enter into new 

Compact appendices or memoranda of understanding and agreements with 

the State Gaming Agency; 

(17) To recommended candidates for the position of Executive Director to the 

Tribal Council; and 

( 18) To oversee the Tribal Gaming Office and its Executive Director in order to 

ensure that Gaming Activities conducted on the Indian Lands of the 

Nation comply with this Code, the Act, the Compact, and all Gaming 

Regulations implemented hereunder. 

Section 303. Tribal Gaming Office Staff 

(a) Executive Director. The day-to-day functions of the Tribal Gaming Office shall 

be supervised by an Executive Director who shall have overall responsibility for 

the administrative functions of the Tribal Gaming Office and other responsibilities 

specified under this Code. The Executive Director shall also serve as the formal 

liaison to the person holding the similarly titled position with the State Gaming 

Agency. The Executive Director shall be hired by the Tribal Council and devote 

his/her full efforts and diligence to the poshion. Nothing in this subsection 

prohibits the temporary appointment of an acting Executive Director by the 

current Executive Director or the Tribal Council when the Executive Director is 

unavailable. 

(b) Other Staff. The Executive Director shall employ and supervise inspectors, 

agents, and other staff as may be necessary to fulfill the Tribal Gaming Office's 

regulatory duties under this Gaming Code and the Compact. 

(c) Employees of the Nation. Tribal Gaming Office staff are employees of the 

Nation and subject to the Nation's Human Resource policies and procedures. 

( d) Qualifications. 

Page 13 

(1) Must not have heen employed by the Gaming Facility Operator within a 

ninety-day period immediately preceding employment with the Tribal 

Gaming Office, unless waived by the Gaming Facility Operator; and 

(2) Must qualify for and obtain a valid Tribal Gaming License and, unless a 

Tribal Member, certification by the State Gaming Agency. 
(e) Duties and Responsibilities. Subject to the oversight of the Commission as set 

forth in Section 302 of this Code, the Executive Director and the Tribal Gaming 

Office staff shall have the following duties and responsibilities: 

Page 14 

(1) To monitor and regulate the conduct of all Gaming Activity on the Indian 

Lands of the Nation; 

(2) To investigate alleged violations of this Code, the Compact or Gaming 

Regulations; 

(3) To issue notices of alleged violations of this Code, the Compact or 

Gaming Regulations in accordance with Chapter 6 of this Code; 

(4) To have immediate access to all premises on the Indian Lands of the 

Nation where Gaming Activity is conducted; 

(5) To inspect, examine, and copy all papers, books and records (whether in 

paper or electronic form) related to the Gaming Activities conducted on 

the Indian Lands of the Nation, including to have "read only" electronic 

access to the Host System pursuant to Section 802(b) of this Gaming 

Code, in order to carry out the regulatory duties of the Tribal Gaming 

Office under this Gaming Code and the Compact; 

(6) To conduct or cause to be conducted background investigations of Persons 

required to be licensed; 

(7) To issue temporary licenses to Applicants; 

(8) To issue identification cards to Licensees; 

(9) To approve Gaming Facility Operator's internal controls, plans, rules, 

lotteries and promotions in accordance with Chapter 7 of this Code: 

10) To make reports to the State Gaming Agency and the National Indian 

Gaming Commission as required by the Compact and the Act; 

(11) To provide for the detention of persons who may be involved in illegal 

acts, in cooperation with the public safety personnel of the Gaming 

Facility Operator and the Yavapai-Apache Police Department, as 

necessary for the purpose of notifying appropriate iaw enforcement 

authorities; 

(12) To operate the Tribal Gaming Office within the budget approved by the 

Commission and the Tribal Council; and 

(13) To keep the Commission informed and to submit reports upon the request 

of the Commission or at least monthly on the activities of the Tribal 

Gaming Office; such reports may include, but are not limited to, licensing 
information, financial infonnation and such other infonnation deemed 

relevant by the Commission to the regulatory activities of the Tribal 

Gaming Office. 

Section 304. Prohibition on Immediate Employment by the Gaming Facility Operator 

The Gaming Facility Operator may not employ a current or former Tribal Gaming Office 

Commissioner, Executive Director, or staff member for a period of ninety-days (90) after his or 

her employment with the Tribal Gaming Office or the end of a Commissioner's term of service 

on the Commission, as applicable, unless waived by the Commission. 

Section 305. Prohibition on Gambling 

Tribal Gaming Office commissioners and staff are prohibited from gambling in the 

Nation's Gaming Facility. 

Section 306. Ethics Policy 

The Commission shall adopt an Ethics Policy applicable to commissioners and staff of 

the Tribal Gaming Office, which shall, at a minimum, include provisions on confidentiality, 

conflict of interest and receipt of gifts and complimentary items from the Gaming Facility 

Operator and other Licensees. 

Page 15 
CHAPTER 4: LICENSE FOR OPERATING AND CONDUCTING 

GAMING ACTIVITY 

Section 401. Who Shall be Licensed 

(a) Gaming Facility and Gaming Facility Operator. The Gaming Facility and 

Gaming Facility Operator, including its Principals, shall apply for and receive a 

Tribal Gaming License from the Commission and where applicable, shall be 

certified by the State Gaming Agency in conformance with the Compact, prior to 

commencement of operation. A separate License shall be required for each 

Gaming Facility. 

(b) Gaming Employees. Every Gaming Employee shall apply for and receive a 

Tribal Gaming License from the Commission prior to commencement of 

employment, subject to the issuance of a temporary license provided for in 

Section 404 of this Code. The Commission may establish different classifications 

of Gaming Employees by Regulation as long as the classifications and associated 

background 111vcstigations are consistent with the applicable requirements of this 

Code, the Compact and National Indian Gaming Commission regulations. Except 

as othenvise provided in this Code, any Gaming Employee that is not an Enrolled 

Tribal Member or whose duties are not limited to Class II Gaming shall also be 

certified by the State Gaming Agency. Gaming Employees that hold the 

following positions are not required to be certified by the State Gaming Agency 

so long as they do not have unescorted access to Secure Areas: 

(1) Food and beverage service personnel such as chefs, cooks, waiters, 

waitresses, bus persons, dishwashers, food and beverage cashiers, and 

hosts; 

(2) Gift shop managers, assistant managers, cashiers, and clerks; 

(3) Greeters; 

(4) Landscapers, gardeners, and groundskeepers; 

(5) Maintenance, cleaning, and janitorial personnel; 

(6) Stewards and valets; 

(7) Wardrobe personnel; and 

(8) Warehouse personnel. 

(c) Manufacturer and Distributors of Gaming Devices and Gaming Vendors in 

Excess of $10,000. In confonnance with the Compact or Appendix J, each 

Manufacturer and Distributor of Gaming Devices, and each Gaming Vendor 

providing goods or services to the Nation in excess of $10,000 shall be certified 

Page 16 
by the State Gaming Agency and apply for and receive a Tribal Gaming License 

from the Commission prior to the sale, lease or providing of goods or services. 

(d) Othe1· Vendors and Providers of Ancillary Services. In conformance with the 

Compact or Appendix J, each Gaming Vendor providing goods or services to the 

Nation between $1,000 and $10,000 in any single month and each provider of 

Ancillary Services to the Nation in excess of $2,500 in any single month shall be 

certified by the State Gaming Agency and apply for and receive a Tribal Gaming 

License from the Commission. The $1,000, $2,500 and $10,000 threshold 

amounts applicable to Gaming Vendors and providers of Ancillary Services shall 

be automatically increased by 10% on each five-year anniversary of the effective 

date of 2021 Compact. 

(e) Tribal Gaming Office Commissioners and Staff. Every commissioner or staff 

member of the Tribal Gaming Office shall apply for and receive a Tribal Gaming 

License through the Nation prior to commencement of service or employment, 

subject to the issuance of a temporary license provided for in Section 404 of this 

Code. Tribal Gaming Office staff that are not Enrolled Tribal Members shall also 

be certified by the State Gaming Agency. 

(f) Hotel employees. Notwithstanding anything to the contrary in this Code, hotel 

employees arc not required to apply for and receive a Tribal Gaming License or 

be certified by tl1e State Gaming Agency so long as they do not have access to 

nonpublic areas of the Gaming Facility (except if escorted by Security, Tribal 

Gaming Office inspector or a Gaming Facility supervisor or manager). 

Section 402. Applications for a Tribal Gaming License 

Page 17 

(a) Except as provided for in Section 402(c)-(d) of this Code, each Applicant for a 

Tribal Gaming License shall file with the Tribal Gaming Office a written 

application in the form prt:scribed by the Commission, along with the Applicant's 

fingerprint card, current photograph, and the fee required by the State Gaming 

Agency and Commission. 

(1) The following notice shall be placed on the application form for a Key 

Employee or a Primary Management Official before that form is filled out 

by an Applicant: 

in compliance with the Privacy Act of 197 4, the following 

information is provided: Solicitation of the information on 

this form is authorized by 25 US. C. 2701 et seq. The 

purpose of the requested information is to determine the 

eligibility of individuals to be granted a gaming license. 

The information will be used by the Tribal gaming 

regulatory authorities and by the National Indian Gaming 

Commission members and sta[f who have need for the 

infonnation in the pe1formance ~f their official duties. The 

information may be disclosed to appropriate Federal, 
Page 18 

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 issuance, denial, 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 being unable to license you 

for a primary 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. 

(2) The following additional notice shall be placed on the application form for 

a Key Employee or a Primary Management Official before that form is 

filled out by an Applicant: 

A false statement on any part of your license application 

may be grounds for denying a license or the suspension or 

revocation of a license. Also, you may be punished by fine 

or imprisonment (US. Code, title 18, section 1001). 

(b) Except as provided for in Section 402(c)-(d) of this Code, the Tribal Gaming 

Office shall request from each Applicant, and from each Principal of each 

Applicant, all of the following infonnation, as may be modified by the regulations 

of the National Indian Gaming Commission: 

(1) Full name, other names used (oral or written), social security number(s), 

birth date, place of birth, citizenship, gender, and all languages spoken or 

written; 

(2) Currently and for the previous five (5) years (or if the Applicant is under 

the age of 23, information from the age of eighteen), business and 

employment positions held, ownership interests in those businesses, 

business and residence addresses, and drivers lkense numbers; 

(3) The names and current addresses of at )east three personal references, 

inch.iding one personal reference who was acquainted with the Applicant 

during each period of residence iisted in Section 402(b)(2) of this Code; 

( 4) Current business and residence telephone numbers, and all cell phone 

numbers; 

(5) A description of any existing and previous business relationships with 

Indian tribes, including any ownership interests in those businesses; 
(6) A description of any existing and previous business relationships in the 

gaming industry generally, including ownership interests in those 

businesses; 

(7) The name and address of any licensing OT regulatory agency with which 

the Applicant has filed an application for a license or permit related to 

gaming and whether or not such license or permit was granted; 

(8) For each felony for which there is an ongoing prosecution or a conviction, 

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

involved, and the disposition, if any; 

(9) For each misdemeanor for which there is an ongoing prosecution or a 

conviction ( excluding minor traffic violations), the charge, the date of the 

charge, the name and address of the court involved, and the disposition, if 

any; 

(10) For each criminal charge (excluding minor traffic charges), whether or not 

there is a conviction, if such criminal charge is not otherwise listed 

pursuant to Sections 402(b )(8) or 402(b )(9) of this Code, the criminal 

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

and the disposition, if any; 

(11) The name and address of any licensing or regulatory agency with which 

the Applicant has filed an application for an occupational license or permit 

and whether OT not such license was granted; 

(12) A current photograph; 

(] 3) Any other information the Commission deems relevant; 

(14) Fingerprints consistent with procedures adopted by the Nation according 

to 25 C.F.R. § 522.2(h). For purposes of this Section, the Tribal Gaming 

Office is hereby identified as the law enforcement agency that is 

authorized and directed to process and forward the fingerprints to the 

applicable state or federal agency for a criminal history check, including a 

check of criminal history records information maintained by the Federal 

Bureau of Investigation; and 

(15) The fee required by the State Gaming Agency and the Commission. 

