VIA FIRST CLASS MAIL 

Ms. Lisa Bluelake 

Assistant Attorney General 

Office of the Attorney General 

Yavapai-Apache Nation 

2400 West Datsi Street 

Camp Verde, AZ 86322 

November 21, 2016 

Re: Yavapai-Apache Nation Amendments to Gaming Ordinance Resolution No. 180-16 

Dear .Ms. Bluelake: 

This letter responds to your September 21, 2016 request on behalf of the Yavapai-Apache 

Nation for the National Indian Gaming Commission Chairman to review and approve a gaming 

ordinance amendment. This ordinance amends the Yavapai-Apache Nation's Gaming Code, Title 

8 of the Yavapai-Apache Tribal Code. 

Resolution Number 180-16 makes changes to the Community's Gaming Ordinance by 

revising its structure and content. 

The gaming ordinance is approved as it is consistent with the requirements of the Indian 

Gaming Regulatory Act and NIGC regulations. If you have any questions concerning this letter 

or the ordinance review process, please contact Suza1U1e Nunn at (202) 632-7013. 

Sincerely, 

onodev 0. Chaudhuri 

Chairman 

NEW MAii.iNG ADDRESS: NIGC/DEPARTMENT OF THF INTf.RIOll. I fl49 C St'""' NW, M.<1il Stop !:! 1611 Vv<.shington, DC 20240 leb 202.632.7003 Fr,,, ?02.bJ2.7U66 

REGIONAL OFFICES Portlnncl. OR; SC1.:ramento, Cl\: Phoen;x, t-.7.; St Pm.I, MN: fol•o. OK; Oklcihonio City, OK 

WWW.NIGC.GOI/ 
RESOLUTION NO. l <6 0 ~ 16 

OF THE GOVERNING BODY OF THE 

YAVAPAI-APACHE NATION 

A Resolution Adopting the Revised Gaming Code and Authorizing Submission 

to the NIGC for Approval 

WHEREAS: The Yavapai-Apache Nation 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 to the Constitution of the Yavapai-Apache Nation (Constitution") as 

provided by Article V(a) of the Constitution; and 

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

all actions necessary and 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 Tribal Council, or vested in the Tribal 

Council through its inherent sovereignty~ as provided by 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 by Article V (v) of the 

Constitution; and 

WHEREAS: The Council is authorized to manage all tribal economic affairs and enterprises of 

the Nation as provided by Article V (i) of the Constitution; and 

WHEREAS: In order to engage in, license and regulate gaming on the Nation's Indian lands, 

the Indian Gaming Regulatory Act (IGRA) requires that the Nation adopt a tribal 

gaming code that is approved by the National Indian Gaming Commission 

(NIGC) Chair and further, that all amendments to the tribal gaming code are 

approved by the NIGC Chair; and 

WHEREAS: The Council adopted the Nation's current Gaming Code as Title 8 of the YavapaiApache Tribal Code on. July 13, 2006 by Resolution No. 55-06, which was 

approved by the N1GC on July 21, 2006; and 

WHEREAS: The purpose of the Nation's Gaming Code is to regulate Class II and Class III 

gaming activities conducted by the Nation on its Indian lands as required by both 

the IGRA and the Gaming Compact between the Natiou and the State of Arizona 

(Compact); and 

WHEREAS: The Nation's Gaming Commissionffribal Gaming Office and Cliff Castle Casino 

Management have jointly recommended revisions to the current Gaming Code to, 

among other things, clarify ambiguities between the current Gaming Code and the 

Compact, resolve ongoing practical problems related to the Code's day-to-day 

implementation, address changes in the NIGC Regulations, and conform the Code 

. Pnge 1 of2 

Adopting the Revised Gaming Code and Authorizing Submission to NJGC for Approval 

Version #1 (9-J5-J 6) 
to provisions of the Compact Amendment, which became effective on March 25, 

2009;and 

WHEREAS: The Council finds it in the best interests of the Nation to adopt the Revised 

Gaming Code as Title 8 of the Yavapai-Apache Tribal Code (attached to this 

Resolution as Exhibit A and incorporated herein by reference). 

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

assembled, at which a quorum is present, hereby adopts the Revised Gaming Code as Title 8 of 

the Yavapai-Apache Tribal Code (attached to this Resolution as Exhibit A). 

BE IT FURTHER RESOLVED that the Council authorizes the submission of the Revised 

Gaming Code (attached to this Resolution as Exhibit A) along with a certified copy of this 

Resolution to the NIGC by the Nation's Attorney General. 

BE IT FURTHER RESOLVED that the Revised Gaming Code, once approved by the NIGC 

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

that are inconsistent with the Revised Gaming Code (attached to this Resolution as Exhibit A). 

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

Secretary and certified copies provided to the 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 affinnative vote of the 

Tribal Council, with a quorum in attendance, presented for approval 

on ~"-' \S- 2016, by a vote of _i_ ~ in favor, _Q_opposed 

and ~abstaining, pursuant to the authority contained under the Constitution of the YavapaiApache Nation as cited above. ~ 

Thomas Beauty, Chairman 

ATTEST: 

Karla Reimer, Council Secretary 

Approved as to Form: 

Page2 of2 

Adopting the ~v scd Gaming Code and Autl1orizing Submission to NIGC for Approval 

Version #1 (9-1 5-16) 
EXHIBIT A 

Revised Gaming Code 

Title 8 of the Yavapai-Apache Tribal Code 

September 15, 2016 
1rll:J.:LE 8, 

y_.ty.Ai> -APAClm NATION 

REVISED GAMING CODE 

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

SECTION 101. ENACTMENT OF YAVAPAI-APACHE NATJON GAMING CODE ................................................................. l 

SECTION 102. PURPOSES ....................................................................................................................................................... 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 ................................................................................................................................................ 1 0 

