December 16, 2016 

By First Class Mail 

Stephen Lewis, Governor 

Gila River Indian Community 

Clo Gila River Gaming Commission 

5359 North 4gth Street, Suite 120 

Chandler, AZ 85226 

Re: Gila River Indian Community Gaming Ordinance Amendments, 

Ordinance GR-06-16 

Dear Governor Lewis: 

This letter responds to your request on behalf of the Gila River [ndian Community 

for the National Indian Gaming Commission to review and approve the Community's 

amendments to its gaming ordinance. The amendments were adopted by the 

Commtmity's Tribal Council in Ordinance GR-06-16. The amendments execute a wholly 

revised Gaming Ordinance. 

Thank you for bringing these amendments to our attention and for providing us With 

a copy. These amendments are approved as they are consi~ ent with the requirements of 

the Indian Gaming Regulatory Act and the NIGC's regulations. If you have any questions 

or require anything further, please contact Staff Attorney Rea Cisneros at 202-632-7003 . 

Sincerely, 

cc: Jaclyn Johnson, The Rothstein Law Firm (via e-mail at: jrjolmson@rothsteinlaw.com) 

NEW MAILING ADDRESS: NIGC/OEPARTM(NT OF THE INTERIOR 1849 C Street NW, M,,il Stop #1621 Wo$hington, OC 20?.40 Tel: 202.632.7003 fox, 202.6:J2.7l)6o 

REGIONAL Of-FICES Poftln11d, OR; Sor.rumerito, CA: Phoenix, AZ; $t. Poul, MN; Tulso, OK; Ol<laho111(1 City, OK 

WWW.NiGC.GOV 
GILA RIVER INDIAN COMMUNITY 

SACATON, AZ 85147 

ORDINANCE GR-06-16 

THE GILA RIVER INDIAN COMMUNITY COUNCIL HEREBY AMENDS THE GILA 

RIVER INDIAN COMMUNITY CODE BY RESCINDING GAMING ORDINANCE GR08-09 AND ITS SUBSEQUENT AMENDMENTS; AND ENACTING THE AMENDED 

TITLE 22, CHAPTERS 1-12 

WHEREAS, the economic well-being and prosperity of members of the Gila River Indian 

Community (the "Community") are concerns of the highest priority to the Gila 

River Indian Conununity Council (the "Community Council"); and 

WHEREAS, the Community Council is empowered by the Community's Constitution and ByLaws of 1960 to pass ordinances as necessary; and 

WHEREAS, beginning in 1994, the Community Council adopted prior Gaming Ordinances, all 

of which are codified in Title 22, Chapters 1-12 of the 2009 GRIC Code, after 

which the Community Council amended Title 22 by Ordinance GR-08-09 on May 

7, 2009, which was amended by Ordinance GR-12-09 on September 2, 2009, 

which was subsequently amended by Ordinance GR-07-15 on October 21, 2015; 

and 

WHEREAS, the Community entered into a Tribal-State Gaming Compact with the State of 

Arizona under which the Community operates and regulates Class III gaming on 

the Gila River Indian Reservation on December 4, 2002; and 

WHEREAS, the Gila River Gaming Commission (the "Commission") submitted the amended 

Gaming Ordinance adopted by the Community Council pursuant to Ordinance 

GR-07-15 to the National Indian Gaming Commission (the "NIGC") for approval 

on October 29, 2015; and 

WHEREAS, the NIGC is the regulatory agency established by Congress for Class II and Class 

lII gaming, pursuant to the Indian Gaming Regulatory Act, and amendments to 

tribal gaming ordinances must be approved by the Chairman of the NIGC 

pursuant to 25 U.S.C. §2710; and 

WHEREAS, the NIGC has requested additional amendments be made lo lhe Gaming 

Ordinance in order to comply with regulations of the NIGC prior to issuing an 

approval of the Gaming Ordinance; and 

WHEREAS, the Commission withdrew its request for approval of the Gaming Ordinance from 

the NIGC in order to include the revisions requested by the NIGC; and 
GILA RIVER INDIAN COMMUNITY 

ORDINANCE GR-06-16 

PAGE2 OF3 

WHEREAS, the Commission thoroughly reviewed the NIGC's requested changes to the 

Gaming Ordinance and amended the Gaming Ordinance accordingly; and 

WHEREAS, the Gila River Indian Community Legislative Standing Committee waives the 

notification requirements in Title 8, Chapter 7 of the GRIC Code because it is in 

the best interest of the Community and time is of the essence due to the fact that 

the substantive amendments approved by the Community Council pursuant to 

Ordinance GR-07-15 on October 21, 2015 went through the public cornment 

process almost a year ago and the new amendments are technical changes 

requested by the NIGC; and 

WHEREAS, the Gila River Gaming Commission and the Legislative Standing Committee have 

thoroughly reviewed the attached amended Title 22 Gaming Ordinance, Chapters 

1-12, which includes the NIGC:s requested changes and recommends that the 

Community Council authorize and approve the attached amended Title 22 

Gaming Ordinance of the GRIC Code. 