(c) An Applicant that qualifies as a Vendor or Provider of Ancillary Selv'ices under 

Section 401(d) of this Code may use the Short Form Application provided for in 

Section 5(d)(2) of the Compact. The Short Form Application shall be submitted 

to the State Gaming Agency and the Tribal Gan1ing Office no later than one (I) 

business day after providing any goods or services to the Nation. The Tribal 

Gaming Office may require additional infonnation from the Applicant at a later 

date if necessary to ensure their suitability for Ii censure. 

Page 19 
(d) An Applicant that occupies one of the positions described in Section 401(b) of 

this Code and who does not have access to Secure Areas may apply for a Tribal 

Gaming License with only fingerprint card(s) and a shortened form of application 

as prescribed by the Commission. The Applicant shall be permitted to work for 

up to fifteen (15) days prior to receiving their License. The shortened form of 

application need only require, at a minimum, the Person's name, address, social 

security number, date and place of birth, other names used, last employer, and 

criminal history. 

(e) In no event may any Applicant withdraw an application without the permission of 

the Nation or the Commission, as applicable. 

Section 403. Background Investigations 

(a) Upon receipt of a completed application and required fee for licensing, the staff of 

the Tribal Gaming Office shall conduct or cause to be conducted a background 

investigation sufficient to determine whether the Applicant is qualified for 

licensing. 

(b) In conducting a background investigation, the staff of Tribal Gaming Office and 

its agents shall keep confidential the identity of each Person interviewed in the 

course of the investigation, to the extent pennitted by applicable law. 

(c) A complete application file containing all of the infonnation listed in Section 402 

of this Code and an investigative report for each background investigation shall be 

maintained for no less than 3 years when the Gaming Facility Operator employs a 

Primary Management Official, a Key Employee, or other Gaming Employee. 

Before issuing a license, the investigative report shall include all of the following 

infom1ation: (1) steps taken in conducting the investigation, (2) results obtained, 

(3) conclusions reached, and ( 4) the basis for those conclusions. 

Section 404. Tempoi-ary Tribal Gaming License 

Within twenty (20) days of the receipt of a completed application for a Tribal Gaming 

License, the Executive Director may issue a temporary License to the Applicant unless (1) 

grounds sufficient to disqualify the Applicant are apparent on the face of the application; (2) a 

background investigation discloses that the Applicant has a criminal history; or (3) the Tribal 

Gaming Office receives notice from the State Gaming Agency that it will not issue a temporary 

certification for the Applicant. The temporary Tribal Gaming License shall immediately become 

void and be of no effect upon (1) the issuance of the License; (2) the issuance of a notice of 

denial; or (3) ninety (90) days after the Licensee has begun working, if the Applicant's continued 

employment is prohibited by Federal Law or any regulation promulgated by the National Indian 

Gaming Commission. Applicants that require certification from the State Gaming Agency shall 

also obtain temporary state certification from the State Gaming Agency pursuant to Section 5(n) 

of the Compact. 

Page 20 
Section 405. Eligibility Determination 

(a) Upon completion of the background investigation, the Commission shall review 

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

associations in order to make a finding concerning the eligibility ofan Applicant 

for licensure pursuant to Section 502 of this Code. 

(b) With regard to Vendors that are subject to the state certification requirements 

under the Compact and Appendix J, as amended, the Commission shall provide 

the State Gaming Agency with twenty (20) days from the date of the State 

Gaming Agency's receipt of the completed Application to make a certification 

detennination, before the Commission makes its own eligibility detennination for 

said Applicant as permitted by this Code. 

(c) For Persons or Applicants subject to the Compact, and pursuant to Section 5 of 

the Compact, the State Gaming Agency may also conduct a background 

investigation of the Applicant and provide the Commission with a written 

recommendation as to whether the Applicant should be licensed. If the 

Commission takes any action with respect to a License despite a recommendation 

to the contrary from the State Gaming Agency, the Commission shall afford the 

State Gaming Agency an opportunity for a hearing before an appropriate Tribal 

forum to contest the Commission's licensing decision in conformance with 

Section 5(q)(2)-(3) of the Compact. The decision of the Tribal forum shall be 

final, except that if the Tribal forum upholds a licensing decision of the 

Commission contrary to the State Gaming Agency's recommendation, the State 

Gaming Agency may appeal to an independent three-member tribunal as provided 

in Section 5(q)(4) of the Compact. 

Section 406. Additional Background Investigations 

The Tribal Gaming Office retains the right to conduct additional background 

investigations of any Licensee at any time while the License is valid. 

Section 407. Report to the National Indian Gaming Commission 

Page 21 

(a) Before issuing a license to a Primary Management Official or Key Employee, the 

Tribal Gaming Office shall prepare a notice of results of the Applicant's 

background investigation, wrrich must be submitted to the National indian 

Gaming Co1mnission no later than 60 days after the Applicant begins work at a 

Gaming Operation authorized by this Gaming Code. 

(b) Unless otherwise required by 25 C.F.R. Part 556, the notice of results shall 

include the following infonnation: 

(I) The Applicant's name, date of birth, and social security number; 

(2) The date on which the applicant began, or will begin, working as a 

Primary Management Official or Key Employee; 
(3) A summary of the information presented m the investigative report, 

including: 

(A) Licenses that have previously been denied; 

(B) Licenses that have been revoked, even if subsequently reinstated; 

(C) Every known criminal charge brought against the applicant within 

the last 10 years of the date of the application; 

(D) Every felony offense of which the applicant has been convicted or 

any ongoing prosecution; and 

(4) A copy of the eligibility determination made in accordance with Section 

405 of this Code. 

(c) The Commission may license a Primary Management Official or Key Employee 

Applicant after submitting a notice of results of the Applicant's background 

investigation to the National Indian Gaming Commission and shall notify the 

National Indian Gaming Commission of the issuance of the License within thirty 

(30) days of issuance. 

(d) If, within thirty (30) days of the National Indian Gaming Commission's receipt of 

a notice of results, the National Indian Gaming Commission provides the Tribal 

Gaming Office with a statement itemizing objections to the issuance of a License 

to a Primary Management Official or to a Key Employee, the Commission shall 

reconsider the application, taking into account the objections itemized by the 

National Indian Gaming Commission and make a final decision whether to issue a 

License to such Applicant. If the Commission had issued a License to a Primary 

Management Official or Key Employee before receiving the National Indian 

Gaming Commission's statement of objections, notice and hearing shall be 

provided to the Licensee pursuant to Section 503. 

(e) The Gaming Operation shall not employ as a Primary Management Official or a 

Key Employee a Person who does not have a License after ninety (90) days after 

his or her commencement of work at the Gaming Operation. 

(f) If a License is not issued to a Primary Management Official or Key Employee 

Applicant, the Tribal Gaming Office shall: 

Page 22 

(1) Notify the National Indian Gaming Commission; and 

(2) Forward copies of its eligibility detennination and notice of results (if any) 

to the National Indian Gaming Commission for inclusion in the Indian 

Gaming Individuals Records System. 
(g) With respect to Primary Management Officials and Key Employees, the Tribal 

Gaming Office shall retain applications, investigative reports and eligibility 

determinations for no less than three (3) years from the date of termination of 

employment. 

Section 408. Duration and Renewal of Licenses 

(a) Any License sha11 be effoctive for two (2) years from month of issuance. A 

Licensee that has applied for renewal may continue to be employed or engaged 

under the expired License until action is taken on the renewal Application. 

(b) Applkants for renewal of a License shall provide updated material as requested 

on the appropriate renewal forms consistent with the provisions of this Code, the 

Compact and any Gaming Regulations duly promulgated by the Commission 

under this Code. Applicants for renewal shall not be required to resubmit 

historical data already made available to the Tribal Gaming Office. 

(c) Additional background investigations shall not be required of Applicants for 

renewal unless the Tribal Gaming Office· becomes aware of new information 

concerning the Applicant's continued eligibility for a License or it otherwise has 

good cause to perform additional background investigations on the Applicant. 

Section 409: Tribal Licensing Standards 

The issuance of a License by the Nation or the Commission does not create or imply a 

tight of employment or continued employment. Tribal Gaming Office commissioners and staff 

and Gaming Employees must he licensed, and the Tribal Gaming Office and Gaming Facility 

Operator will not employ anyone who is not licensed. The Nation or Commission shall not 

license a Tribal Gaming Office commissioner or staff or Gaming Employee if it is determined 

that the Applicant: 

(a) has ever been convicted of any gaming offense; 

(b) has been convicted of a felony in the seven (7) years prior to submission of the 

Application unless that felony has been set-aside; 

(c) has ever been convicted of a felony relating to extortion, burglary, larceny, 

bribery, embezzlement, robbery, racketeering, money laundering, forgery, fraud, 

murder, voluntary manslaughter, sex offenses, rape or kidnapping; 

(d) has knowingly and willfully provided materially important false statements or 

information or omitted materially important information on his or her Application 

or background questionnaire; or 

(e) is a Person whose prior activities, criminal record if any, or reputation, habits, and 

associations pose a threat to the public interest or to the effective regulation and 

control of gaming, or create or enhance the dangers of unsuitable, unfair, or illegal 

Page 23 
practices, and methods, and activities in the conduct of gaming or the carrying on 

of the business and financial arrangements incidental thereto. 

Section 410: Utilization of Gaming Employees 

When the needs of the business dictate, the Gaming Facility Operator may temporarily 

utilize any Gaming Employee holding a valid Tribal Gaming License in any other position 

within the Gaming Facility without requiring a new License from the Commission so long as: 

(a) The Gaming Employee is properly trained and has authorized access to areas 

required by the other position; and 

(b) The Gaming Facility Operator provides v,1ritten notice to the Tribal Gaming 

Office. 

Section 411: Identification 

All Gaming Employees and all employees of the Tribal Gaming Office shall wear, in 

plain view, identification badges or cards issued by the Tribal Gaming Office which shall, at a 

minimum, include a photograph, first and last name, an identification number unique to the 

individual License, the Nation's seal, and a date of expiration. 111c Gaming Facility Operator 

shall have responsibility for preparing and issuing visitor badges. 

Page24 
CHAPTER 5: DENIAL, SUSPENSION, REVOCATION, AND NONRENEWAL OF TRIBAL GAMING LICENSES 

Section 501: Disclosure of Possible Grounds for Denial, Suspension, Revocation or NonRenewal of a Tribal Gaming License; Change of Principals 

(a) After an Applicant has submitted an application to the Tribal Gaming Office for a 

Tribal Gaming License or has had the Tribal Gaming License issued by the 

Commission, such Person shall have an ongoing and affirmative obligation to 

promptly and in writing disclose to the Tribal Gaming Office any possible 

subsequent grounds for revocation, suspension, denial or non-renewal of such 

Person's License including, but not limited to, those grounds set forth at Sections 

409 and 502 of this Code. 

(b) After any Applicant who is not a natural person has submitted an application to 

the Tribal Gaming Office for a Tribal Gaming License or has been issued a Tribal 

Gaming License by the Commission, but except for providers of Ancillary 

Services and for Gaming Vendors providing goods or services between $1,000 

and $10,000 in any single month, such entity shaJI file a report of each change of 

its Principals with the Tribal Gaming Office and the State Gaming Agency. Each 

new Principal shall file a complete application within thirty (30) days after the 

change of Principal takes place, regardless of whether the change occurs by 

appointment, election, or some other means. The Tribal Gaming Office shall 

forward a copy of the application to the State Gaming Agency. The entity's 

License shall remain valid unless the Commission disapproves the change or 

denies the application. Pursuant to the Compact, the entity's certification also 

shall remain valid unless the State Gaming Agency disapproves the change or 

denies the application. 