SECTION 303. TRIBAL GAMING OFFICE STAJ:lF ................................................................................................................ 13 

SECTION 304. PROH IBITJON ON IMMEDIATE EMPLOYMENT BY THE GAM ING FACILITY OPERATOR .................... 15 

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

SECTION 306. ETHICS POLICY ............................................................................................................................................ 15 

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

SECTION 401. WHO SHALi, BE LICENSED ......................................................................................................................... 16 

SECTION 402. APPLICATIONS FORA TRIBAL GAMING LICENSE ................................................................................... 17 

SECTION 403. BACKGROUND lNVESTIGATIONS ................................................................................................................ 19 

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

SECTION 405. ELIGIBILITY DETERMINATION .................................................................................................................. 20 

SECTION 406. ADDITIONAL BACl<GROUND INVESTIGATIONS ....................................................................................... 21 

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

SECTION 408. DURATION AND RENEWAL OF LICENSES ................................................................................................ 22 

SECTION 409: EMPLOYMENT STANDARDS ....................................................................................................................... 23 

SECTION 410: UT!LIZATJON OF GAMING EMPLOYEES .................................................................................................... 23 

SECTION 411: IDENTIFICATION ......................................................................................................................................... 23 

CHAPTER 5: DENIAL, SUSPENSION, REVOCATION, AND NON-RENEWAL OF 

TRIBAL GAMING LICENSES ................................................................................................................................ ,.24 

SECTION 501: DISCLOSURE OF POSSIBLE GROUNDS FOR DENIAL, SUSPENSION, REVOCATION OR NON· 

RENEWAL OF A TRIBAL GAMING LICENSE; CHANGE OF PRINCIPALS ............................................... 24 

SECTION 502: GROUNDS FOR DENIAL, SUSPENSJON, REVOCATION OR NON-RENEWAL OF A 

TRIBAL GAMING LICENSE .................................... .................................................................................... 24 

SECTION 503: PROCEEDINGS TO DENY A TRIBAL GAMING LICENSE ........................................................................... 26 

SECTION 504: PROCEEDINGS TO SUSPEND, REVOKE OR NOT REN EW A TRIBAL GAMING LICENSE ...................... 27 

CHAPTER 6: VIOLATIONS OF GAMING CODE, COMPACT OR GAMING REGULATIONS ................ 30 

SECTION 601: INVESTIGATION RESPONSIBILJTIES ................ ......................................................................................... 30 

SECTION 602: NOTICE OF VIOLATlON PROCEDURES ..................................................................................................... 30 
CHAPTER 7: PROMULGATION OF COMMISSION GAMING REGULATIONS; REVIEW OF 

GAMING FACILITY OPERATOR INTERNAL CONTROLS, PLANS, RULES, LOTTERIES .................... 33 

SECTION 701. COMMISSION GAMING REGULATIONS ...................................................................................................... 33 

SECTION 702. REVIEW OF GAMING FACILITY OPERATOR INTERNAL CONTROLS ..................................................... 34 

SECTION 703. REVIEW OF GAMING FACILITY OPERATOR PLANS, RULES, LOTIERIES AND PROMOTIONS .......... 35 

CHAPTER 8: FINANCIAL PRACTICES AND REPORTING ......................................................................... 37 

SECTION 801. MONTHLY REPORTS ................................................................................................................................... 37 

SECTION 802. MAINTENANCE OF BOOKS AND RECORDS; TRIBAL GAMING OFFICE ACCESS .................................. 37 

SECTION 803. DEPOSJT OF GROSS RECEIPTS; PAYMENT OF OPERATING EXPENSES ................................................ 38 

SECTION 804. ANNUAL AUDIT ........................................................................................................................................... 38 

SECTION 805. DISPOSITION OF NET REVENUES ............................................................................................................. 39 

SECTJON 806. COMPLIANCE WITH INTERNAL REVENUE CODE .................................................................................... 39 

CHAPTER 9: GAMING OPERATION STANDARDS AND REQUIREMENTS ................................................... 40 

SECTION 901. DESIGNATJON OF OFFICER IN CHARGE ................................................................................................. ..40 

SECTION 902. REPORTING TO THE TRIBAL GAMING OFFICE ...................................................................................... ..40 

SECTION 903. PREMISES OPEN TO TH E TRIBAL GAMING OFFICE ........................................ ................................... ..... 40 

SECTION 904. PATRON DISPUTES ....................................................................................................... ; ............................. 40 

SECTION 905. RESTRICTION ON MINORS ......................................................................................................................... 41 

SECTION 906. SAFETY AND SECURITY; SURVEILLANCE ................................................................................................. 42 

SECTION 907. FINANCIAL SERVICES JN GAMING FACILITIES ...................................................................................... ..43 

SECTION 908. PROHIBITION AGAINST EMPLOYEES GAMBLING; CERTAIN EMPLOYMENT RESTRlCTIONS ........... 43 

CHAPTER 10: PROBLEM GAMBLING ............................................................................................................ 45 

SECTION 1001. PROBLEM GAMBLING ............................................................................................................................... 45 

SECTION 1002. LIMITATIONS ON LlABILITY; NO WAIVER OF SOVEREIGN IMMUNITY FORSELF-ExCLUSION ..... 46 

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

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

SECTION 1102. TRESPASS ...................................... : ............................................................................................................ 48 

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

SECTION 1104. REMEDIES FOR TRESPASS ....................................................................................................................... 49 

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

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

SECTION 1202. LAW ENFORCEMENT SERVICES PLAN .................................................................................................. .51 

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

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

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

SECTION 1302. USE OF DEVICE FOR CALCULATING PROBABILITU::S ........................................................................... 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; UN LAWFUL INSTRUCTION ................................................................. .54 

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

SECTION 1307. UNLAWFUL DISSEMINATION OF INFORMATION CONCERNING RACING; EXEMPTIONS, 
PENAL TY ................................................................................................................................................... 55 