NOW, THEREFORE IT IS HEREBY ENACTED, that the Community Council hereby 

rescinds in its entirety Ordinance GR-08-09 and amendments which enacted the 

current Title 22 Gaming Ordinance, Chapters 1-12, and hereby approves and 

adopts the attached Gila River Indian Community Gaming Ordinance, codified as 

Title 22, Chapters 1-12 of the GRIC Code, to govern, regulate and control gaming 

activities in the Community; and 

BE IT FURTHER ENACTED, that the attached Gaming Ordinance, as amended, shall become 

effective pursuant to final approval of the Chairman of the National Indian 

Gaming Commission and in accordance with the Constitution of the Gila River 

Indian Community, and that the rescission of Ordinance GR-08-09 and 

amen~ments thereto shall become effective at the same time as the attached 

Gaming Ordinance becomes effective; and 

BE IT FINALLY ENACTED, that the Community Governor, or in the absence of the 

Governor, the Lieutenant Governor, is hereby authorized to sign and otherwise 

execute all documents and to take all steps necessary to implement the intent of 

this Ordinance. 
GILA RIVER INDIAN COMMUNHY 

ORDINANCE GR-06-16 

PAGEJ OF3 

CERTIFICATION 

Pursuant to authority contained in Article XV, Section 1, (a) (1), (7), (9), (18), (19), (b) (8), (10) 

and Section 4 of the amended Constitution and Bylaws of the Gila River Indian Community, 

ratified by the tribe January 22, 1960, and approved by the Secretary of the Interior on March 17, 

1960, the foregoing resolution was adopted on the 071

h of September 2016, at a regular 

Community Council meeting held in District 3, Sacaton, Arizona at which a quornm of 14 

Members were present by a vote of: 14 FOR; Q OPPOSE; Q ABSTAIN; L_ABSENT; Q 

VACANCY. 

ATTEST: 

GILA RIVER INDIAN COMMUNITY 

GOVERNOR 

RECEIVED 

PIMA AGENCY 

SEP 1 2 2016 

BUREAU OF iNDIAN ~ff All~$ 

SAC1~TON ARiZONA 
Corrected 6/1/2016 

TITLE 22 

GILA RIVER INDIAN COMMUNITY 

GAMING ORDINANCE 

Incorporating 2015 Amendments 
PREAMBLE 

This Gila River Indian Community Gaming Ordinance regulates the conduct of gaming on 

the Gila River Indian Community Reservation. The 2003 amendments to the Gila River Gaming 

Ordinance implemented the new requirements in the Gila River Indian Community-State of 

Arizona Gaming Compact of December, 2002. The 2009 Amendments to the Gila River Gaming 

Ordinance streamlined the licensing process, established provisions to regulate gaming conducted 

within a Casino Resort, made technical corrections, and in general, updated the Ordinance. The 

2015 Amendments apply the Labor Code to a Gaming Enterprise and define the Gaming 

Employees who may not gan1e at a Gila River casino. 
TITLE 22 

GILA RIVER INDIAN COMMUNITY 

GAMING ORDINANCE 

GR-09-96' 

2015 AMENDMENTS 

TABLE OF CONTENTS 

CHAPTER 1 - RULE OF INTERPRETATION AND DEFINITIONS .................. 1 

22.101 

22.102 

22.103 

INTERPRETATION AND DEFINITIONS AS 

USED IN THIS TITLE ........................................................... 1 

CALCULATION OF TIME ....................................................... 14 

EFFECTIVE DATE ................................................................... 15 

CHAPTER 2 - GENERAL ........................................................................................... 15 

22.201 OWNERSHIP OF GAMING ENTERPRISES ON THE 

RESERVATION .......................................................................... 15 

22.202 USE OF GAMING REVENUE .................................................. 15 

CHAPTER 3 - GILA RIVER GAMING COMMISSION ......................................... 16 

22.301 

22.302 

22.303 

22.304 

22.305 

22.306 

22.307 

22.308 

22.309 

22.310 

22.311 

22.312 

22.313 

22.314 

22.315 

22.316 

22.317 

22.318 

22.319 

22.320 

22.321 

22.322 

GILA RIVER GAMING COMMISSION ................................. 16 

NECESSARY POWERS .............................................................. 16 

COMPOSITION OF THE COMMISSION ............................... 19 

TERMS OF COMMISSIONERS ................................................ 19 

SELECTION OF OFFICERS .................................................. 19 

RESIGNATION OF COMMISSIONERS ................................. 19 

REMOVAL BY THE COMMUNITY COUNCIL ........................ 19 

VACANCIES ............................................................................... 20 

REQUIREMENTS FOR COMMISSION MEMBERSHIP ......... 20 

COMMISSIONERS BARRED FROM GAMING ON 

RESERVATION .......................................................................... 21 

OATH OF OFFICE ................................................................... 21 

COMPENSATION ........................................................................ 21 

GENERAL MEETINGS .............................................................. 21 

SPECIAL MEETINGS .............................................................. 21 

MOTIONS AND RESOLUTIONS ............................................. 21 

QUOR1JM ......................................... ............................................. 22 

QUARTERLY REPORTS ............................................................ 22 

REGULATIONS .......................................................................... 22 

MAINTENANCE OF BOOKS AND RECORDS ........................ 24 

PERSONNEL ............................................................................... 25 

THE EXECUTIVE DIRECTOR ................................................ 25 

COOPERATION WITH LAW ENFORCEMENT AGENCIES .. 27 
CHAPTER 4 - LICENSING PROCEDURES ............................................................ 27 