Section 502: Grounds for Denial, Suspension, Revocation or Non-Renewal of a Tribal 

Gaming License 

The Commission may deny, suspend, revoke or refuse to renew a Tribal Gaming License 

when the Applicant or Licensee: 

(a) has been detem1ined by the National Indian Gaming Commission to not be 

eligible for employment. If, after a License has been issued, the Commission 

receives reliable information from the National Indian Gaming Commission that a 

Primary Management Official or Key Employee is not eligible for employment, 

the Commission shall immediately suspend such License and shall notify in 

writing the Licensee of the suspension and the proposed revocation. After a 

revocation hca..ri.ng, the Commission shall decide to revoke or to reinstate the 

gaming License, and it shall notify the National Indian Gaming Commission of its 

decision within forty~five (45) days of recciV1ng notification from the National 

Indian Gaming Commission; 

(b) is a Person whose ptior activities, criminal record, if any, reputation, habits and 

associations pose a threat to the public interest of the Nation or the State or to the 

Page 25 
effective regulation and control of Gaming Activity, or creates or enhances the 

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

conduct of Gaming Activity or the carrying on cf the business and financial 

arrangements incidental thereto. When the Commission finds that this subsection 

(b) applies to an Applicant or Licensee who is a Primary Management Official or 

Key Employee, the Commission shall deny, suspend, revoke or refuse to renew a 

Tribal Gaming License in accordance with all applicable National Indian Gaming 

Commission regulations; 

(c) has violated, failed or refused to comply with the provisions, requirements, 

conditions, limitations or duties imposed by any provision of this Gaming Code, 

the Compact or the provisions of any Gaming Regulation, or when any such 

violation or non-compliance has occurred upon any premises occupied or 

operated by any such Person or over which he or she has substantial control; 

(d) knowingly causes, aids, abets, or conspires with another to cause any Person or 

entity to violate any of the laws of the Nation, the Regulations of the Commission 

or State Gaming Agency, the provisions of this Gaming Code or the Compact; 

(e) has obtained a Tribal Gaming License or State Certification by fraud, 

misrepresentation, concealment or through inadvertence or mistake; 

(f) has been convicted of, or forfeited bond upon a charge of, or pleaded guilty to, 

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

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

any ]eve], or filing false reports therewith, or of any similar offense or offenses, or 

of bribing or otherwise unlawfully influencing a public official or employee of the 

Nation, or any state of the United States, or of any crime, whether a felony or 

misdemeanor, involving any Gaming Activity or physical harm to individuals or 

moral turpitude; 

(g) makes a misrepresentation of, or fails to disclose a material fact to the Nation, 

Commission or State Gaming Agency; 

(h) knowingly discloses the existence of or information related to any ongoing Tribal 

Gaming Office investigation after receiving notice that such infonnation is to be 

maintained as confidential; 

(i) fails to prove, by clear and convincing evidence, that he, she or it is qualified in 

accordance with the provisions of this Code; 

(j) has been convicted of any felony offense; 

(k) is subjeLi to current prosecution or pending charges, or a conviL'1:ion which is 

under appeal, for any felony or gaming offense; provided, that at the request of 

any Applicant, the Commission may defer decision upon the application during 

the pendency of such prosecution or appeal; 

P&ge 26 
(I) has had a gaming license issued by any state or tribe in the United States revoked, 

denied or refused renewal; 

(m) has demonstrated a willful disregard for compliance with gaming regulatory 

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

application or forfeiture of license; 

(n) has pursued or is pursuing economic gain in an occupational manner or context 

which is in violation of the criminal laws of any tribe or state if such pursuit 

creates probable cause to believe that the participation of such Person in gaming 

or related activities would be detrimental to the proper operation of an authorized 

gaming or related activity on the Indian Lands of the Nation. For purposes of this 

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

planning, administration, management or execution of an activity for financial 

gain; 

( o) is a career offender or a member of a career offender organization or an associate 

of a career offender or career offender organization 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 activity on 

the Indian Lands of the Nation. For the purposes of this paragraph, career 

offender shall be defined as any Person whose behavior is pursued in an 

occupational manner or context for the purposes of economic gain utilizing such 

methods as are deemed criminal violations of Tribal law, Federal law or the laws 

and the public policy of the State. A career offender organization shall be defined 

as any group of Persons who operate together as career offenders; 

(p) fails to keep sufficient books and records to substantiate the reports required by 

this Gaming Code or falsifies any books and records related to any Gaming 

Activity; or 

(q) fails to provide any information requested by the Tribal Gaming Office within 

fourteen (14) days of receiving a written request from the Tribal Gaming Office 

for such information. 

Section 503: Proceedings to Deny a Tribal Gaming License 

(a) The Commission may deny a Tribal Gaming License to any Applicant where the 

Commission detennines that the Applicant is unable to meet the suitability 

requirements of Section 502 of this Code. 

(b) The Commission shall serve the Applicant with a written notice of its decision to 

deny the Applicant's Gaming License, which shall include the specific grounds 

under Section 502 for denial and which shall notify the Applicant of the 

Applicant's opportunity to be heard before the Commission at the Commission's 

next regularly scheduled Commission meeting. No other fonnal proceedings 

before the Commission or written notices shall be required, except that the 

Commission, after hearing the Applicant, may detennine, in its sole discretion, to 

Page 27 
reverse its decision to deny the Tribal Gaming License for the AppHcant. The 

decision by the Commission shall be final and not subject to appeal in the Tribal 

Court. 

Section 504: Proceedings to Suspend, Revoke or Not Renew a Tribal Gaming License 

Page 28 

(a) Initiation by Commission. Proceedings to suspend, revoke or non-renew a 

Tribal Gaming License sha11 be initiated by the Commission by serving a 

complaint upon the Licensee as set forth in this Code. 

(b) Immediate Suspension. The Commission may, by motion or resolution 

approved by unanimous vote of the Commissioners at a meeting where a quorum 

is present, immediately suspend a Tribal Gaming License prior to holding a 

suspension or revocation hearing as described in Section 504(g) of this Code, only 

where the Commission finds one of the following by clear and convincing 

evidence: (1) that the immediate suspension is necessary to protect the public 

interest, the effective regulation and control of Gaming Activities or the safe, fair, 

and honest conduct of Gaming Activities; or (2) that the continued licensure of 

the Person constitutes an immediate threat to the public health or welfare of 

patrons and/or tmiployees of the Gaming Facility. An immediate suspension shall 

take effect upon service of a complaint upon the Licensee prepared in 

conformance with Section 504(c). 

(c) Contents of Complaint. The complaint shall set forth the following: 

(1) The specific grounds for revocation, suspension or non-renewal of a Tribal 

Gaming License set forth in Section 502 that the Commission has 

reasonable cause to believe apply to the Licensee; 

(2) The specific facts 6riving rise to the alleged grounds for revocation, 

suspension or non-renewal of a Tribal Gaming License; 

(3) The date, time and location of the hearing described in Section 504(g) of 

this Code. The date of the hearing shall not be less than twenty (20) days 

after the Licensee receives a copy of the complaint or the amended 

complaint, as the case may be, unless the Licensee makes a written request 

to the Commission for an earlier hearing date, and the Commission finds 

that such a request for an earlier hearing date is reasonable and can be 

accommodated by the Commission. In the case of an immediate 

suspension, the Commission shall make aii reasonable efforts to hold an 

earlier hearing if requested by the Licensee; 

( 4) Inform the Licensee that, in accordance with Section 502(i) of this Code 

and Section 5(f)(6) of the Compact, the burden remains upon the Licensee 

to demonstrate by clear and convincing evidence that the Licensee 

continues to be qualified for licensure as required by this Code and the 

Compact; 
(5) Notice that the Commission may amend the complaint in the event the 

Commission, following service of the original complaint, discovers or 

develops additional infonnation pertaining to the facts and allegations set 

forth in the original complaint; and 

(6) Notice that the Licensee may request access to information relied upon by 

the Commission in issuing the complaint as described in Section 504(e) of 

this Code, and how to request such information. 

(d) Service. The Commission shall cause the complaint or amended complaint to be 

served personally upon the Licensee or it may be sent by certified mail, return 

receipt requested, to the Licensee at the address shown upon the License or at 

such other address as may be updated in the files of the Tribal Gaming Office. A 

copy of the complaint or amended complaint shall also be provided to the Gaming 

Facility Operator. ln the event personal service or certified mail is not available, 

the Commission shall cause the complaint or amended complaint to be served by 

any other means reasonably calculated to effectuate delivery to the Licensee. 

(e) Access to Information. Upon the written request of the Licensee, the Licensee 

shall be entitled to receive copies of all documents, reports, videos or other 

infonnation relied upon by the Co1mnission in issuing the complaint or amended 

complaint, unless the disclosure of such copies will materially compromise an 

ongoing Tribal Gaming Office or law enforcement investigation or if the 

disclosure has the potential to jeopardize the integrity of gaming for the Nation. 

If requested by the Licensee, the Commission may furnish an index of the 

documents, reports, videos or other information that have been withheld and shall 

set forth, in summary fashion, the reasons the documents, reports, videos or other 

infonnation have been withheld from the requesting Licensee. 

(f) Answer; Subpoenas. Not less than five (5) days prior to the date of the hearing, 

the Licensee or his or her chosen representative shall file a written answer to the 

complaint or amended complaint with the Tribal Gaming Office and shall infonn 

the Commission whether the Licensee desires to present evidence and/or 

witnesses at the hearing. In the case of an expedited hearing held on an 

immediate suspension, the Licensee and Commission may agree to a different 

time for filing an answer or agree that no answer need be filed, without prejudice 

to the Licensee. TI1e answer shall be accompanied by a list of witnesses which 

the Licensee reasonably anticipates calling at the hearing. At the request of the 

Licensee and for good cause shown, or on its own motion, the Commission may 

issue subpoenas for the attendance of witnesses and for the production of papers, 

books, records, and documents. 

(g) Hearing. The hearing before the Commission shall be recorded by electronic or 

stenographic means and the records maintained for six months or until all appeals 

have been exhausted. The Licensee may be represented by legal counsel or other 

advocate at the Licensee's cost. The Licensee shall have the opportunity to 

respond to the allegations in the complaint or amended complaint and present 

evidence at the hearing, including documentary or testimonial evidence. The 

Page 29 
Commission shall consider the evidence presented by the Licensee. The 

Commission shall develop specific hearing procedures by Regulation. 

(h) Written Decision. The Commission shall render a written decision containing 

findings of fact and conclusions of law in support of its decision. The 

Commission shall issue its decision within twenty (20) days of the conclusion of 

the hearing, unless the Commission provides written notice to the Licensee that an 

additional period of time, not to exceed ten (10) days, is required to complete the 

decision. In the case of an immediate suspension issued under Section 504(b) of 

this Gaming Code, the Commission shall use its best efforts to expedite the 

issuance of a final decision, which in no event shall be issued more than ten (10) 

days from the conclusion of the hearing, unless the Licensee and Commission 

agree to a later date. In the event of a suspension or revocation of the License, the 

Commission shall also inform the Licensee of the effective date of the suspension 

or revocation and/or the length of the suspension in the final written decision. 

The Commission shall inform the Licensee that the decision of the Commission 

maybe appealed to the Tribal Court as provided for in Section 1402 of this Code. 

(i) Surrender of Identification upon Suspension or ReYocation of License. When 

the Commission suspends, revokes or refuses to renew a Tribal Gaming License, 

the Licensee shall sUITender his or her identification badge to the Tribal Gaming 

Office, or such other department of the Nation or the Gaming Facility Operator as 

the Tribal Gaming Office may designate, on the effective date of the suspension 

or revocation. No License shall be valid as of the effective date of the suspension, 

revocation, or non-renewal whether or not the Licensee surrenders his or her 

identification badge. 

(j) Tribal Gaming Office Not Responsible for Back Pay or Lost Wages. Under 

no circumstances shall the Tribal Gaming Office be held responsible for the 

payment of back pay, lost wages, benefits or any similar claim due to the 

suspension, revocation or refusal to renew a Tribal Gaming License. 