SECT/ON 1308. DETENTION AND QUESTIONING OF PERSONS SUSPECTED OF VIOLATING T RIBAL, 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 

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

GAMING LlCENSE ..................................................................................................................................... 58 

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

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

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

SECTION 1406. TRESPASS ACTIONS .................................................................................................................................. 59 

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

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

SECTION 1501. SEVERABILJTY ........................................................................................................................................... 61 

SECTION 1502. EFFECTIVE DATE ...................................................................................................................................... 61 

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

YAVAPAI-APACHE NATION 

REVISED GAMING CODE 

CHAPTER 1: GENERAL PROVISIONS 

Section 101. Enactment of Yavapai-Apache Nation Gaming Code 

Pursuant to the Tribal ColUlcil's authority lUlder Article V of the Yavapai-Apache Nation 

Constitution and in compliance with Section 6( c) of the Gaming Compact between the 

Yavapai-Apache Nation and the State of Arizona, dated December 27, 2002, as amended, t11e 

Tribal Council hereby enacts this revised 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 Title 

36 of the Yavapai-Apache Nation Tnbal Code as amended, this revised 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. Purposes 

The purpose of this revised 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 Polley 

Page 1 

(a) Gaming Activity Authorized. Class II and Class III 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 ill Gaming or those forms 

of Class II Poker referenced in the Memorandum of Understanding Regarding 

Poker Between the Yavapai-Apache Nation and the State of Arizona~ dated 

December 27, 2002, as amended (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 l 

Gaming is not subject to this Gaming Code. 

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

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

entity designated 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 of law. 

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 Regulato1y 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. In 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 

ho°Iiday 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 be 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 foUowing meanings under this Gaming Code, unless 

the context otherwise requires: 

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

2701- 2721 and 18 U.S.C. §§ 1166-1 168 and its implementing regulations; 

2. "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; 

3. "Barred Person" means a Person who is temporarily or pem1anently barred from entering 

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

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

Poker or Blackjack; 

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

Chairperson of the Commission; 

6. "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); 

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

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

8. "Class IlI Gaming" means all forms of gaming as defined in Section 4(8) of the Indian 

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

9. "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; 

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

State of Arizona, dated December 27, 2002, as amended, and all appendices approved 

there under; 

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

thereof; 

12. "Emolled Tribal Member" means an enrolled member of the Yavapai-Apache Nation 

whose name appears on the Nation's official membership roll; 

13. "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 

Page3 
Tribal Gaming Office in conformance with Section 303 of this Code; 

14. "Gaming Activity11 or "Gaming Activities" means all forms 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; 

15. "Gaming Code" or ''Code" means this Gaming Code of the Yavapai·Apache Nation; 

16. "Gaming Device" means a mechanical device, an electro-mechanical device or a device 

controlled by an electronic microprocessor or another manner, whether that device 

constitutes Class II Gaming or Class III Gaming, that allows a player or players to play 

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

whether the device accepts coins, tokens, bills, coupons, ticket vouchers, pulJ tabs, smart 

cards, electronic in-house accounting system credits or other similar fonns of 

consideration and, through the application of chance, allows a player to become entitled 

to a prize, wlllcb may be collected through the dispensing of coins, tokens, bills, coupons, 

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

similar fonns of value. Gaming Device does not include any of the following: 

(a) Those technological aids for Bingo Gan1es that function only as electronic 

substitutes for bingo cards; 

(b) Devices that issue and validate paper lottery products and that are directly 

operated only by Arizona State Lottery licensed retailers and their employees; 

(c) Devices that are operated directly by a lottery player and that dispense paper 

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

display lottery winnings or disburse lottery winnings; 

( d) Devices that are operated directly by a lottery player and that validate paper 

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

tickets, if: 

(i) The devices do not allow interactive gaming; 

(ii) The devices do not allow a lottery player to play the lottery for immediate 

payment or reward; 

(iii) The devices do not disburse lottery winnings; and 

(iv) The devices are not Video Lottery Tenninals; 

(e) Player Activated Lottery Tenninals; 

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

Key Employee of a Garrring 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 

Page4 
Gaming Facility not otherwise open to the public; 

18. ''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; 

19. "Gaming Facility Operator11 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; 

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

of the Nation; 

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

Commission under Chapter 7 of this Code in confonnance 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; 

22. "Gaming Services" means providing of goods or services, except for legal services, to the 

Nation, in connection with the operation of Class Ill Gaming or Poker in a Gaming 

Facility as set forth in the Compact and Appendix J, as amended; 

23. "Gross Receipts 11 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; 

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

system and/or validation system; 

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

Reservation, and (2) any lands title to which 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; 

26. "Interactive Terminal" or "Video Lottery Terminal" means an on-line computer or dataprocessing terminal 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 tem1inal 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; 

Page 5 
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. "Keno'' means a house banking game in which a player selects from one to twenty 

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

draws twenty numbers; players win if the numbers they select con-espond to the numbers 

drawn by the house, and the house pays all winners, if any, and collects from all losers; 

29. "Key Employee" means a Gaming Employee who perfonns 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; 

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

accounting records within such devices; 

(k) If 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; 

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

Commission to be involved in the Gaming Operation or in providing Gaming Services to 

the Nation; 

31. "Lotto" is the generic name for a type of on-line lottery game operated by the State of 

Arizona in which a player selects a group of numbers from a larger field of numbers and 

wins by matching specific numbers subsequently drawn; 

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

parts thereof; 

33. "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; 

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

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

Page 6 
established by the Indian Gaming Regulatory Act, 25 U.S.C. §§ 2701-21, 18 U.S.C. §§ 1166-68; 

36. "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; 

37. "Notice of Violation" means a written 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 tl1e Yavapai-Apache Nation or the State of Arizona in confonnance with Section 602 

ofthis Code; 

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

39. "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; 

40. "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; 

41. "Player Activated Lottery Te1minal" means an on-line computer system that is player 

activated, but that does not provide the player with interactive gaming, and that uses the 

tenninal for dispensing purposes only, in which: 

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

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

directly against the terminal; 

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

and 

( d) The player's ability to play against the terminal for immediate payment or reward 

is eliminated; 

42. "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; 

43. "Primary Management Official" means: 

Page? 