22. 401 LICENSING REQUIREMENTS, GENERALLY ..................... 27 

22. 402 PRIVACY LICENSE APPLICATION .................................... 29 

22.403 

22.404 

22.405 

22.406 

22.407 

22.408 

22.409 

22.410 

22.411 

22.412 

22.413 

22.414 

22.415 

22.416 

22.417 

22.418 

22.419 

22.420 

22.421 

22.422 

22.423 

22.424 

22.425 

22.426 

22.427 

22.428 

22.429 

22.430 

22.431 

22.432 

22.433 

APPLICATION AND INVESTIGATIVE FEES ................... 34 

SUMMONING OF APPLICANTS.: ........................................... 35 

HEARING ON APPLICATIONS ............................................. 35 

WITHDRAWAL OF APPLICATION ............................ : ............ 3 6 

APPLICATION FOR LICENSE AFTER DENIAL .............. 36 

APPLICATIONS FOR EMPLOYMENT AFTER 

REVOCATION ............................................................................. 3 7 

UNSUITABLE AFFILIATES .................................................. 3 7 

STANDARDS FOR LICENSING ............................................. 37 

LICENSING OF A NATURAL PERSON UNDER THE AGE 

OF EIGHTEEN .......................................................................... 3 8 

BACKGROUND INVESTIGATION ........................................... 3 8 

GRANTING A GAMING LICENSE ......................................... 4 2 

LICENSE SUSPENSION AND REVOCATION ..................... 43 

IMMEDIATE SUSPENSION ..................................................... 45 

COMPLAINT; SERVICE OF PROCESS ............................... 4 5 

[deleted] ............................................................................... 45 

SUBPOENAS ............................................................................... 4 6 

HEARING, WRITTEN DECISION ......................................... 46 

SURRENDER OF LICENSE ..................................................... 46 

ADDITIONAL SANCTIONS ..................................................... 4 6 

ADVERSARY PROCEEDINGS OF THE COMMISSION: ...... 4 7 

CONDUCT OF ADVERSARY HEARINGS ............................... 51 

EVIDENCE: ADMISSIBILITY ............................................. 53 

EVIDENCE: AUTHENTICATION AND 

IDENTIFICATION ................................................................... 53 

FAILURE OR REFUSAL TO TESTIFY ............................... 53 

CONTINUANCES ........................................................................ 54 

DEFAULTS ................................................................................ 54 

STANDARDS OF PROOF ......................................................... 54 

DECISIONS OF THE COMMISSION .................................... 54 

PENALTIES ............................................................................... 55 

RIGHT TO APPEAL TO COMMUNITY COURT ................... 55 

RETENTION OF RECORDS ..................................................... 56 

CHAPTER FIVE - CONDUCT OF CLASS II AND CLASS III GAMING ..... 56 

22.501 FINANCIAL PRACTICES AND REPORTING OF Gl\MING 

ENTERPRISES; MONTHLY REPORTS ................................. 56 

22.502 MAINTENANCE OF GAMING ENTERPRISE FINANCIAL 

INFORMATION .......................................................................... 56 

22.503 MAINTENANCE OF BOOKS AND RECORDS; COMMISSION 

ACCESS ...................................................................................... 56 

22.504 ALLOWABLE OPERATING EXPENSES ................................. 57 

11 
22.505 

22.506 

22.507 

22.508 

22.509 

22.510 

22.511 

22.512 

22.513 

22.514 

22.515 

22.516 

22.517 

22.518 

22.519 

22.520 

22.521 

22.522 

22.523 

22.524 

22.525 

22.526 

22.527 

22.528 

22.529 

22.530 

22.531 

DEPOSIT OF GROSS RECEIPTS; PAYMENT OF 

OPERATING EXPENSES ......................................................... 58 

ANNUAL AUDIT ........................................................................ 5 8 

AUDIT OF CONTRACTS ......................................................... 5 9 

DISPOSITION OF NET CASH RECEIPTS ........................ 60 

COMPLIANCE WITH THE INTERNAL REVENUE CODE .. 60 

[deleted] ............................................................................... 6 o 