Page 30 
CHAPTER 6: VIOLATIONS OF GAMING CODE, COMPACT OR 

GAMING REGULATIONS 

Section 601: Investigation Responsibilities 

The Executive Director of the Tribal Gaming Office has the responsibility to investigate 

alleged violations of the Act, the Gaming Code, the Compact or the Gaming Regulations or any 

applicable gaming laws of the Yavapai-Apache Nation or the State of Arizona. 

Section 602: Notice of Violation Procedures 

Page 31 

(a) Initiation by Executive Director. Prior to issuing any final decision on a Notice 

of Violation, the Executive Director shall first deliver a preliminary Notice of 

Violation to the General Manager and Compliance Manager ( or their successor 

titles) of the Gaming Facility Operator, or Vendor. 

(b) Contents of the Preliminary Notice of Violation. The preliminary Notice of 

Violation shall, at the minimum, provide the following: 

(I) The specific sections of the Act, the Gaming Code, the Compact or 

Gaming Regulations or applicable gaming law alleged to have been 

violated; 

(2) The specific facts giving rise to the alJeged violation that the Executive 

Director has reasonable cause to believe has been committed; 

(3) Those corrective actions (if any) that the Executive Director finds are 

needed to resolve the alleged violation; and 

(4) A warning that the failure to file a written response to the notice permitted 

by Section 602(c) of this Code may preclude a later challenge of the notice 

on the merits in any subsequent proceeding to suspend, revoke or nonrenew a Licensee's Tribal Gaming License pursuant to Section 602(£) of 

this Code. 

(c) Obligation to Investigate and Written Response. Upon receiving a preliminary 

Notice of Violation, the Gaming Facility Operator or Vendor shall investigate the 

allegations set forth in the preliminary Notice of Violation and determine what 

corrective actions (if any) may be required. When th~ preliminary Notice of 

Violation is delivered to the Gaming Facility Operator, the Gaming Facility 

Operator shall identify those Gaming Employees or other individuals who may 

have been involved in the alleged violation. The Gaming Facility Operator and/or 

Gaming Employee or Vendor shall file a written response to the preliminary 

Notice of Violation within ten (10) days of service. The Response shall contain: 

(1) The signature of any Gaming Employee or Gaming Employees involved 

in the alleged violation indicating that Gaming Employee was infom1cd of 

the preliminary Notice of Violation, if applicable; 
(2) An explanation of what corrective actions (if any) or other steps have been 

taken by the Gaming Facility Operator or Vendor as a result of the 

preliminary Notice of Violation to ensure that the violation does not occur 

again; and/or 

(3) Any statement by the Gaming Facility Operator and/or the identified 

Gaming Employee, or Vendor challenging or objecting to the preliminary 

Notice of Violation or any material aspect of the preliminary Notice of 

Violation. 

( d) Final Decision. The Executive Director shall consider any written response 

received under Section 602(c) and any other information relevant to the matter 

and shall render a final written decision on the preliminary Notice.of Violation 

within ten (10) days of receiving the response. The written decision shall be 

served on the General Manager and Compliance Manager for the Gaming Facility 

Operator and on any Gaming Employee who received notice of the preliminary 

Notice of Violation as indicated by the signature required by Section 602( c )(1) or, 

as applicable, the Vendor that is subject to the Notice of Violation. The final 

decision on the Notice of Violation shall explain the basis of the decision and 

clearly state whether: ( 1) there was no violation; (2) there was a violation but 

appropriate corrective actions have been taken; or (3) there was a violation and 

appropriate corrective actions have not been taken. In the event the Executive 

Director detennines that there was a violation and appropriate corrective actions 

have not heen taken, subject to the right ofreview permitted under Section 602(e), 

the Executive Director may take such other actions as may be allowable under the 

Gaming Code and Compact as necessary to ensure continued compliance with the 

Act, Gaming Code, the Compact, Gaming Regulations and applicable gaming 

law. 

(e) Review of Decision. Within five (5) days after the date of service of the final 

decision on the Notice of Violation, the Gaming Facility Operator and/or Gaming 

Employee or Vendor may file a petition with the Commission requesting a review 

of the Executive Director's decision. The Commission may set a hearing on the 

matter or may make a decision based solely upon the information available to the 

Executive Director as of the date of the Executive Director's final decision. The 

Commission shall issue a written decision within twenty (20) days of the filing of 

the petition. The Commission's decision is final and non-appealable, except as 

provided below under Section 602(t). 

(f) Use of the Notice in a Collateral Proceeding. Only if a written response to the 

preliminary Notice of Violation under Section 602(c) of this Code was filed by 

either the Gaming Facility Operator or the identified Gaming Employee or 

Vendor, may the Gaming Facility Operator or the identified Gaming Employee or 

Vendor later challenge the merits of the Notice of Violation in a subsequent 

proceeding before the Commission to suspend, revoke or not renew a Tribal 

Gaming License or as part of any related appeal to the Tribal Court as pennitted 

by this Code. 

Page 32 
P<1.ge 33 

(g) Compact Investigation and Reporting Obligations. Nothing in this Section 

shall be construed to alter or diminish any Tribal Gaming Office investigation or 

reporting requirements under the Compact. 
CHAPTER 7: MINIMUM INTERNAL CONTROL STANDARDS; 

PROMULGATION OF COMMISSION GAMING REGULATIONS; 

REVIEW OF GAMING FACILITY OPERATOR INTERNAL CONTROLS, 

PLANS, RULES, LOTTERIES 

Section 701. Minimum Internal Control Standards. The minimum intema1 control standards 

applicable to the conduct of Gaming Activity shall be those set forth in the National hldian 

Gaming Commission's Guidance on the Class III Minimum Internal Control Standards, Bulletin 

No. 2018~3, dated August 14, 2018, including all recommended standards referenced therein and 

all additions, amendments, and updates thereto, except as may be modified or supplemented by 

the following: 

(a) Gaming Regulations promulgated by the Commission in accordance with Section 

702 below; 

(b) Amendments to Appendix Hof the Compact; or 

(c) Other applicable appendix of the Compact. 

Section 702. Commission Gaming Regulations. 

(a) Authority to Promulgate Regulations. The Commission has the authority to 

promulgate Gaming Regulations in conformance with the Tribal Gaming Office's 

duties and responsibilities under this Code and the Compact to regulate the 

conduct of Gaming Activity on the Indian Lands of the Nation. 

(b) Procedures. When promulgating, amending or repealing Gaming Regulations, 

the Commission shall comply with the following notice and comment procedures: 

(1) Purpose and Need Statement. All proposed Gaming Regulations shall 

contain a brief statement specifying the underlying purpose of the 

proposed Gaming Regulation with a reference to the provision of the Code 

or the Compact that is being addressed by such Gaming Regulation. 

Page 34 

(2) Period for Comment. Prior to the issuance of a final Gaming Regulation, 

the Commission shall first submit a copy of the proposed Gaming 

Regulation to the Gan1ing Facility Operator for review and comment. 

Within fifteen (15) days of receipt, the Gaming Facility Operator may 

submit ·written comments to the Commission pe1taining to the propost:d 

Gaming Reb'Ulation, or it may reply that it has no comment. The Gaming 

Facility Operator shall be entitled to an additional period of fifteen (15) 

days to review the proposed Gaming Regulation and to provide comments, 

so long as a written request for such extension is received by the 

Commission within the original fifteen (15) day notice and comment 

period. If the Gaming Facility Operator does not file any written 

comments with the Commission within the time limitations provided by 

this subsection or if it replies it has no comment, the proposed Gaming 
Regulation shall be promulgated as final by the Commission at its next 

Commission meeting. 

(3) Response to Comments. 'Where the Commission receives timely written 

comments from the Gaming Facility Operator to a proposed Gaming 

Regulation, the Commission shall promptly meet and confer with the 

Gaming Facility Operator to discuss the proposed Gaming Regulation. 

Thereafter, the Commission shall adequately consider any written 

comments and additional information received by the Commission during 

the notice and comment period as required by this Section. The 

Commission may, in response to such comments and additional 

infonnation: 

(A) Modify the proposed Gaming Regulation; 

(B) Supplement the proposed Gaming Re!,'lllation; 

(C) Make technical or factual corrections to the proposed Gaming 

Regulation; or 

(D) Make any other changes to the proposed Gaming Regulation as the 

Commission determines is called for by such comments. 

(4) Promulgation of the Gaming Regulation. The Commission shall 

promulgate the final Gaming Regulation in its original form or as 

amended pursuant to this Section at its next Commission meeting after the 

conclusion of the notice and comment period and any meeting with the 

Gaming Facility Operator required by this Section. Notice and a copy of 

the final Gaming Regulation shall be provided to the General Manager and 

Compliance Manager (or their successor titles) of the Gaming Facility 

Operator within twenty-four (24) hours of promulgation. 

(c) Tribal Gaming Office Policies and Procedures Exempt. The Commission's 

approval of internal policies and procedures to govern the day-to-day operation of 

the Tribal Gaming Office, including the Ethics Policy required by this Code, shall 

not be considered "Regulations" and shall be exempt from the requirements of 

this Section. 

Section 703. Review of Gaming Facility Operator Internal Controls 

(a) The Gaming Facility Operator shall operate each Gaming Facility pursuant to a 

system of Internal Controls. The Internal Controls shall provide a level of control 

which equals or exceeds the level of control required by the minimum internal 

control standards described in Section 701 above and be consistent with this 

Code, any Gaming Regulations and the Compact. 

(b) The Gaming Facility Operator shall submit all Internal Controls and any 

amendments to the Tribal Gaming Office for approval prior to implementation. 

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(c) The Tribal Gaming Office Executive Director and staff shall review the Internal 

Controls or amendments for the sole purpose of determining whether the Internal 

Controls provide a level of control which equals or exceeds the level of control 

required by the minimum internal control standards described in Section 701 

above and are consistent with this Code, any Gaming Regulations and the 

Compact 

(d) The Executive Director shall issue a letter either approving the Internal Controls 

or amendments thereto or setting forth comments and/or objections in as timely of 

a manner as possible, but no later than ten (10) days following receipt of the 

Internal Controls or amendments. 

(e) If the Executive Director issues a letter setting forth comments and/or objections, 

the Executive Director and the Gaming Facility Operator shall meet and confer 

within ten (10) days in a good faith effort to resolve any objections. Thereafter, 

the Executive Director may take any of the following actions: 

(1) Review any revisions to the Internal Controls or amendments provided by 

the Gaming Facility Operator; 

(2) Jssue a letter approving the originally submitted Internal Controls or 

amendments or as subsequently revised by the Gaming Facility Operator; 

(3) Issue a letter disapproving the originally submitted Internal Controls or 

amendments or as subsequently revised hy the Gaming Facility Operator. 

(f) When required, the Executive Director shall provide copies of the Internal 

Controls and any amendments to the State Gaming Agency within thirty (30) days 

of implementation. 

Section 704. Review of Gaming Facility Operator Plans, Rules, Lotteries and Promotions 

(a) The Gaming Facility Operator shall submit the following documents to the 

Executive Director for approval prior to implementation and according to the 

timeframes set forth in the respective Appendix or MOU: 

(1) Surveillance and security plans as described in Appendix C of the 

Compact; 

(2) Game rules as described in the respective Appendix or MOU; 

(3) Lotteries and promotions as described in Appendix G of the Compact; 

(4) Tournament rules as described in the respective Appendix or MOU; 

Page 36 
(5) Rules for incentive transactions as described m Appendix A of the 

Compact; and 

( 6) Any other documents required to be submitted to the Tribal Gaming 

Office for approval as set forth in an Appendix or MOU. 

(b) The Executive Director shall review the submitted document for the sole purpose 

of detennining whether the document is consistent with the requirements of the 

Compact. 

(c) The Executive Director shall issue a letter either approving the document or 

setting forth comments and/or objections in as timely of a manner as possible 

following receipt of the document. 

(d) If the Executive Director issues a letter setting forth comments and/or objections, 

the Executive Director and the Gaming Facility Operator shall promptly meet and 

confer in a good faith effort to discuss the comments and resolve any objections. 