(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; 

44. 11Principal" means with respect to any Person: 

(a) Each of its officers and directors; 

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

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

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

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

corporation, if a corporation, 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 Person, 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; 

45. "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; 

46. "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; 

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

storage and repair areas, count rooms, vaults, cages, change booths, change 

banks/cabinets, security offices and surveillance rooms, revenue accounting offices, 

rooms containing information 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; 

48. "Self·Exduded Person" means a Person who, by acknowledging that he or she is a 

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

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

49. "State" means the State of Arizona; 

50. "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; 

51. "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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52. "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; 

53. "Tribal Council" means the Tribal Council of the Yavapai-Apache Nation, the goveming 

body of the Nation; 

54. "Tribal Court" means the judiciary of the Yavapai-Apache Na ti on; 

55. "Tribal Gaming License" or "License" means an approval issued to the following Persons 

who are involved in the Gaming Operation or in providing Gaming Services to the 

Nation: 

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

Officials and Key Employees; 

(b) Manufacturers and Distributors of Gaming Devices; 

(c) Each Person providing Gaming Services within the meaning of the Compact and 

Appendix J, as amended; and 

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

from the Commission pursuant to the Compact or this Code; 

56. "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; 

57. "Vendor" means a Manufacturer or Distributor of Gaming Devices or Person providing 

Gaming Services, as those terms are defined in this Gaming Code; 

58. 11Wager11 means: 

Page9 

(a) In the case of a Gaming Device, the sum of money placed in the Gaming Device 

in cash, or cash equivalent, by the player which will allow activation of the next 

random play of the Gaming Device. 

(b) In the case of Poker, the sum of money placed into the Pot and onto the Card 

Game Table by the player in cash, or cash equivalent, which entitles the player to 

an initial deal of cards, a subsequent deal of a card or cards, or which is required 

to be placed into the Pot and onto the Card Game Table by the player entitling the 

player to continue in the game. 

(c) In the case of Blackjack, the sum of money in cash, or cash equivalent, placed 

onto the Card Game Table by the player entitling the player to an initial deal of 

cards and to all subsequent cards requested by the player. 
CHAPTER3: YAVAPAI-APACHENATIONTRIBALGAMINGOFFICE 

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 (S) 

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

provides for staggered terms. Each member of the Conunission shall serve for a 

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

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

after the expiration of his or her tem1 of office until a successor has been 

appointed, unless such corrunissioner 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) Is twenty one (21) years of age or older; 

(2) Has never been convicted of a felony, criminal drug offense, gaming 

offense, or any other criminal conduct which wouJd preclude the person 

from receiving a Tribal Gaming License; 

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

Activity; 

(4) Has no financial interest in any business or entity that provides Gaming 

Services to the Nation, or is a Distributor or Manufacturer of Gaming 

Devices for the Nation; 

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

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

(7) 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 Office1·s. The Commission shall select annually by majority vote 

one (1) of its members to serve as Chairperson of the Commission, one (1) of its 

Page 10 
members to serve as Vice Chairperson, and one (1) of its members to serve as 

Secretary. The Vice Chairperson shall 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 

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

meeting. The Commission shall meet at the ca11 of the Chairperson of the 

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

Conunission meet less than once per calendar month. 11rree (3) members of the 

Corrunission 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 the other commissioners in 

real time. Proxy voting shall be prohibited. 

(e) Removal of Com.missioners. 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 1he 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 

Page 11 
Page 12 

tenn 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. 

(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 remooies for violations ofthis 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 affinnations to witnesses appearing before the 

Commission; 

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

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

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

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

of such subpoenas; 

(J 0) To perform the Commission's powers and duties within the budget 

approved by the Tribal Council; 

(1 J) 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 Tribal 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 

information and infom1ation 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; 

(I 7) 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 posjtion 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 position. 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 Hwnan Resource policies and procedures. 

( d) Qualifications. 

Page 13 

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

ninety-day period hnmediately preceding employment with the Tribal 
Page 14 

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: 

(I) 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 lndian 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 identification cards to Licensees; 

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

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

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

Gaming Commission as required by the Compact and the Act; 

(10) 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 law enforcement 

authorities; 

(11) To operate the Tribal Gaming Offic.e within the budget approved by the 

Commission and the Tribal CoWlcil; and 
(12) 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 information and such other information 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 conunissioners 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 n~inimum, 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 Conunission and where applicable, shall be 

certified by the State Gaming Agency in confonnance 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 investigations are consistent with the applicable requirements of this 

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

as otherwise 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) Vendors. Except as expressly provided in the Compact or Appendix J, as 

amended, all Manufacturers and Distributors of Gaming Devices and each Person 

providing Gaming Services shall apply for and receive a Tribal Gaming License 

from the Conunission prior to the sale or lease of any Gaming Devices or Gaming 

Services. The Commission may establish different classifications of 

Page 16 
Manufacturers and Distributors of Gaming Devices and Suppliers of Gaming 

Services by Regulation as long as the classifications and associated background 

investigations are consistent with the applicable requirements of this Code, the 

Compact or Appendix J and National Indian Gaming Commission regulations. 

Where applicable, all Manufacturers and Distributors of Gaming Devices and 

each Person providing Gaming Services shall also be certified by the State 

Gaming Agency in conformance with the Compact or Appendix J. 

( d) 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. 