NA.ME TAGS ............................................................................... 6 0 

QUALIFICATION FOR EMPLOYMENT; TESTING ............ 6 0 

PREFERENCE IN EMPLOYMENT ........................................... 61 

ADVERTISEMENT OF POSITIONS ...................................... 61 

PERSONNEL POLICIES .......... ............................................... 62 

REPORT OF LEASES .............................................................. 62 

EMPLOYEE REPORT ................................................................. 62 

LOANS TO GAMING ENTERPRISES .................................... 63 

AUTHORIZED GAMING; OPERATIONAL 

REQUIREMENTS ........................................................................ 64 

PUBLICATION OF PAYOFFS ................................................ 65 

GAMING BY PRINCIPALS AND EMPLOYEES ................... 65 

TRANSFER OF INTEREST BY LICENSEES ..................... 66 

GAMING DEVICES .......................................................... ......... 6 7 

REGULATION OF CHIPS ..................................................... 6 7 

USE OF CHIPS .......................... ........................................... 69 

REDEMPTION AND DISPOSAL OF DISCONTINUED 

CHIPS ......................................................................................... 70 

DESTRUCTION OF COUNTERFEIT CHIPS ........................ 70 

OTHER GAMING EQUIPMENT ................................................ 71 

PREMISES OPEN TO COMMISSION .................................... 71 

PROTECTION OF THE ENVIRONMENT AND PUBLIC 

HEALTH AND SAFETY ............................................................ 72 

LEGAL AGE FOR GAMING ..................................................... 72 

CHAPTER 6 - CONDUCT OF CLASS II GAMES ................................................ 72 

22.601 

22.602 

22.603 

22.604 

22.605 

MERCHANDISE PRIZES ......... ................................................ 72 

PRIZE PURCHASE PRICES .. ................................................ 72 

NO LIMIT ON PRIZES ......................................................... 72 

CLASS II RULES OF PLAY ................................................ 73 

PLAYERS ENTITLED TO VERIFICATION ........................ 73 

CHAPTER 7 - ACCOUNTING PROCEDURES ......................................................... 74 

22. 701 [deleted] ............................................................................... 74 

2 2 . 7 0 2 ACCOUNTING RECORDS ......................................................... 7 4 

22.703 

22.704 

22.705 

22.706 

[deleted] ............................................................................... 75 

INTERNAL CONTROLS ............................................................ 75 

[deleted] ............................................................................... 76 

FINANCIAL SERVICES FOR CUSTOMERS ........................ 76 

ll1 
CHAPTER 8 - [DELETED] ...................................................................................... 76 

CHAPTER 9 - CRIMES AND LIABILITIES CONCERNING GAMING ............ 77 

22.901 

22.902 

22.903 

22.904 

22.905 

22 . 906 

22.907 

22.908 

22.909 

FRAUDULENT ACTS ................................................................. 7 7 

USE OF DEVICE FOR CALCULATING 

PROBABILITIES ..................................................................... 7 8 

USE OF COUNTERFEIT OR UNAPPROVED CHIPS OR 

UNLAWFUL COINS OR DEVICES; POSSESSION OF 

CERTAIN DEVICES, EQUIPMENT, PRODUCTS OR 

MATERIALS ............................................................................... 78 

CHEATING ................................................................................. 7 9 

UNLAWFUL MANUFACTURE, SALE, DISTRIBUTION, 

MARKING, ALTERING OR MODIFICATION OF 

EQUIPMENT AND DEVICES ASSOCIATED WITH 

GAMING; UNLAWFUL INSTRUCTION ................................. 80 

PENALTIES ............................................................................... 80 

PROVIDING FALSE INFORMATION; OBSTRUCTION OF 

JUSTICE .................................................................................... 81 

DETENTION AND QUESTIONING OF PERSONS 

SUSPECTED OF VIOLATING CHAPTER; LIMITATIONS 

ON LIABILITY; POSTING OF NOTICE .......................... 81 

DISPOSITION OF EVIDENCE SEIZED BY AGENT OF 

THE TRIBAL GAMING AGENCY OR THE STATE GAMING 

AGENCY ...................................................................................... 82 

CHAPTER 10 - JURISDICTION; STANDARD OF REVIEW ............................. 83 

22 .1001 JURISDICTION IN THE COMMUNITY COURT ................. 83 

22.1002 

22.1003 

22.1004 

22.1005 

22.1006 

COMMUNITY COURT REVIEW LIMITED TO THE RECORD 

OF THE COMMISSION PROCEEDINGS ............................... 84 

VIOLATIONS; JURISDICTION; ENFORCEMENT OF 

SUBPOENAS ............................................................................... 8 5 

ENFORCEMENT OF COMMISSION SUBPOENAS ................. 85 

PATRON DISPUTES ................................................................. 86 

PATRON TORT DISPUTES PROCEDURES .......................... 8 8 

CHAPTER 11 - CASINO RESORT PERMITTING PROCEDURES ..................... 89 

22 .1101 PERMITTING REQUIREMENTS, GENERALLY ................... 89 

22. 1102 PERMIT APPLICATION ......................................................... 89 

22.1103 APPLICATIONS FOR EMPLOYMENT AFTER 

22.1104 

22.1105 

22.1106 

REVOCATION ............................................................................. 91 

STANDARDS FOR PERMITTING ........................................... 91 

BACKGROUND INVESTIGATION ........................................... 91 

CASINO RESORT PERMIT SUSPENSION AND 

REVOCATION ............................................................................. 9 3 

IV 
CHAPTER 12 - CASINO RESORT EMPLOYERS .................................................. 9 3 

22.1201 

22.1202 

22.1203 

22.1204 

22.1205 

MAINTENANCE OF BOOKS AND RECORDS; COMMISSION 

ACCESS ...................................................................................... 93 

.ANNUAL AUDIT ........................................................................ 93 

STANDARD OPERATING PROCEDURES ............................... 94 

RESORT VENDORS ........................................................ ........... 94 

APPLICABILITY TO GAMING ENTERPRISE ................... 94 

v 
CHAPTER 1 - RULE OF INTERPRETATION AND DEFINITIONS 

22.101 INTERPRETATION AND DEFINITIONS AS USED IN THIS 

TITLE 

A. Unless a different meaning is clearly indicated, 

the terms used herein shall be interpreted to have 

the same meaning as in the Indian Gaming Regulatory 

Act, Public Law 100-497, 25 u.s.c. Sections 2701 et 

~· and the Gila River Indian Community-State of 

Arizona Gaming Compact. 