Thereafter, the Executive Diredor may take any of the following actions: 

(I) Review any revisions to the document provided by the Gaming Facility 

Operator; 

(2) Issue a letter approving the originally submitted document or as 

subsequently revised by the Gaming Facility Operator; 

(3) Issue a letter disapproving the originally submitted document or as 

subsequently revised by the Gaming Facility Operator. 

(e) When required, the Executive Director shall provide a copy of the document to 

the State Gaming Agency as set forth in the respective Appendix or MOU. 

Page 37 
CHAPTER 8: FINANCIAL PRACTICES AND REPORTING 

Section 801. Monthly Reports 

(a) On or before the twentieth day of each month, the Gaming Facility Operator shall 

file with the Tribal Gaming Office and the Tribal Council, a financial report for 

the preceding calendar month, prepared in accordance with generally accepted 

accounting principles, showing: 

(1) The amount of Gross Receipts derived from Gaming Activities; 

(2) The operating expenses incurred or paid; 

(3) The specific classifications of such receipts and expenses allocated by 

department, and if applicable, by Class II, and Class III Gaming; and 

( 4) TI1c Net Revenues derived from Gaming Activities. 

(b) It is the duty of the Gaming Faci1ity Operator to maintain and keep such books 

and records as may be necessary to substantiate the particulars of each report 

described above. 

Section 802. Maintenance of Books and Records; Tribal Gaming Office Access 

(a) Full and accurate books of account shall be kept on the Indian Lands of the 

Nation at the places of business of the Gaming Facility Operator showing the 

condition of the business and all transactions relating to Gaming Activities on the 

Indian Lands of the Nation. All books and records relating to Gaming Activities, 

including the records of the Gaming Facility Operator and the Tribal Gaming 

Office, shall be separately maintained in order to facilitate auditing in 

conformance with the Compact and Appendix I, as amended. 

(b) The Tribal Gaming Office shall be entitled to inspect, examine, and copy all 

papers, books and records (whether in paper or electronic form) related to the 

Gaming Activities conducted on the Indian Lands of the Nation without notice at 

any time during ordinary business hours or during Gaming Activities. The Tribal 

Gaming Office shall also be entitled to "read only" electronic access to the Host 

System for the Gaming Facility under the following circumstances: 

Page 38 

(1) Access shall be through a single terminal located in a secure area within 

the Tribal Gaming Office, which shall be installed, maintained and 

supported by the Gaming Facility Operator's Internal Information 

Technologies Office or its successor department in cooperation with the 

Tribal Gaming Office, including through the grant of appropriate access 

permissions as may be required to fulfill the purposes of this Section, 

which shall not be unreasonably withheld; 
(2) Access sha11 be limited to the Executive Director, the Internal Control 

Analyst and the Machine Compliance Specialist (or their successor titles) 

a..--id any additional personnel that have been designated by name in writing 

by the Executive Director and approved by the Commission as having a 

need for such access in order to perform regulatory duties required by this 

Gaming Code and the Compact; 

(3) Access shall only be performed in confonnance with the written policies 

and procedures to be developed by the Tribal Gaming Office under this 

Code. 

(c) All records of Gaming Activities in whatever medium shall he retained for the 

tem1 required by the Compact, or a separate agreement with the State Gaming 

Agency, or regulations of the National Indian Gaming Commission, whichever is 

longer. Such books shall be maintained according to generally accepted 

accounting principles and shall be suitable for audit pursuant to standards of the 

American Institute of Certified Public Accountants. 

Section 803. Deposit of Gross Receipts; Payment of Operating Expenses 

All Gross Receipts shall be deposited in a special account of the Gaming Facility 

Operator that shall contain only Gross Receipts and disbursements. Such account(s) shall be 

separate and distinct from all other accounts of the Nation. All operating expenses shall be 

withdrawn from such account by electronic transfer or consecutively numbered checks duly 

signed by the Gaming Facility Operator or an official or officials thereof designated by the 

Gamjng Facility Operator, payable to a specific Person or organization. No check shall be drawn 

to "cash" or a fictitious payee. 

Section 804. Annual Audit 

(a) Audit Reports. The Gaming Facility Operator shall, not less than annually at its 

fiscal year end, employ an independent certified public accountant approved by 

the Nation to audit the financial statements of the Gaming Operation in 

conformance with the requirements of the 25 C.F.R §§ 571.12 and 571.13, the 

Compact, and Appendix l, as amended. The independent certified public 

accountant shall issue a report on audited financial statements of the Gaming 

Operation. The independent certified public accountant shall perfom1 the audit in 

accordance with generally accepted auditing standards published by the American 

Institute of Certified Public Accountants and submit the audited financial 

statements, along with any reports the accountant has prepared, to the Tribai 

Council, the Tribal Gaming Office, the National Indian Gaming Commission, and 

the State Gaming Agency in accordance with all applicable National Indian 

Gaming Commission regulations within one hundred twenty (120) days after the 

Gaming Operation's fiscal year end. 

(b) Auditors. Either the firm or all independent certified public accountants engaged 

to do audits under this Code shall be licensed by the Arizona State Board of 

Accountancy. 

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(c) Audit of Contracts. Any contract for supplies, services, or merchandise which 

relates to Gaming Activities in an amount greater than twenty-five thousand 

($25,000) per year, except contracts for professional legal or accounting services, 

shall be included within the scope of the annual audit. 

Section 805. Disposition of Net Revenues 

The Net Revenues derived from Class II and Class III Gaming Activities shall be 

distributed in accordance with the Nation's Gaming Revenue Allocation Plan, as approved by the 

United States Department of the Interior. In no event shall Net Revenues be used for any 

purpose other than the following: 

(a) To fund the Nation's governmental operations and programs; 

(b) To provide for the general welfare of the Nation and its members; 

(c) To promote tribal economic development; 

(d) To donate to charitable organizations; and 

(e) To help fund operations of local government agencies. 

Section 806. Compliance with Internal Revenue Code 

The Gaming Facility Operator shall maintain a permanent record containing the name 

and address of each player who receives a prize as required by and in accordance with the 

Internal Revenue Code. The Gaming Facility Operator will provide the State Gaming Agency a 

copy of the documentation the Gaming Facility Operator submits to the Internal Revenue Service 

indicating such game winnings of patrons of the Gaming Operation. 

Page40 
CHAPTER 9: GAMING OPERATION STANDARDS AND REQUIRE1\1ENTS 

Section 901. Designation of Officer In Charge. 

The Gaming Facility Operator shall designate a Person or Persons to be the officer in 

charge of the Gaming Facility at all times. The officer in charge shall be primarily responsible 

for the operation and conduct of all Gaming Activities in the Gaming Facility. The officer in 

charge must have obtained a License from the Commission at least ten (10) days prior to the 

Occasion. There shall be an officer in charge to supervise all Gaming Activities and who shall 

be continuously present on the premises where Gaming Activities are being conducted and, if the 

Gaming Facility otherwise does not operate on a twenty-four (24) hour basis, for a period of at 

least one (1) hour after the last Gaming Activities of the Occasion has been completed. 

Section 902. Reporting to the Tribal Gaming Office 

The Gaming Facility Operator, or a Tribal Gaming Office inspector or agent, as 

applicable, shall promptly report ·to the Tribal Gaming Office any reportable events, unusual 

occurrences, and all violations or suspected violations of this Code or the Compact as set forth in 

Appendix C of the Compact as amended. The Tribal Gaming Office shall, in turn, notify the 

State Gaming Agency pursuant to Section 6(g) of the Compact and Appendix C. 

Section 903. Premises Open to the Tribal Gaming Office 

The premises where any Gaming Activity is being conducted, or where it is intended that 

Gaming Activity will be conducted, shall at all times be open to immediate inspection by the 

Tribal Gaming Office. 

Section 904. Patron Disputes 

Whenever the Gaming Facility Operator refuses payment of alleged winnings to a patron 

or there is otherwise a dispute with a patron regarding that patron's wins or losses from Gaming 

Activity, and the Gaming Facility Operator and the patron are unable to resolve the dispute to the 

satisfaction of the patron, the Patron Dispute shall be resolved as follows: 

(a) Patron Disputes of At Least Five Hundred Dollars. If the Patron Dispute 

involves at least five hundred dollars ($500), the Gaming Facility Operator shall 

notify the Tribal Gaming Office of the existence of the Patron Dispute and shall 

provide to the Tribal Gaming Office all documents, surveillance materials or other 

infom1ation regarding the particular Patron Dispute at issue. The Executive 

Director shail conduct whatever investigation it deems necessary and shall 

detennine whether payment should he made. 

(b) Patron Disputes of Less Than Five Hundred Dollars. If the Patron Dispute 

involves less than five hundred dollars ($500), the Gaming Facility Operator shall 

inform the patron of his or her right to request that the Tribal Gaming Office 

conduct an investigation. The patron must make such a request to the Tribal 

Gaming Office within seventy-two (72) hours after the Gaming Facility Operator 

infonns the patron of his or her right to request that the Tribal Gaming Office 

Page 41 
conduct an investigation. The request must be in writing and include of the time, 

place and cause of the Patron Dispute. Upon timely request of the patron, the 

Executive Director shall conduct whatever investigation it deems necessary and 

shall detennine whether payment should be made. 

(c) Notice to Patrons. Within thirty (30) days after the Tribal Gaming Office first 

receives notification from the Gaming Facility Operator or patron of the existence 

of a Patron Dispute, the Executive Director shall render a decision on the Patron 

Dispute and mail ·written notice of such decision by certified mail, return receipt 

requested, to the Gaming Facility Operator and the patron. 

(d) Effective Date of Decision. The decision of the Executive Director is effective 

on the date it is received by the patron as reflected on the return receipt. 

(e) Review of Decision. Within thirty (30) days after the date of receipt of the 

written decision, the patron or Gaming Facility Operator may file a petition with 

the Commission requesting a review of the Executive Director's decision. The 

Commission may set a hearing on the matter or may make a decision based solely 

upon the Executive Director's decision and other documentation provided to it by 

the patron and the Gaming Facility Operator. The Commission shall then issue a 

written decision within sixty (60) days of the filing of the petition. For Patron 

Disputes involving at least five-hundred dollars (S500), the written decision shall 

include a notice that the patron or Gaming Facility Operator may file a complaint 

in Tribal Court within sixty (60) days of receipt of the Commission's written 

decision pursuant to Section 1404 of this Code. 

(f) Principles of Contract Law. All Patron Disputes arise exclusively under 

principles of common law contract, and such disputes shall not, under any 

circumstances, create a cause of action under any other principle oflaw including, 

but not limited to, principles of property Jaw or tort law. Damages, costs, 

expenses, and attorneys' fees shall not be awarded to a patron in any Patron 

Dispute, and in no event shall a patron be entitled to recover more than the 

patron's alleged winnings. 

Section 905. Restriction on Minors 

(a) No Person under 21 years of age may place any wager, directly or indirectly, in 

any Class III Gaming Activity or other Gaming Activity subject to the Compact, 

unless the State amends its law to permit wagering by Persons under 21 years of 

age in any Gaming Activity by a Person or entity other than an Indian tribe, 

whereupon the Nation may amend Tribal law to change the lawful gaming age 

under the Compact to correspond to the lawful gaming age under State law. 

(b) Unless the Nation amends Tribal law to permit Class III wagering by Persons 

under 21 years of age, any wager placed by a Person under the age of 21 years in 

a Gaming Facility of the Nation is automatically void and the Gaming Facility 

Operator shall not knowingly pay out any winnings arising out of such wager, and 

Page 42 
any payout inadvertently paid to such underage person shall be and 1s 

immediately forfeited to the Gaming Facility Operator. 

(c) Neither the Nation, the Gaming Facility Operator, the Tribal Gaming Office, nor 

any employee thereof shall be deemed to have waived the sovereign immunity of 

the Nation or be liable in any way to a Person under 21 years of age or to any 

other party in any proceeding as a result of the participation of a Person under 21 

years of age in the Gaming Activities of the Nation in violation of this Code and 

the Compact, or as a result of such Person being prohibited from participating in 

any Gaming Activity of the Nation. 