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

employees are not required to apply for and receive a TribaJ Gaming License or 

be certified by the 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 T1·ibal Gaming License 

Page 17 

(a) Each Applicant for a Tribal Gaming License shall file with the Tribal Gaming 

Office a written application in the form prescribed by the Commission, along with 

the Applicant's fingerprint card, current photograph, and the fee required by the 

State Gaming Agency and Commission. The Applicant may not withdraw an 

application without the permission of the Nation or the Commission, as 

applicable. 

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

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

by an Applicant: 

Jn compliance with the Privacy Act of 1974, the following 

information is provided: Solicitation of the information on 

this form is authorized by 25 U.S.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 staff who have need for the 

information in the performance of their official duties. The 

information may be disclosed to appropriate Federal, 

Tribal, State, local, or foreign law enforcement and 

regulatory agencies when relevant to civil, criminal or 

regulatory investigations or prosecutions or when pursuant 

to a requirement by a tribe or the National Indian Gaming 
Page 18 

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 (U.S. Code, title 18, section 1001). 

(b) The Tribal Gaming Office shall request from each Applicant, and from each 

Principal of each Applicant, all of the following iufonnation, 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 license numbers; 

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

including one personal reference who was acquainted with the Applicant 

during each period of residence listed 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 or regulatory agency with which 

the Applicant has filed an application for a license or pennit related to 
gaming and whether or not such license or permit was granted; 

(8) For each fe1 ony 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 (excJuding 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 or not such license was granted; 

(J 2) A current photograph; 

(13) 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. 

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 promise to keep confidential the identity of each Person 

interviewed in the course of the investigation, to the extent permitted by 

applicable law. 

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

Page 19 
of this Code and an investigative repo1t 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 

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

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

Section 404. Temporary Tribal Gaming License 

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

License, the Tribal Gaming Office 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 '\Vill not issue a temporary 

ceitification 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. 

Section 405. Eligibility Determination 

(a) Upon completion of the background investigation, the Conunission 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 of an 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 Agencis receipt of the completed Application to make a certification 

determination, before the Conunission makes its own eligibility determination for 

said Applicant as permitted by this Code. 

(c) For Persons or Applicants subject to the Compact, and when required by Section 

5 of the Compact, the State Gaming Agency shall also conduct a background 

investigation of the Applicant and shall 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 S(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 

Page 20 
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. 

Secti01i 407. Report to the National Indian Gaming Commission 

(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, which must be submitted to the National Indian 

Gaming Commission 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 information: 

(1) 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 swnmary of the information presented in the investigative report, 

including: 

(A) Licenses that have previously been denied; 

(B) Licenses that have been revoked, even if subsequentJy 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 

Page 21 
to a Primary Management Official or to a Key Employee, the Commission shall 

reconsider the application, talcing 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 P1imary Management Official or Key Employee 

Applicant, the Tribal Gaming Office shall: 

(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 tennination of 

employment. 

Section 408. Duration and Renewal of Licenses 

(a) Any License shall be effective for one (1) year from month of issuance, except 

that: ( 1) Tribal Gaming Licenses for Vendors shall be effective for two (2) years 

from the month of issuance; and (2) Tribal Gaming Licenses for Gaming 

Employees who are not requfred to be certified by the State Gaming Agency 

under Section 401(b) of this Code shall be effective for two (2) years from the 

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) Applicants 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. 

Page 22 
Section 409: Employment Standards 

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

employment or continued employment. The Tribal Gaming Office and the Gaming Facility 

Operator shall not employ or if already employed, shall terminate, an employee of the Tribal 

Gaming Office or a Gaming Employee who is subject to the Compact if such Person: 

(a) has been convicted of any felony or gaming offense; 

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

information or omitted materially important infonnation on his or her application 

or background questionnaire; or 

(c) is determined to be a Person whose prior activities, criminal record if any, or 

reputation, habits, and associations pose a threat to the public interest or to the 

effective regulation and control of gaming, or create or enhance the dangers of 

unsuitable, unfair, or illegal 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 Emp1oyee 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 written notice to the Tribal Gaming 

Office. 

Section 411: Identification 

Al1 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. The Gaming Facility Operator 

shall have responsibility for preparing and issuing visitor badges. 

Page 23 
CHAPTER 5: DENIAL, SUSPENSION, REVOCATION, AND NONRENEW AL 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 toi 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 Conunission, such entity shall 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 withln 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 Tl"ibal 

Gaming License 

The Cotmnission 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 hearing, 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 receiving notification from the National 

Indian Gaming Conunission; 

(b) is a Person whose prior 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 

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

Page24 
dangers of unsuitable, unfair or illegal practices, methods and activities in the 

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

arrangements incidental thereto; 

(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 <;>r 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 level, 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 hann 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 infonnation related to any ongoing Tribal 

Gaming Office investigation after receiving notice that such information 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; 

G) has been convicted of any felony offense; 

(k) is subject to current prosecution or pending charges, or a conviction 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; 

(1) 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 

Page 25 
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 ~uch 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 econo.mic 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 determines 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 formal proceedings 

before the Commission or written notices shall be required, except that the 

Commission, after hearing the Applicant, may determine, in its sole discretion, to 

reverse its decision to deny the Tribal Gaming License for the Applicant. The 

decision by the Commission shall be final and not subject to appeal in the Tribal 

Court. 

Page26 
Section 504: Proceedings to Suspend, Revoke or Not Renew a Tribal Gaming License 

Page 27 

(a) Initiation by Commission. Proceedings to suspend, revoke or non-renew a 

Tribal Gaming License shall 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 employees 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 Conunission has 

reasonable cause to believe apply to the Licensee; 

(2) The specific facts giving 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 wiitten 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 all reasonable efforts to hold an 

earlier hearing if requested by the Licensee; 

(4) Infonn 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 infonnation. 