B. Definitions as used in this Title 

l. Act shall mean the Indian Gaming Regulatory 

Act, as enacted by Public Law 100-497, and 

codified at 25 U.S.C. Sections 2701 et seq. 

2. Applicant shall mean any person who or 

organization which has applied for or intends 

to apply for a License, Temporary License, 

Section 4(b) License, Casino Resort Permit, or 

Certification under the provisions of this 

Title, or employment with a Tribal Gaming 

Enterprise on the Reservation, or approval of 

any transaction required or permitted under 

the provisions of the Act, the Compact, or 

this Title. 

3. Application shall mean a request for the 

issuance of a License, Temporary License, 

Section 4(b) License, Casino Resort Permit or 

Certification, or for employment by a Tribal 

Gaming Enterprise located on the Reservation, 

or for approval of any act or transaction for 

which approval is required or permitted. under 

the provisions of the Act, the Compact or this 

Title. 

4. Bingo Equipment shall mean, with respect to 

bingo gaming, the receptacle from which 

markers designating numbers or other figures 

in play are drawn; the master board upon which 

such objects are placed as drawn; the cards or 

sheets bearing numbers or other designations 

to be covered during play and the objects used 

to cover them; the board or signs, however 
operated, used to announce selected numbers or 

designations as they are drawn; the public 

address system employed during play; and all 

other articles employed in the conduct and 

playing of bingo. 

5 . Board of Directors shall mean the management 

board of a Tribal Gaming Enterprise located on 

the Reservation. 

6. Casino Resort shall mean a specific location 

or complex on the Reservation, as determined 

by the Commission, that provides gaming and 

other amenities such as, but not limited to, 

lodging, entertainment and recreation. 

7. Casino Resort Employee shall mean any natural 

person employed by a Casino Resort Employer 

whose employment does not associate or 

interact with any Gaming Activity and whose 

work area does not include the Gaming Area. 

8 . Casino Resort Employer shall mean any Gaming 

Enterprise, Entity, Licensee, organization, 

or natural person that engages vendors or 

employs natural persons that (i) work at a 

Casino Resort and (ii) qualify for a Casino 

Resort Permit. 

9 . Casino Resort Permit shall mean an approval to 

work evidenced by a name tag, issued by the 

Commission, or the Executive Director or 

his/her delegate if delegated authority by the 

Commission pursuant to Regulation, to any 

Casino Resort Employee. 

10. Casino Resort Permittee shall mean any natural 

person employed by a Casino Resort Employer 

who has been issued a Casino Resort Permit by 

the Commission. 

11. Cheat shall mean any act committed with the 

intention of altering the selection of 

criteria which determine: 

a . the result of a game subject to the 

provisions of this Title; or 

2 
b . the amount or frequency of payment in a 

game subject to the provisions of this 

Title. 

12. Chip shall mean a non-metal or partly metal 

representative of value, redeemable for cash 

and issued and sold by a Gaming Enterprise 

located on the Reservation, for use at table 

or counter games at the Gaming Enterprise. 

13. Class I Gaming means gaming defined as Class 

I Gaming in section 4(6) of the Act, 25 U.S.C. 

§ 2703(6). 

14 . Class II Gaming means gaming defined as Class 

II Gaming in section 4(7) of the Act, 25 U.S.C. 

§ 2703 (7). 

15. Class III Gaming means gaming defined as Class 

III Gaming in section 4 (8) of the Act, 25 

U.S.C. § 2703 (8). 

16. Commission shall mean the Gila River Gaming 

Commission established at Chapter Three of 

this Title . 

17. Commissioner shall mean a member of the Gila 

River Gaming Commission. 

18. Community shall mean the Gila River Indian 

Community, and as represented in their 

authorized capacities, its officials, agents 

and representatives. 

19. Community Council shall mean the Gila River 

Indian Community Council, the governing body 

of the Gila River Indian Community. 

20. Community Court shall mean the trial court of 

the Gila River Indian Community established by 

its Constitution. 

21. Community Treasurer shall mean the Treasurer 

of the Gila River Indian Community. 

3 
22. Compact shall mean the Gila River Indian 

Community-State of Arizona Gaming Compact of 

December 4, 2002 and its appendices, as may 

from time to time be amended. 

23. Constitution shall mean the Constitution and 

Bylaws of the Gila River Indian Community, 

Arizona (March 17, 1960), as may be amended 

from time to time. 

24. Counsel or Attorney. Counsel or Attorney is 

any member of a federally recognized tribe who 

is selected to represent a community member in 

a proceeding before the Commission or any 

attorney who is a member in good standing of 

the State Bar of Arizona. 