Section 906. Safety and Security; Surveillance 

Page 43 

(a) Safety and Security. The Gaming Facility Operator shall establish and adhere to 

policies and procedures that provide for the safety and security of its employees 

and patrons. 

( 1) Refusal of Service. Pursuant to its safety and security policies and 

procedures, the Gaming Facility Operator may issue a Refusal of Service 

to any Person in the Gaming Facility and surrounding premises controlled 

by the Gaming Facility Operator for such reasons and for such period of 

time as the Gaming Facility Operator, in its sole discretion, shall 

detennine appropriate, including but not limited to Persons who are 

determined by the Gaming Facility Operator to be disorderly, rude, 

intoxicated, or causing a disturbance to the public or the Gaming 

Operation. 

(A) Notice to Tribal Gaming Office. The Gaming Facility Operator 

shall provide the Tribal Gaming Office with a copy of any Refusal 

of Service issued by the Gaming Facility Operator. Where the 

Gaming Facility Operator issues a Refusal of Service lasting more 

than seventy-two (72) hours, the Gaming Facility Operator shall 

provide a copy of the Refusal of Service to the Tribal Gaming 

Office within forty-eight ( 48) hours from its issuance. 

(B) Reviews. The Gaming Facility Operator shall implement 

appropriate policies and procedures to pennit a Person who is the 

subject of a Refusal of Service lasting over thirty (30) days to 

appeal the Refusal of Service to the General Manager of the 

Gaming Facility Operator. rne General Manager shall make a 

timely review of all information pertaining to the Refusal of 

Service and take such actions as the General Manager finds 

appropriate under the circumstances. 

(2) Detention of Individuals. The Gaming Facility Operator may detain 

individuals briefly for the purposes of obtaining identification from the 

individual in connection with the issuance of a written notice of Refusal of 

Service and may detain individuals who may be involved in illegal 
activities for the purposes of notifying and summoning appropriate law 

enforcement authorities. If the Gaming Facility Operator requests that an 

individual leave the Gaming Facility or the surrounding premises for any 

reason and the individual refuses to do so, the Gaming Facility Operator 

may eject the individual using such force as may be necessary under the 

circumstances or request the Yavapai-Apache Police Department to 

remove the individual. 

(b) Surveillance. The Gaming Facility Operator or the Tribal Gaming Office shall 

establish, maintain and enforce reasonable policies and procedures for 

survei11ance. The Gaming Facility Operator or the Tribal Gaming Office shall 

operate a surveillance system in all areas of the Gaming Facility in which Gaming 

Activity is conducted that meets the requirements of Appendix C of the Compact, 

as amended. The Gaming Facility Operator or the Tribal Gaming Office may also, 

in its discretion, conduct such surveillance in other areas of the Gaming Facility 

and its surrounding premises as it deems appropriate to the management and 

operation of the business and for the protection of the patrons' property and the 

Gaming Facility Operator's property from illegal activity. 

Section 907. Financial Services in Gaming Facilities 

The following finandal services shall be prohibited by the Gaming Facility Operator: 

(a) Locating an automatic teller machine ("ATM") adjacent to, or in close proximity 

to, any Gaming Device; 

(b) Locating in a Gaming Facility an ATM that accepts electronic benefit transfer 

cards issued pursuant to a state or federal program that is intended to provide for 

needy families or individuals; 

(c) 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; and 

(d) Extending credit to any patron of a Gaming Facility for Gaming Activities, except 

as provided in compliance with the provisions of Appendix N of the Compact and 

all applicable federal laws. 

Section 908. Prohibition Against Gambling; Certain Employment Restrictions 

(a) Gaming Employees may gamble in the Gaming Faciiity pursuant to internal 

controls established by the Gaming Facility Operator, except: 

Page44 

(1) No Person who is employed as the General Manager, a Department 

Director, or a Department Manager shall be pennitted to place a wager in 

any Gaming Activity. 
Page45 

(2) No Person who is employed by the Security Department, Information 

Technology or the Surveillance Department shall be permitted to place a 

wager in any Gaming Activity; 

(3) No card room supervisor or management employee shall be permitted to 

place a wager in any game of Poker operated by the Gaming Facility 

Operator, except that, so long as the Nation operates no more than ten 

Poker or Jackpot poker tables at one time, an on-duty floor person may act 

as a Proposition Player pursuant to internal controls established by the 

Gaming Facility Operator and approved by the Executive Director and the 

State Gaming Agency, when such play by the floor person is necessary to 

keep a Poker game operating; 

(4) No Gaming Employee shall be pcnnitted to place a wager in any house 

banked table game operated by the Gaming Facility Operator; and 

(5) As provided pursuant to internal controls established by the Gaming 

Facility Operator. 

(b) Prohibition Against Self-Dealing. No Gaming Employee shall: 

( 1) Accept any form of incentive, tip or other thing of value fi-om any patron 

or guest, or any Vendor, fellow employee or any other Person, except that 

employees of the Gaming Facility Operator may accept such incentive, tip 

or other thing of value where it is specifically made permissible under the 

Compact, this Code or any approved policy or procedure issued by the 

Gaming Facility Operator; or 

(2) Use their position for personal gain or to obtain a benefit or other thing of 

value for any other Person, including, but not limited to, members of the 

employee's family or friends or fellow employees. 
CHAPTER 10: PROBLEM GAMBLING 

Section 1001. Problem Gambling 

(a) Signage. 

(1) At all public entrances and exits of each Gaming Facility, the Gaming 

Facility Operator shall post signs in English and Spanish stating that help 

is available if a Person has a problem with gambling and providing the 

Statewide toll-free helpline telephone number, text message and website 

information established by the Arizona Department of Gaming - Division 

of Problem Gambling. 

(2) The Gaming Facility Operator shall display signage visible on the gaming 

floor and on or in close proximity to all cash access, check cashing and 

automated teller machines (ATMs) in the Gaming Facility stating that help 

is available if a Person has a problem with gambling and providing the 

Statewide toll-free helpline telephone number, text message and website 

information established hy the Arizona Department of Gaming - Division 

of Problem Gambling. 

(b) Self-exclusion. The Gaming Facility Operator shall take reasonable measures to 

deter entry into the Gaming Facilities of the Nation, and identify and bar the 

participation in any Gaming Activities of the Nation by all Self-Excluded Persons. 

These reasonable measures shall include, but are not limited to, the following: 

Page 46 

(1) Checking the most recent Self-Excluded Persons list before issuing or reissuing any slot or players cards and shall deny a card to any SelfExcluded Person; 

(2) Removing all Self-Excluded Persons from the Gaming Facility Operator's 

mailing lists and revoking the slot or players cards for all Self-Excluded 

Persons; 

(3) Taking reasonable steps to ensure that Self-Excluded Persons are denied 

access to all financial transactions, including the extension of credit (this 

shall not apply to the purchase of non-gaming related items or cash 

purchases that do not generally require the check of a Person's 

identification); 

(4) Taking reasonable steps to identify Self-Excluded Persons who may be in 

the Gaming Facility and, once identified, promptly escort the SelfExcluded Person from the Gaming Facility. For Self-Excluded Persons 

removed from the Gaming Facility, reporting to the Tribal Gaming Office 

the name of the Self-Excluded Person, the security staff involved, date of 

removal, amow1t or value of any monies, prizes, or awards forfeited, if 

any, and any other action taken; 
(5) Prohibiting the payment of any jackpot, prize, or award (whether cash, 

property, or in any other form), where a Person's identification must be 

verified, to a Self-Excluded Person. A..'1.y jackpot, prize, or award won by 

a Self-Excluded Person shall be donated by the Gaming Facility Operator 

on a timely basis to an Arizona-based non-profit charitabJc organization 

primarily dedicated to the treatment or prevention of problem gambling or 

other addiction treatment services; 

(6) Advising Persons who inquire about self-exclusion of the existence of the 

State Gaming Agency's se)f-exclusion list and offer self-exclusion 

application forms provided by the State Gaming Agency to those Persons 

when requested; and 

(7) Implementing a procedure for the confidentiality, maintenance, and 

appropriate dissemination of the information on the self-exclusion list 

provided by the Tribal Gaming Office or the State Gaming Agency. 

(c) Problem Gambling Program. The Gaming Facility Operator shall develop and 

maintain a program to mitigate problem gambling and curtail compulsive 

gambling, which may be in conjunction with the Arizona Department of Gaming 

- Division of Problem Gambling, and which shall include the safeguards set forth 

in Appendix M of the Compact as amended. 

Section 1002. Limitations on Liability; No Waiver of Sovereign Immunity for SelfExclusion 

(a) Neither the Nation, the Gaming Facility Operator, the Tribal Gaming Office, nor 

any Commissioner or employee thereof shall be Jiable to any Self-Excluded 

Person or to any other party in any proceeding and neither the Nation, the Gaming 

Facility Operator, nor the Tribal Gaming Office shall be deemed to have waived 

its sovereign immunity with respect to any Person for any harm, monetary or 

otherwise, which may arise as a result of: 

(I) The failure of the Gaming Facility Operator or the Tribal Gaming Office 

to withhold or restore gaming privileges from or to a Self-Excluded 

Person; or 

(2) Otherwise pennitting a Self-Excluded Person to engage in Gaming 

Activity while on the list of Self-Excluded Persons. 

(b) Neither the Nation, the Gaming Facility Operator, the Tribal Gaming Office, nor 

any Commissioner or employee thereof shall be liable to any Self-Excluded 

Person or to any other party in any proceeding, and neither the Nation, the 

Gaming Facility Operator, nor the Tribal Gaming Office shall be deemed to have 

waived its sovereign immunity with respect to any Person for any hrum, monetary 

or otherwise, which may arise as a result of disclosure or publication in any 

manner, other than a willfully unlawful disclosure or publication, of the identity 

of any Self-Excluded Person. 

Page 47 
CHAPTER 11. BARRING; TRESPASS; CONSENT TO JURISDICTION 

Section 1101. Barring 

(a) Commission's Authority to Bar Persons. The Commission may bar a Person 

from entering or remaining in the Gaming Facility for any period of time where 

the Commission finds substantial evidence of the following: 

(1) That the Person's conduct while on the premises of the Gaming Facility or 

in conjunction with any Gaming Activity presents a threat to the integrity 

of the Gaming Activity or assets of the Nation, or to the safety or security 

of Patrons, employees, or visitors to the Gaming Facility; or 

(2) That the Person's criminal history or association with career offenders or 

career offender organizations poses a threat to the integrity of the Gaming 

Activity of the Nation. 

(3) That the Person is the subject of an exclusion order issued by the Tribal 

Court prohibiting the Person from being present on the Indian Lands of the 

Nation. 

(b) Temporary Barring. The Tribal Gaming Office may temporarily bar any Person 

on the premises of the Gaming Facility, pending a final decision by the 

Commission, where the agent has substantial information to believe that the 

Person's conduct, history or association would support a final barring decision by 

the Commission under Section l lOl(a). The Commission shall take action on a 

temporary barring decision within thirty (30) days. 

(c) Notice of Barring to be Provided to Gaming Facility Operator. In addition to 

the requirement to provide notice of barring decisions to the State of Arizona 

under Section 3(u) of the Compact, the Tribal Gaming Office shall also provide 

the General Manager of the Gaming Facility Operator with a copy of all 

temporary and final baning decisions issued under this Section. 

(d) Hand Paid Jackpots Prohibited. The Gaming Facility Operator is prohibited 

from paying any hand-paid jackpot won by a Person who is identified by the 

Gaming Facility Operator as a Barred Person. Any jackpot won by a Barred 

Person shall be donated by the Gaming Facility Operator to an Arizona-based 

non-profit charitable organization. 