( 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. In the event personal service or ce1tified 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 

information relied upon by the Commission 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 Coimnission may furnish an index of the 

documents, reports, videos or other information that have been witW1eld and shall 

set forth, in summary fashion, the reasons the documents, reports, videos or other 

information 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 inform 

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. The 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 opp01tunity to 

respond to the allegations in the complaint or amended complaint and present 

evidence at the hearing, including documentary or testimonial evidence. The 

Commission shall consider the evidence presented by the Licensee. The 

Commission shall develop specific hearing procedures by Regulation. 

Page 28 
Page29 

(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 (I 0) 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 infonn 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 

may be appealed to the Tribal Court as provided for in Section 1402 of this Code. 

(i) Surrender of Identification upon Suspension or Revocation of License. When 

the Commission suspends, revokes or refuses to renew a Tribal Gaming License, 

the Licensee shall surrender 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. 
CHAPTER 6: VIOLATIONS OF GAMING CODE, COMPACT OR 

GAMING REGULATIONS 

Section 601: Investigation Responsibilities 

The Executive Director of the Tribal Gaming Office bas 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 

(a) Initiation by Executive Director. Prior to issuing any final decision on a Notice 

of Violation, the Executive Director shaJJ first deliver a preliminary Notice of 

Violation to the General Manager and Compliance Manager 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: 

(1) 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 alleged 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(t) 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 und determine what 

corrective actions (if any) may be required. When the 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 (I 0) days of service. The Response shall contain: 

Page 30 

(1) The signature of any Gaming Employee or Gaming Employees involved 

in the alleged violation indicating that Gaming Employee was informed of 

the preliminary Notice of Violation, if applicable; 
Page 31 

(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 correctjve actions have not been taken. In the event the Executive 

Director determines that there was a violation and appropriate corrective actions 

have not been taken, subject to the right of review 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 

Conunission 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(f). 

(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 permitted 

by this Code. 
Page 32 

(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: PROMULGATION OF COMMISSION GAMING 

REGULATIONS; REVIEW OF GAMING FACILITY OPERATOR 

INTERNAL CONTROLS, PLANS, RULES, LOTTERIES 

Section 701. Commission Gaming Regulations 

Page 33 

(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 a·nd 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 conunent 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. 

(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 Gaming Facility Operator for review and comment. 

Within fifteen (15) days of receipt, the Gaming Facility Operator may 

submit written comments to the Commission pertaining to the proposed 

Gaming Regulation, or it may reply that it has no conunent. 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 

Conunission within the original fifteen (15) day notice and conunent 

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, tl1e 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 

information: 

(A) Modify the proposed Gaming Regulation; 
(B) Supplement the proposed Gaming Regulation; 

(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 detennines is calJed for by such comments. 

(4) Promulgation of the Gaming Regulation. The Commission shall 

promulgate the final Gaming Regulation in its original fonn 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 

Gamfog 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 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, includi11g the Ethics Policy required by this Code, shall 

not be considered "Regulations" and shall be exempt from the requirements of 

this Section. 

Section 702. Review of Gaming FaciUty 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 set forth in Appendix H of the Compact and applicable 

minimum intemal control standards of the National Indian Gaming Commission 

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. 

(c) The Tribal Gaming Office Executive Director and staff shall review the Internal 

Controls or amendments for the sole purpose of detennining whether the Internal 

Controls provide a level of control which equals or exceeds the level of control 

required by the applicable minimum internal control standards 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 

Page 34 
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) Issue 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 by 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. 

Sectio11. 703. 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) Rules for blackjack as described in Appendix F(l) of the Compact; 

(3) Rules for promotional award and house banked poker games as described 

in Appendix F(2) of the Compact; 

(4) Rules for card games as described in the Poker MOU; 

(5) Lotteries and promotions as described in Appendix G of the Compact; 

(6) Slot tournament rules as described in Appendix A of the Compact; 

(7) Blackjack tournament rules as described in Appendix F(l) of the 

Compact; 

(8) Poker tournament rules as desci;ibed in the Poker MOU and Appendix 

F(2) of the Compact; and 

(9) Rules for incentive transactions as described m Appendix A of the 

Compact. 

(b) The Executive Director shall review the submitted document for the sole purpose 

of determining whether the document is consistent with the requirements of the 

Compact. 

Page 35 
Page36 

( 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 Director may take any of the following actions: 

(1) 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 docwnent 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. 
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) The Net Revenues derived from Gaming Activities. 

(b) It is the duty of the Gaming Facility 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 

confonnance 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 fonn) 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: 

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(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 shall be limited to the Executive Director, the Internal Control 

Analyst and the Machine Compliance Specialist (or their successor titles) 

and any additional personnel that have been designated by name in writing 

by the Executive Director and approved by the Corrunission 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 be retained for the 

term 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 

Gaming 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 arumally 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 I, as amended. The independent certified public 

accountant shall issue a repo11 on audited financial statements of the Gaming 

Operation. The independent certified public accountant shall perform 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 Tribal 

Council, the Tribal Gan1ing 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 finn 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, f?Xcept contracts for professional legal or accounting services, 

shall be included within the scope of the annual audit. 

Sectio11. 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. 

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CHAPTER 9: GAMING OPERATION ST AND ARDS AND REQUIRE1\1ENTS 

Secdon 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 (IO) 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 (I) hour after the Jast Gaming Activities of the Occasion has been completed. 

S ection 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 Trjbal Gaming Office any unusual occurrence and all 

violations or suspected violations of this Code or the Compact. The Tribal Gaming Office shall, 

in tum, notify the State Gaming Agency pursuant to Section 6(g) of the Compact. 