25. Distributor shall mean a person who 

distributes Gaming Devices for use or play in 

a Gaming Enterprise. 

26. Entity shall mean any corporation, firm, 

partnership, limited partnership, trust, or 

other form of business organization other than 

a Tribal enterprise wholly owned by the 

Community; provided, however, that the term 

shall also include each corporation, firm, 

partnership, limited partnership, trust or 

other form of business organization not a 

natural person which, directly or indirectly, 

owns, has the power or right to control or 

holds the power to vote all or any part of the 

outstanding Equity Securities, partnership 

interests, 1 imi ted partnership interests or 

beneficial interest in a trust which holds or 

applies for a License or Certification under 

the provisions of this Title or the Compact. 

27. Equity Security, with respect to each of the 

following shall mean: 

a . Corporation Any voting stock, or 

similar security; and security 

convertible, with or without 

consideration, into such a security, or 

carrying any warrant or right to 

subscribe to or purchase such a security; 

4 
any warrant or right; or any security 

having a direct or indirect participation 

in the profits of the issuer. 

b . Limited Partnership An interest 

representing the right of a general or 

limited partner to receive from a limited 

partnership: 

(1) a share of the profits; any other 

compensation by way of income; 

(2) a return of any or all of his or her 

contribution to capital of the 

limited partnership; or 

( 3) the right to exercise any of the 

rights or powers provided in Title 

29 of the Arizona Revised Statutes. 

c . Partnership - An interest representing 

the right of a partner to receive from a 

partnership a share of the profits; any 

other compensation by way of income; or 

a return of any or all of his or her 

contribution to capital of the 

partnership; or the right to exercise any 

of the rights or powers provided in Title 

29 of the Arizona Revised Statutes. 

2 8 • Executive Di rec tor sh al 1 mean the Executive 

Director of the Commission. 

29. Fiscal Year shall mean a period of twelve (12) 

consecutive months chosen by a Gaming 

Enterprise located on the Reservation as the 

accounting period for its annual financial 

reports. 

30. Founding Commissioner shall mean a 

Commissioner appointed when the Commission is 

first established. 

31. Gaming Activity means all forms of Class II or 

Class III Gaming conducted within the 

Reservation. 

5 
32. Gaming Area or Gaming Areas shall mean all 

areas of a building, as delineated by the 

Commission in a separate schematic diagram of 

the building, used in connection with the 

conduct of Gaming Activity on the Reservation. 

33. Gaming Device means a microprocessorcontrolled electronic device which allows a 

player to play games of chance, some of which 

are affected by skill, which device is 

activated by the insertion of a coin, 

currency, or by the use of a credit, and which 

awards game credits, cash, replays or a 

receipt that can be redeemed by the player for 

any of the foregoing. Game play may be 

displayed by: 

a . Video facsimile; or 

b. Mechanical rotating reels whereby the 

software of the device predetermines the 

stop positions and the presence, or lack 

thereof, of a winning combination and pay 

out, if any. 

34. Gaming Employee shall mean any natural person 

employed by a Gaming Enterprise or employed in 

the operation or management of any Gaming 

Activity including, but not limited to, any 

person whose employment duties require or 

authorize access to restricted areas of a 

Gaming Area not otherwise open to the public. 

The definition of Gaming Employee does not 

include any natural person classified as a 

Casino Resort Employee under this Title. 

35. Gaming Enterprise or Tribal Gaming Enterprise 

shall mean any enterprise established by the 

Community to conduct Class II or Class III 

Gaming on the Reservation. 

36. Gaming Equipment shall mean any equipment 

other than a Gaming Device as defined herein, 

including dice, playing cards, equipment which 

affects the proper reporting of gaming 

revenue, computerized systems of betting at a 

Sports Pool, computerized systems for 

6 
monitoring Gaming Devices, keno equipment, 

devices for weighing or counting money, and 

computer software used in the conduct of or 

collecting data regarding Gaming Activity, or 

which is able to affect data in the financial 

system of a Gaming Operation, including, but 

not limited to, software associated with 

player loyalty club services and point of 

sale. 

37. Gaming Operation shall mean any Gaming 

Activity conducted within any Gaming Area. 

38. Gaming Services shall mean the goods and 

services other than legal services provided in 

connection with the conduct of Gaming Activity 

on the Reservation and shall include without 

limitation Bingo and Gaming Equipment and 

Gaming Devices, transportation, food, linens, 

janitorial supplies, maintenance, and 

security services for a Gaming Enterprise, 

provided, however, that the Commission may by 

Regulation exclude any purchases of goods or 

services from the definition of Gaming 

Services as long as such exclusion does not 

violate any provision of this Title or the 

Compact. 

39. General Counsel shall mean the General Counsel 

of the Community. 

40. Generally Accepted Accounting Principles 

shall mean the official pronouncement of the 

Government Accounting Standards Board, the 

Financial Accounting Standards Board and other 

authoritative sources recognized by certified 

public accountants. 

41. Generally Accepted Auditing Standards shall 

mean the Auditing Standards as well as the 

Statements on Auditing Standards published by 

the American Institute of Certified Public 

Accountants. 