(e) The Tribal Gaming Office. The Commission shall promulgate appropriate 

Regulations for the exercise of its barring authority under tliis Section, including 

but not limited to the issuance of temporary and final barring decisions and the 

ability of Barred Persons to have a barring decision lasting more than twelve (12) 

months reconsidered by the Commission. 

Page 48 
Section 1102. Trespass 

A Person commits trespass by UI'Jawfully entering or remaining in any Gaming Facility 

in violation of this Gaming Code. The following Persons shall be deemed in trespass under this 

Gaming Code: 

(a) Any Self-Excluded Person who enters any Gaming Facility of the Nation; 

(b) Any Person under the age of 21 years who places or attempts to place any wager, 

dfrectly or indirectly, in any Class III Gaming Activity or other Gaming Activity 

subject to the Compact, so long as such conduct remains prohibited under Tribal 

law as set forth in Section 905 of this Code; 

(c) Any Barred Person or Person who has been issued a Refusal of Service by the 

Gaming Facility Operator and who refuses to immediately leave or returns to any 

Gaming Facility while barred or before the expiratfon of the Refusal of Service; 

(d) Any Person who enters, remains, refuses to immediately leave, or returns to the 

premises of any Gaming Facility of the Nation in contravention to the oral or 

written request of an agent of the Commission, Public Safety Officer, security 

services employee, or any other representative of the Gaming Facility Operator; 

or 

(e) Any person who is the subject of an exclusion order issued by the Tribal Court 

prohibiting the Person from being present on the Indian Lands of the Nation. 

Section 1103. Consent to Jurisdiction 

Any Person who enters any Gaming Facility of the Nation is deemed to have consented 

to the jurisdiction of the Tribal Courts of the Nation. The Gaming Facility Operator shall 

conspicuously display at all entrances to the Gaming Facility, and in any other place as may be 

appropriate, a notice which shall be clearly legible, printed or otherwise inscribed in bold face 

type and which is substantially in the following form: 

Any Person who enters the Cliff Castle Casino here!:,y expressly consents and 

agrees to be subject to the laws of the Yavapai-Apache Nation and to the 

jurisdiction of the Tribal Courts of the Yavapai-Apache Nation in all civil and 

criminal proceedings consistent with applicable law. 

ff you are a Person who has been barred from this Gaming Facility or any other 

Gaming Facility in Arizona or (f you have been issued a notice of Refusal of 

Service or have placed yourself on the Se"lf-Exclusion list maintained by the 

Yavapai-Apache Tribal Gaming Office or the Arizona Department qf" GaminK, 

your presence in the Cliff Castle Casino is willful trespass which may subject you 

to criminal prosecution and/or civil suit in the Tribal Courts of the YavapaiApache Nation or, where applicable, Federal or State Court. 

Page 49 
Section 1104. Remedies fo1· Trespass 

Page 50 

(a) Commission to Bring Trespass Action. Except as othenvise provided in this 

Gaming Code, the Commission may on its own or at the request of the Gaming 

Facility Operator, institute a civil action in Tribal Court against any Person who 

commits trespass upon any Gaming Facility of the Nation. 

(b) Civil Penalties. The Tribal Court may order a Person who commits willful 

trespass to pay a civil penalty not to exceed five thousand dollars ($5,000) for 

each day that a violation occurs and for each separate violation, and may award 

other monetary damages, including punitive damages, attorney's fees, injunctive 

relief, forfeiture of property and evidence, costs of administrative proceedings and 

investigations or any other relief that is just and equitable under the 

circumstances. 

(c) Exclusion. For good and sufficient cause found, the Tribal Court may exclude 

from the Indian Lands of the Nation any Person who engages in an activity or 

activities in violation of this Gaming Code and the Compact, to the extent such 

exclusion is consistent with the laws of the Nation. 

(d) Referral for Criminal Prosecution. The Commission may also refer a trespass 

to law enforcement for possible criminal prosecution in Tribal Court or state or 

federal court. 
CHAPTER 12: LAW ENFORCEMENT AND EMERGENCY PERSONNEL 

Section 1201. Coordination on Law Enforcement Matters 

The State of Arizona and the Nation will coordinate the use of resources, authority; and 

personnel of the State and the Nation for the shared goa1 of preventing and prosecuting crimina1 

or undesirab1e activity by players, employees, or businesses in connection with any Gaming 

Facility of the Nation. 

Section 1202. Law Enforcement Services Plan 

The Gaming Facility Operator shall ensure that a written law enforcement services plan 

has been implemented in compliance with Section 13(e) of the Compact that provides a 

comprehensive and effective means to address criminal and undesirable activity at the Gaming 

Facility. 1bis plan shall, at a minimum, provide for: 

(a) Sufficient law enforcement resources that are to be available twenty-four (24) 

hours a day, seven days per week; and 

(b) The employment of a police officer (either by the Gaming Facility Operator, the 

Tribal Gaming Office or the Yavapai-Apache Police Deparbnent) holding current 

Arizona police officer standards and training certification to be assi6'!led to handle 

gaming-related matters when they arise. 

Section 1203. Emergency Medical and Fire Suppression 

The Gaming Facility Operator shall make provisions for adequate emergency 

accessibility and service. Such provisions shall include a ·written emergency medical and fire 

suppression plan that includes all steps reasonably appropriate to ensure the on-going availability 

of sufficient emergency services to the Gaming Facility in compliance with the Compact. 

Page 51 
CHAPTER 13: FRAUDULENT ACTS; CHEATING 

Section 1301. Cheating. 

It shall he unlawful for any Person: 

(a) To alter or misrepresent the outcome of a game or other event on which wagers 

have been made after the outcome is arrived at but before it is revealed to the 

player. 

(b) To, hy any trick or sleight of hand performance, or by fraud or fraudulent scheme, 

use a card, dice or other object or device to win or attempt to win money or 

property or a representative of either; 

(c) To place, increase or decrease a bet or to determine the course of play after 

acquiring knowledge, not available to all players, of the outcome of the game or 

any event that aflects the outcome of the game or which is the subject of the bet; 

(d) To aid anyone in the acquisition of such knowledge for the purpose of placing, 

increasing or decreasing a bet or detennining the course of play contingent upon 

that event or outcome; 

(e) To 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 or any other applicable law, 

statute or regulation; 

(f) To claim, collect or talce, or attempt to claim, collect or take, money or anything 

of value in a Gaming Facility, with intent to defraud, without having made a 

wager contingent thereon, or to claim, collect or take an amount greater than the 

amount won; 

(g) To alter, counterfeit, reproduce or attempt to alter, counterfeit OT reproduce any 

coupon, ticket, voucher or anything of value in a Gaming Facility with the intent 

to defraud. 

(h) To knowingly entice or induce another to participate in gaming conducted or 

operated in violation of the provisions of this Code with the intent that the other 

Person play or participate in that gambling game; 

(i) To utilize another Person or agent in any Gaming Activity or the use of another 

Person's account with the intent to conceal the Person's identity in order to place 

a wager, collect winnings; or the use of false or altered identification to collect 

promotional items, "free-play" or anything of value; 

(i) To 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; 

Page 52 
(k) To reduce the amount wagered or cancel the bet after acquiring knowledge of the 

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

pinching bets; 

(1) To alter, mark, manipulate, tamper with or otherwise modify with the intent to 

cheat, any component of a Gaming Device, Card Grune Table, or other game in a 

manner contrary to the designed and normal operational purpose for the 

component with knowledge that the manipulation affects the outcome of the game 

or with knowledge of any event that affects the outcome of the game; or 

(m) To assist or enable any restricted minor within the meaning of Section 3(w) of the 

Compact to place a wager in any Gaming Facility. 

Section 1302. Use of Device for Calculating Probabilities 

It shall be unlawful for any Person patronizing any Gaming Facility of the Nation to use, 

or possess with the intent to use, any device to assist: 

(a) In projecting the outcome of the game; 

(b) In keeping track. of the cards played; 

(c) In analyzing the probability of the occurrence of an event relating to the game; 

(d) In analyzing the strategy for playing or betting to be used in the game; or 

(e) In manipulating the odds or outcome of any game in any way. 

Section 1303. Use of Counterfeit or Unapproved or Prohibited Objects, Devices or Means 

in Gaming Activity Unlawful 

Page 53 

(a) lt shall be unlawful for any Person to: 

(1) Knowingly use any counterfeit or unapproved ticket, chip, token, coin or 

other object to participate in any Gaming Activity conducted by the 

Nation or to knowingly use or attempt to use any other device or means to 

violate the provisions of this Code, the Compact or applicable law; 

(2) To have on his or her per-sen er in hfo nr her possession, whether on or off 

the Gaming Facility premises, any counterfeit or unapproved ticket, chip, 

token, coin, or other object or device that is intended to be used to violate 

the provisions of this Code, the Compact or applicable law. 

(3) To have on his or her person or in his or her possession, whether on or off 

the Gaming Facility premises, any paraphernalia for manufacturing s1ugs 

or for the production any counterfeit or unapproved ticket, chip, token, 
coin, or other object or device that is intended to be used to violate the 

provisions of this Code, the Compact or applicable law. 

(b) It shall be unlawful for any Person who is not a duly authorized employee of the 

Gaming Facility Operator or of a Vendor acting in furtherance of his or her 

employment within the Gaming Facility, to have on his or her person or in his or 

her possession, whether on or off the Gaming Facility premises, any key or device 

designed for the purpose of and suitable for opening, entering or affecting the 

operation of Gaming Activity, including but not limited to any drop box or 

electronic or mechanical device connected thereto or for moving money or other 

contents there from. 

Section 1304. Manufacture, Sale of Distribution of Devices for a Wrongful Purpose; 

Rebuttable Inf ere nee of Cheating 

(a) It shall be unlawful for any Person to manufacture, sell or distribute any 

counterfeit or unapproved ticket, chip, token, coin, card, dice, object, game, 

device or means or any slugs intended to be used to violate any provision of this 

Code and the Compact or applicable law. 

(b) Possessing paraphernalia for manipulating the odds or outcome of a game in any 

way or for manufacturing slugs or any counterfeit ticket, chip, token, coin, card, 

dice or other object, which includes possession of more than one device, piece of 

equipment, product or material described in this Section, shall create, in any 

action against the possessor resulting from such possession, a rebuttable inference 

that the possessor intended to use them for the purpose of cheating. 

Section 1305. Marking, Alteration or Modification of Equipment and Devices Associated 

with Gaming; Unlawful Instruction 

(a) It shall be unlawful to mark, alter or otherwise modify any Gaming Device used 

by the Nation in a manner that could affect the normal criteria of random selection 

of a Gaming Device or detennine the outcome of Gaming Activity or a Gaming 

Device in any way. 

(b) It shall be unlawful for any person to instruct another in cheating or in the use of 

any counterfeit or unapproved ticket, chip, token, coin, card, dice, object, game, 

device or other means of cheating prohibited by this Chapter 13, with the 

knowledge or intent that the inforrnation or its use, once conveyed, may be 

employed to violate any provision of this Code or the Compact or applicabie iaw. 

(c) It shall he unlawful for any Person to knowingly aid, conspire or collude with 

another Person or Persons for the purpose of committing any fonn of cheating or 

fraudulent act otherwise prohibited by this Chapter 13. 

Section 1306. Remedies for Fraudulent Acts; Cheating 

(a) Commission to Bring Civil Action. Except as otherwise provided 111 this 

Page 54 
Gaming Code, the Commission may on its own or at the request of the Gaming 

Facility Operator, institute a civil action in Tribal Court against any Person who 

violates any provision of this Chapter 13. 

(b) Civil Penalties. The Tribal Court may order a Person who violates any provision 

of this Chapter 13 to pay a civil penalty not to exceed five thousand dollars 

($5,000) for each violation, and may award other monetary damages, including 

punitive damages, attorneys fees, injunctive relief, forfeiture of property and 

evidence, costs of administrative proceedings and investigations or any other 

relief that is just and equitable under the circumstances. 