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 ts 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 

information regarding the particular Patron Dispute at issue. The Executive 

Director shall conduct whatever investigation it deems necessary and shall 

detennine whether payment should be 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 f4at 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 

informs the patron of his or her right to request that the Tribal Gaming Office 

conduct an investigation. The request must be in writing and include of the time, 

Page 40 
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 determine 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 w1itten notice of such decision by ce1tified 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 tile 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 deci_sion and other documentation provided to it by 

the patron and the Gaming Facility Operator. The Comrnission shall then issue a 

written decision with.in sixty (60) days of the filing of the petition. For Patron 

Disputes involving at least five-hundred dollars ($500), 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 conunon law contract, and such disputes shall not, under any 

circumstances, create a cause of action under any other principle of law including, 

but not limited to, principles of property law 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 wiruiings. 

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 any payout inadvertently paid to such underage person shall be and is 

immediately forfeited to the Gaming Facility Operator. 

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(c) Neither the Nation, the Gaming Facility Operator, the Tribal Gaming Office, nor 

any employee thereof shall be deemed to have waived the sovereign immuttity of 

the Nation or be Hable 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 

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(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. 

(I) 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 

determine 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 permit 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. The 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) Sm-veillance. The Gaming Facility Operator or the Tribal Gaming Office shall 

establish, maintain and enforce reasonable policies and procedures for 

surveillance. 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 reqwrements 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 :financial services shalJ be prohibited by the Gaming Facility Operator: 

(a) Locating an automatic teller machine ("ATM") adjacent to, or in cJose 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. 

Section 908. Prohibition Against Employees Gambling; Certain Employment Restrictions 

(a) Gaming Employees may gamble in the Gaming Facility pursuant to internal 

controls established by the Gaming Facility Operator, except that: 

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(I) No Person who is employed by the Security Department, Information 

Technology or the Surveillance Department may, at any time, gamble in 

the Gaming Facility; 

(2) 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 
Page44 

State Gaming Agency, when such play by the floor person is necessary to 

keep a Poker game operating; 

(3) No Gaming Employee shall make a Wager in any house banked table 

game operated by the Gaming Facility Operator; and 

(b) Prohibition Against Self~Dealing. No Gaming Employee shall: 

(1) Accept any form of incentive, tip or other thing of value from any patron 

or guest, or any Distributor, Gaming Service provider, Manufacturer, 

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 

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(a) Notification to Problem Gamblers. At all public entrances and exits of each 

Gaming Facility, the Gaming Facility Operator shall post signs stating that help is 

available if a Person has a problem with gambling and providing the Statewide 

toll free crises hotline telephone number established by the Arizona State Lottery 

Commission. 

(b) Self-exclusion. The Tribal Gaming Office shall require that the Gaming Facility 

Operator 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: 

(I) 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; 

(2) Requiring that cage personnel check a Person's identification against the 

Tribal Gaming Office's and State Gaming Agency>s list of Self-Excluded 

Persons before allowing the Person to cash a check or complete a credit 

card cash advance transaction; 

(3) 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; 

(4) Posting signs at all public entrances of the Gaming Facilities of the Nation 

warning that entry into the Gaming Facilities of the Nation by any SelfExcluded Person is willful trespass which may subject the Self-Excluded 

Person to criminal prosecution and/or civil suit in the Tribal Courts of the 

Yavapai-Apache Nation; 

(5) Prohibiting the payment of any hand-paid jackpot to any Person identified 

by the Gaming Facility Operator as a Self-Excluded Person. Any jackpot 

won by a Self-Excluded Person shall be donated by the Gaming Facility 

Operator to an Arizona-based non-profit charitable organization; 

( 6) Advising Persons who inquire about self-exclusion of the existence of the 

State Gaming Agency's self-exclusion list, and the current telephone 

number, address, and internet website address of the State Gaming Agency 

that the Person can contact for placement on the self-exclusion list; 

(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; and 
(8) Providing training to employees of the Gaming Facility Operator in 

procedures for identification of Self-Excluded Persons and prompt 

notification to the approp1iate individuals within the Gaming Facility. 

(c) Promulgation of Regulations Regarding Self-Excluded Persons. The 

Commission shall promulgate Gaming Regulations as necessary to implement the 

requirements of this Code and the Compact respecting Persons who, by 

acknowledging that they are problem gamblers, wish to voluntarily exclude 

themselves from the Gaming Facilities pf the Nation. Such Gaming Regulations 

shall, at a minimum, ensure that the Tribal Gaming Office and/or the Gaming 

Facility Operator maintain a written protocol for the following: 

(1) To develop the Tribal Gaming Office's list of Self-Excluded Persons; 

(2) To add Persons listed on the State Gaming Agency's list of Self-Excluded 

Persons to the Tribal Gaming Office's list of Self-Excluded Persons; 

(3) To disseminate updated lists to the Gaming Facility Operator, and if 

applicable, to any other Person having responsibilities for enforcing the 

provisions relating to Self-Excluded Persons witl1in the Gaming Facility; 

( 4) To preserve the confidentiality, maintenance, and appropriate 

dissemination of the information on the self-exclusion list by the Tribal 

Gaming Office, including the infonnation provided by the State Gaming 

Agency; and 

(5) To ensure sufficient training requirements are used by the Gaming Facility 

Operator to reasonably identify and escort Self-Excluded Persons from the 

Gaming Facility. 

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 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 harm, monetary or 

otherwise, which may arise as a result of: 

Page 46 

(1) 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 permitting a Self-Excluded Person to engage in Gaming 

Activity while on the list of Self-Excluded Persons. 
Page47 

(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 harm, 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. 
CHAPTER 11. BARRING; TRESPASS; CONSENT TO JURISDICTION 

Seed.on 1101. Barring 

(a) Commission's Authority to Bar Persons. The Conunission 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. 

(b) Temporary Barring. The Tribal Gaming Office may temponuily 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 Comnussion shall take action on a 

temporary baning 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 barring decisions issued under this Section. 

(d) Hand Paid Jackpots Prohibited. The Gaming Facility Operator is proluoited 

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 this 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. 