42. Governor shall mean the Governor of the 

Community. 

7 
43. Internal Control System shall mean the written 

administrative and accounting procedures 

implemented by a Gaming Enterprise designed to 

provide reasonable assurance regarding the 

safeguarding of assets, effective and 

efficient operations, reliable financial 

reporting, and compliance with applicable laws 

and regulations to ensure effective control 

over the internal fiscal affairs of the Gaming 

Enterprise. 

44. Interstate Common Pari-Mutuel Pool shall mean 

pooled Pari-Mutuel Wagers placed at a Track, 

its intrastate betting locations and other 

jurisdictions and Off-Track Pari-Mutuel 

wagers placed and accepted by Pari-Mutuel 

books. 

45. Key Employee shall mean a person who performs 

one or more of the following functions: 

a . Bingo caller; 

b . Counting room supervisor; 

c. Chief of Security; 

d. Custodian of gaming supplies or cash; 

e. Floor manager; 

f . Pit boss; 

g . Dealer; 

h . Croupier; 

i. Approver of credit; 

j . Custodian of Gaming Devices, including 

persons with access to cash and 

accounting records within such devices; 

or 

8 
k. with respect to any other person: 

(1) those receiving cash 

from gaming proceeds 

$50,000 per year; 

compensation 

in excess of 

(2) the four most highly compensated 

persons in a Gaming Enterprise; or 

(3) any other person designated a Key 

Employee by the Commission. 

46. Lease shall mean any formal or informal, 

written or oral contract, understanding or 

arrangement whereby a Gaming Enterprise 

located on the Reservation obtains the use or 

possession of any property, whether real or 

personal, to be used, occupied or possessed in 

connection with such Gaming Enterprise. Such 

term shall also include, any payment under a 

real property lease, personal property lease, 

unsecured note, deed of trust, mortgage or a 

trust indenture, without regard to the 

existence of relationships of affiliation or 

control between the parties thereto. 

47. Lessor shall mean any person who Leases or 

rents any property, whether real or personal, 

to a Gaming Enterprise located on the 

Reservation. 

48. License shall mean an approval, evidenced in 

writing, issued by the Commission to any 

person or organization to be involved in the 

conduct of Gaming Activity or to provide 

Gaming Services. 

49. Licensee shall mean any natural person or 

Entity approved, licensed, certified or 

otherwise found suitable by the Commission to 

be involved in the conduct of Gaming Activity 

or to provide Gaming Services to a Gaming 

Enterprise on the Reservation. 

50. Live Broadcast shall mean an audio and video 

transmission of a race or series of races as 

9 
simultaneously occur at a Track, whether or 

not furnished by a disseminator or for a fee. 

51. Management Contract shall mean a contract 

within the meaning of 25 U.S.C. §§ 2710(d) (9) 

and 2711. 

52. Management Contractor shall mean a natural 

person or entity that has entered into a 

Management Contract with the Community or a 

Gaming Enterprise which has been approved 

pursuant to 25 U.S.C. §§ 2710(d) (9) and 2711. 

53. Manufacturer shall mean a person who or Entity 

which manufactures Gaming Devices for use or 

play in the conduct of Gaming Activity on the 

Reservation. 

54. Off-Track Pari-Mutuel Wager shall mean a Wager 

placed by a Patron and accepted by the Gaming 

Enterprise's Pari-Mutuel book on a race or 

races offered as part of an Interstate Common 

Pari-Mutuel Pool, whether or not the wager is 

actually included in the total amount of the 

interstate wagering pool. 

55. Patron shall mean any person who is a customer 

on the premises of the Gaming Area. 

56. Paraphernalia for Manufacturing Slugs shall 

mean the equipment, products and materials 

intended or designed for use in manufacturing, 

producing, fabricating, preparing, testing, 

analyzing, packaging, storing or concealing a 

counterfeit facsimile of the Chips or approved 

by the Commission or a lawful coin of the 

United States, the use of which is unlawful. 

The term includes, but is not limited to: 

a . lead or lead alloys; 

b . molds, forms or similar equipment capable 

of producing a likeness of a United 

States coin; 

c. melting pots or other receptacles; 

10 
d . torches; and 

e . tongs, trimming tools or other similar 

equipment. 

57. Pari-Mutuel shall mean a system of wagering on 

a race or sporting event whereby the winners 

divide the total amount wagered, after 

deducting commission, fees and taxes in 

proportion to the amount individually wagered. 

58. Primary Management Official shall mean, with 

respect to a Gaming Enterprise: 

a . The person(s) 

responsibility 

contract, if any. 

having 

for a 

management 

management 

b. any person who has the authority to: 

(1) hire or terminate employees; 

(2) establish working policy for the 

gaming operation; or 

c . The chief financial officer or other 

person who has financial management 

responsibility for a Gaming Enterprise; 

or 

d . Any other person designated a Primary 

Management Official by the Commission. 

59. Principal shall mean with respect to each of 

the following: 

a . Corporation - Each of its officers and 

directors; each of its principal 

management employees, including any 

chief executive officer, chief financial 

officer, chief operating officer, or 

general manager; and each beneficial 

owner of voting securities. 

b . Limited Partnership Each general 

partner and each limited partner owning 

11 
c. 

more than ten (10) percent of an 

individual limited partnership interest. 