(c) Exclusion. For good and sufficient cause found, the Tribal Court may exclude 

from the Indian Lands of the Nation any Person who violates any provision of this 

Chapter 13, to the extent such exclusion is not inconsistent with the laws of the 

Nation. 

(d) Referral for Criminal Prosecution. The Commission may also refer a violation 

of this Chapter 13 to law enforcement for possible criminal prosecution in Tribal 

Court or state or federal court. 

Section 1307. Unlawful Dissemination of Information Concerning Racing; Exemptions, 

Penalty 

(a) It shall be unlawful for any Person to furnish or disseminate any information in 

regard to racing or races, from any point within the State to any point outside the 

State, by means of any signaling device, including but not limited to the 

telephone, internet, cellular or smart phone, telegraph, teletype, radio or any other 

signaling device, with the intention that the information is to be used to induce 

betting or wagering on the result of the race or races, or with the intention that the 

information is to be used to decide the result of any bet or wage made upon the 

race or races. 

(b) This Section does not prohibit: 

(1) A newspaper of general circulation from printing and disseminating news 

concerning races that are to be run or the results of races that have been 

run; or 

(2) The furnishing or dissemination of information concerning wagers made 

in an off-track pari-mutuel system of wagering authorized under this Code 

or the Compact. 

Section 1308. Detention and Questioning of Persons Suspected of Violating Tribal, Federal 

or State law; Limitations on Liability; Posting of Notice 

(a) Authorities who question any Person suspected of violating any Tribal, Federal or 

State law, or any provision of this Code or the Compact shall not be criminally or 

civilly liable for: 

Page 55 
(I) The questioning of a suspected violator; or 

(2) Any report given to the Tribal Gaming Office, the Gaming Facility 

Operator, the State Gaming Agency, Federal or State regulatory 

authorities, or law enforcement authorities regarding the identity of a 

Person suspected of violating any Tribal, Federal or State law, or any 

provision of this Code or the Compact. 

(b) Any reb'Ulatory, public safety, security service provider or law enforcement 

authority who has probable cause to believe that a Person has violated Tribal, 

Federal or State law, while in a Gaming Facility of the Nation, may take such 

Person into custody and detain such Person in a reasonable manner and for a 

reasonable length of time. Such taking into custody and detention shall not render 

the authority criminally or civilly liable unless it is established by clear and 

convincing evidence that the custody and detention was wholly unreasonable 

under all the circumstances. 

(c) There must be displayed in a conspicuous place in the Gaming Facility a notice in 

boldface type which is clearly legible in substantially this form: 

Agents of the Yavapai-Apache Tribal Gaming Office or the State 

Gaming Agency, or any public safety officer who has probable 

cause for believing that a Person has violated Chapter 13 of the 

Yavapai-Apache Nation Gaming Code prohibiting cheating or 

other fraudulent acts in gaming may detain that person in the 

Gaming Facility. 

Section 1309. Disposition of Evidence or Other Property Seized by Agent of the Tribal 

Gaming Office 

(a) Except as otherwise provided in the Compact, any evidence of cheating, 

fraudulent acts or other violations of this Section, seized from the suspected 

perpetrator, shall be turned over to the custody of the Tribal Police pending 

resolution by a court of competent jurisdiction. If no prosecution is undertaken or 

the court dismisses the case the Tribal Police shall deliver the evidence or 

property to the Tribal Gaming Office, and any Person who has a claim to the 

seized evidence or property may file a written claim for return of said evidence or 

property with the Tribal Gaming Office within thirty (30) days of receiving notice 

from the Tribai Gaming Office that no prosecution has been undertaken or that 

the court has dismissed the case. 

(b) If more than one Person files a claim for the evidence or property, the 

following procedures shall be followed: 

Page 56 

(1) The Persons who have filed a claim for such evidence may agree 

among themselves the manner and means for dividing the evidence or 

property; or 
Pag~ 57 

(2) The Persons who have filed a claim for such evidence or property may 

agree to have the matter determined by the Commission or any single 

Person may institute legal proceedings in the Tribal Court to detennine the 

proper disposition of the evidence or property. The Tribal Gaming Office 

shall return the evidence or property to the Persons who have filed a claim 

for such evidence or property in accordance with any decision or 

agreement approved by the Commission, or any final judgment or award 

entered by the Tribal Court pursuant to the provisions of this Section. 

(3) A Person to whom evidence or property is returned by the Tribal Gaming 

Office pursuant to this Section shall execute such documents as are 

required by the Tribal Gaming Office to defend, hold hannless, indemnify 

and release the Tribal Gaming Office from any liability arising from the 

delivery of the evidence or property to the claimant. 

( 4) If no claim is submitted within the thirty (30) day period prescribed by this 

Section, the Nation may use such evidence or property for any lawful 

purpose. The Tribal Gaming Office may dispose of any evidence or 

property that cannot be used for any lawful purpose in any reasonable 

manner. 
CHAPTER 14: TRIBAL COURT JURISDICTION 

Section 1401. Jurisdiction 

Except as othenvise provided in this Gaming Code, the Tribal Court shall have exclusive 

jurisdiction to hear and decide all matters concerning the administration and enforcement of this 

Gaming Code; provided, however, that nothing in this Gaming Code shall be construed to 

preclude prosecution in Federal Court pursuant to the Indian Gaming Regulatory Act or other 

applicable law. 

Section 1402. Appeals from Decisions to Suspend, Revoke or Non-renew a Tribal Gaming 

License. 

(a) Appeal; Timing. Any Licensee am~'Tievcd by a decision of the Commission to 

suspend, revoke, or non-renew their Tribal Gaming License may, within fifteen 

(15) days after issuance of the decision by the Commission, file a written appeal 

with the Tribal Court in conformance with the applicable rules of procedure for 

the Tribal Court. A copy of the appeal, along with all exhibits and attachments 

thereto, shall be delivered on the same day of filing to the Executive Director of 

the Tribal Gaming Office. 

(b) Administrative Record. In reaching its decision on such an appeal, the Tribal 

Court shall consider only such evidence relating to the order from which appeal is 

taken as appears in the records of the Commission and was available to the 

Commission at the time of its decision. 

(c) Standard of Review. The Tribal Court may affirm, reverse, vacate, modify, or 

remand a decision or order of the Commission; provided that the Tribal Court 

shall affirm the order of the Commission unless such decision or order is 

arbitrary, capricious, or otherwise in contravention to applicable law. 

(d) Finality of the Tribal Court Decision. No appeal beyond Tribal Court may be 

had. 

Section 1403. Appeal of Gaming Regulations Promulgated by the Commission 

(a) Appeal; Timing. The Gaming Facility Operator may appeal a final regulation 

promulgated by the Commission by filing a written appeal with the Tribal Court 

within fifteen (15) days after promulgation, provided that the grounds for the 

appeal are limited to those issues raised in the Gaming Facility Operator's 

comments filed pursuant to Section 701 (b )(2) of this Code. A copy of the appeal, 

along with all exhibits and attachments thereto, shall be delivered on the same day 

of filing to the Executive Director of the Tribal Gaming Office. 

(b) Response. Within fifteen (15) days of service of the appeal on the Executive 

Director, the Commission shall file a written response \\'1th the Court. No other 

filings shall be permitted, except by order of the Court. 

Page 58 
(c) Appeals to be Expedited. All appeals filed by the Gaming Facility Operator 

under this Section shall be considered and decided by the Tribal Court in an 

expedited fashion, consistent with the Court's then existing calendar. In reaching 

its decision on the appeal, the Court shall only consider the arguments and 

evidence submitted to the Court in the Gaming Facility Operator's written appeal 

and in the Commission's response. The Court may hold a single hearing on the 

appeal upon the request of any party or upon its own initiative. 

(d) Grounds for Dismissal. Absent a showing of good cause, the Court shall rusmiss 

the Gaming Facility Operator's appeal if (1) it was untimely filed under Section 

1403(a); or (2) the grounds stated in the appeal raise an issue or argument that 

was not first raised in the Gaming Facility Operator's written comments on the 

regulation required by Section 701 (b)(2) of the Code. 

(e) Standard of Review. Upon review, the Court shall affirm the validity of the 

Regulation unless such regulation is found to be arbitrary, capricious or otherwise 

111 contravention to applicable law. 

Section 1404. Patron Disputes 

Any Patron whose Patron Dispute involves at least five-hundred dollars ($500), may file 

a complaint in Tribal Court within sixty (60) days of receipt of the Commission's written 

decision referenced in Section 904 of this Code. Disposition of the action in Tribal Court will be 

final and binding upon all parties in accordance with Tribal law. 

Section 1405. Enforcement Action by the Commission 

The Commission may, based on reasonable grounds or on reliable complaint made, and 

after written notice giving the Gaming Facility Operator thirty (30) days to cure an alleged 

violation of this Gaming Code or the Compact, or applicable Tribal, Federal or State law, seek 

such relief from the Tribal Court as is authorized in this Gaming Code, against the Gaming 

Facility Operator or its Principals, Primary Management Officials, Key Employees, or 

employees having duties to perform respecting the operation and conduct of any Gaming 

Activity, as may be necessary in the judgment of the Commission for the proper enforcement of 

this Gaming Code, the Compact or applicable Tribal, Federal or State law. 

Section 1406. Trespass Actions 

The Commission may, based upon reasonable grounds and reliabie complaint made, 

bring an action in the Tribal Court against any Person who commits trespass upon the premises 

or property of the Nation or upon a Person or property of another as set forth in Chapter 11 of 

this Code, or who engages in an activity or activities prohibited by this Code, the Compact or 

under applicable Tribal, Federal or State law. The Tribal Court may award all appropriate relief 

consistent with the provisions and limitations set forth in this Code and applicable law. 

Page 59 
Section 1407. Enforcement of Commission Subpoenas and Orders of the Commission 

The Commission may apply to the Tribal Court for an order to show cause why a Person 

should not comply with a subpoena or order of the Commission issued pursuant this Code. 

Page 60 
CHAPTER 15: OTHER PROVISIONS 

St"'Ction JSOJ. St\'erability 

ln the evl!llt that rulv section or subscd im1 (1f 1his Coile he hdd invalid t)r unenforceable 

by a court of competent ju~·isdictiou, sucll holdiu.e, sludl 1ml im•ulidat\!. <11' 1·eode1· uoenforce:tble 

any other .:;ection or subsection of this Code. 

Sec1im1 15(11. Effocth1C' Oare 

Thi:- Gmning. <:mlt:, and any amendments to the Code-. 3hall kcomc effoc.frvc n 1.he rlm.e 

in which thi:y ar~ approved h)· the Chair of the ?-:ati(H'lal lndian Gmning Crnmni:---.ion us rt.quired 

hy 25 lJ.S.C. 270 l(d)(l)(A)(iii). 

Se,:Jitm 1503. Agc·ur for S-crvkc of Process 

P1.1tsua11( to 25 CF.it § 519.l. the Chai11):::r:;un for lhe Na.I.ion i~ the mnhori2ed ag~nt of 

the l\atioll for service of process of nn}· (illi.cial detenni1K1lil)ll, l)tder or 1lot1cc of vic-lation h3ucd 

to the Nt1tic.m by the K,11 i<.md lmlian Gaming Commh:s!O!l. 

C&RTlJ•'ICA'rJ0'.'1 

1, the undersigned, duJ~, ckclcd Ch-airma11 of the Y:wapa?-:\p~che l\·ation d<.l hereby 

.::ie11it'y lhat the foregoing Gmnjng Code was duly amended by a quo111m of 9 mcmb1..-,,. uf the. 

Yavapai· Apache Tribal Council hy t V<l!e of 9 fo: and O against. wilh O ~bsh1iniug,, at a doly 

called meeting <.'r the Trih,11 c.l,un.,;il 011 the 27'b d~iy of January, 2022. 

)'4VAPAI-APACIIF. NATION 

By: (U 

Jon l;l\:e ~ '\h'lllan 

ATTEST: 

\<,vJ,.... ~=:.=.:· ,__ _____ _ }(aria Reimer, Trihnl C:out1dl Secre1ary