Section 1102. Trespass 

A Person commits trespass by unlawfully 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: 

Page 48 
(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, 

directly 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 expiration of the Refusal of Service; 

or 

(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. 

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 entra11ces 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 hereby 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. 

If you are a Person who has been barred from this Gaming Facility or any other 

Gaming Facility in Arizona or if you have been issued a notice of Refusal of 

Service or have placed yourself on the Self-Exclusion list maintained by the 

Yavapai-Apache Tribal Gaming Office or the Arizona Department of Gaming, 

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. 

Section 1104. Remedies for Trespass 

(a) Commission to Bring Trespass Action. Except as otherwise 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 conunits 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 

Page 49 
Page 50 

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 

circwnstances. 

(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 not inconsistent with the laws of the Nation. 

(d) Referral for Criminal Prosecution. The Commission may also refer a trespass 

to law enforcement for possible ctiminal 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 Na ti on for the shared goal of preventing and prosecuting criminal 

or undesirable 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 Jaw 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. This 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 Department) holding current 

Arizona police officer standards and training certification to be assigned 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 

Sectio11130J. Cheating. 

It shall be 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 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 affects the outcome oftbe game or which is the subject oftbe bet; 

(c) To aid anyone in the acquisition of such knowledge for the purpose of placing, 

increasing or decreasing a bet or determining the course of play contingent upon 

that event or outcome; 

(d) 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; 

(e) To claim, collect or take, 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; 

(f) To alter, counterfeit, reproduce or attempt to alter, counterfeit or reproduce any 

coupon, ticket, voucher or anything of value in a Gaming Facility with the intent 

to defraud. 

(g) 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; 

(h) 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; 

(i) 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; 

(j) To manipulate, with the intent to chea~ any component of a Gaming Device 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 

Page 52 
or with knowledge of any event that affects the outcome of the game; or 

(k) 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 patroruzing 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 

(a) It 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 person or in his or 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 slugs 

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 Licensed vendor acting in furtherance of his or 

ber 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 coruiected thereto or for moving money or other 

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contents there from. 

Section 1304. Manufacture, Sale of Distribution of Devices for a Wrongful Purpose; 

Rebuttable Inference of Cheating 

(a) Tt 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 appllcable law. 

(b) Possessing paraphemaJia 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 rebuttab1e inference 

that the possessor intended to use them for the purpose of cheating. 

Secti.on 1305. Marking, Alteration or Modification of Equipment and Devices Associated 

with Gaming; Unlawful Insn·uction 

(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 information or its use, once conveyed, may be 

employed to violate any provision of this Code or the Compact or applicable law. 

(c) It shall be lllllawful for any Person to knowingly ajd, conspire or collude with 

another Person or Persons for the purpose of committing any form of cheating or 

:frauduJent act otherwise prohibited by this Chapter 13. 

Section 1306. Remedies for Fraudulent Acts; Cheating 

(a) Commission to Bring Civil Action. Except as otherwise 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 

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. 

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(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 W1lawful for any Person to furnish or disseminate any infonnation 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 jnfo1mation concerning Wagers made 

in an off-track pari-mutuel system of wagering authorized under this Code 

or the Compact. 

Section 13 08. 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: 

( 1) 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 regulatory, public safety, security service provider or law enforcement 

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\ 

( 

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 fonn: 

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 Tribal 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: 

(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 

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(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 prope1ty. The Tribal Gaming Office 

sl1all 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. 
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(3) A Person to whom evidence or property is retwned by the Tribal Gaming 

Office pursuant to this Section shall execute such documents as are 

required by the Tribal Gaming Office to defend, hold harmless, 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. 
'I • , 

CHAPTER 14: TRIBAL COURT JURISDICTION 

Section 1401. Jurisdiction 

Except as otherwise 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. 

Sectio111402. Appeals from Decisions to Suspend, Revoke or Non-renew a Tribal Gaming 

License. 

(a) Appeal; Timing. Any Licensee aggrieved 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 70l(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 fifte.en (15) days of service of the appeal on the Executive 

Director, the Conunission shall file a written response with the Court. No other 

filings shall be permitted, except by order of the Court. 

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·. . 

(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 reachlng 

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 hoJd 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 dismiss 

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 rrused in the Gaming Facility Operator's written comments on the 

regulation required by Section 70l(b)(2) of the Code. 

(e) Standard of Review. Upon review, the Court shall affinn the validity of the 

Regulation unless such regulation is found to be arbitrary, capricious or otherwise 

in 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 witrun 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 w1itten 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 reliable 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 prorubjted 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. 

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. ,.,. . ~ .. SectUm 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. 

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., . , . " . 

CHAPTER 15: OTHER PROVISIONS 

Secdo111501. Severability 

In the event that any section or subsection of this Code be held invalid or unenforceable 

by a court of competent jurisdiction, such holding shall not invalidate or render unenforceable 

any other section or subsection of this Code. 

Section 1502. Effective Date 

This Revised Gaming Code shall become effective on the date in which it is approved by 

the Chair of the National Indian Gaming Commission as required by 25 U.S.C. 

2701 ( d)(l)(A)(iii). 

Section 1503. Agent for Service of Process 

Pursuant to 25 C.F.R. § 519.1, the Chairperson for the Nation is the authorized agent of 

the Nation for service of process of any official determination, order or notice of violation issued 

to the Nation by the National Indian Gaming Commission. 

CERTIFICATION 

I, the undersigned, duly elected Chairperson of the Yavapai·Apache Nation do hereby 

certify that the foregoing Gaming Code was duly adopted by a quorum of _j__ members of the 

Yavapai·Apache Tribal Council by a vote of _g_ for and _Q_ against, with 'O abstaining, at a 

duly called meeting of the Tribal Council on the \'-l~ay of September, 2016. 

YA VAPAl-APACHE NATION 

ATIEST: 

Secretary 

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