Partnership 

partner. 

Each equity holder or 

d. Proprietorship - Each equity holder. 

e. Publicly Traded Corporation Each 

officer, director and employee that is, 

or is to become, actively and directly 

engaged in the administration and 

supervision of, or has or is to have any 

other significant involvement with, the 

activities of a subsidiary that is or 

will be involved with a Tribal Gaming 

Enterprise on the Reservation; and each 

shareholder who owns more than ten (10) 

percent of the voting securities thereof. 

f. Trust - Each trustee and beneficiary. 

g. Natural Person - Each person other than 

a banking institution, insurance 

company, investment company registered 

under the Investment Company Act of 1940, 

or investment banking firm, who has 

provided financing for an Entity 

constituting more than ten (10) percent 

of the total financing of the Entity. 

60. Procedures shall mean the Gila River Gaming 

Enterprises, Inc. Tort Remedy Procedures for 

Gaming Patrons. 

61. Publicly Traded Corporation shall mean any 

corporation or other legal Entity other than 

a natural person which has one or more classes 

of securities registered pursuant to Section 

12 of the Securities Exchange Act of 1934, as 

amended (15 U.S. C. § 781) , or is an issuer 

subject to Section 15 (d) of the Securities 

Exchange Act of 1934, as amended (15 u.s.c. § 

780) . 

62. Race Book shall mean the business of accepting 

Wagers upon the outcome of any event held at 

12 
63. 

64. 

a Track which uses the Pari-Mutuel system of 

wagering. 

Regulation shall mean a rule, standard, 

directive or statement mandated to be 

uniformly applied which effectuates the 

provisions and policy of this Title, the 

Compact or a policy of the Community. 

Reservation shall mean Gila River Indian 

Community Indian lands as defined by 25 u.s.c. 

Sections 2703 ( 4) (A) and (B) I subject to the 

provisions of 25 u.s.c. Section 2719. 

65 . Section 4(b) License shall mean an approval to 

work, evidenced in writing, issued by the 

Commission to any person, who by nature of 

his/her occupation or position, does not have 

unescorted access to secure areas which 

include Gaming Device storage and repair 

areas, count rooms, vaults, cages, change 

booths, change banks/cabinets, security 

offices and surveillance rooms, revenue 

accounting offices, and rooms containing 

information systems that monitor or control 

Gaming Activities (or, as may be agreed to by 

the State Gaming Agency and the Commission in 

a separate agreement del in eating the secure 

areas in the Gaming Areas) . 

66. Sports Pool shall mean the business of 

accepting Wagers on sporting events by any 

system or method of wagering other than the 

system known as the Pari-Mutuel method of 

wagering. 

67. State shall mean the State of Arizona and, 

when acting in their authorized capacities, 

its authorized officials, agents and 

representatives. 

68. State Gaming Agency shall mean the agency 

designated by the State in written notice to 

the Community as the single State agency 

primarily responsible for oversight of Class 

III Gaming as authorized by the Compact. 

13 
22.102 

69. Subsidiary shall mean a corporation all or any 

part of the outstanding voting securities of 

which are owned, subject to a power or right 

of control, or held with power to vote, by a 

publicly traded corporation or other holding 

company. 

70. Temporary License shall mean an approval, 

evidenced in writing or by a name tag, issued 

by the Commission, or the Executive Director 

or his/her delegate if delegated authority by 

the Commission pursuant to Regulation, to any 

person or organization to be involved in the 

conduct of Gaming Activity or to provide 

Gaming Services on a temporary basis. 

71. Title shall mean the Gila River Gaming 

Ordinance, as amended from time to time. 

72. Tort Claim shall mean a claim arising from any 

alleged personal injury to a Patron or invitee 

or damage to the property of a Patron or 

invitee within a Gaming Area and excludes all 

other causes of action. 

73. Track shall mean a facility licensed to 

conduct horse or other racing where PariMutuel wagering is conducted on such races. 

Where applicable, the term shall also include 

Track operators, whether natural persons or 

governmental agencies and associations of 

Track operators. 

74. Wager shall mean a sum of money or thing or 

value risked on an uncertain occurrence in 

Class II or Class III Gaming. 

CALCULATION OF TIME 

In computing any period of time prescribed or allowed by 

this Title, 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, a Sunday / or a legal 

holiday under the Community's laws, State law, or federal 

law, 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 

14 
period falls on a day in which the weather or other conditions 

have made the of fices 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 off ice 

is accessible which is not a Saturday, Sunday or legal 

holiday, and is not one of the previously mentioned days. 

When the period of time prescribed or allowed is less than 

eleven (11) days, intermediate Saturdays, Sundays and legal 

holidays under the Community's laws, State law or federal law 

shall be excluded from the computation period. 

22.103 EFFECTIVE DATE 

This Title shall become effective in accordance with the 

Constitution of the Gila River Pima Maricopa Indian Community 

and upon approval by the Chairman of the National Indian 

Gaming Commission. 

22.201 

CHAPTER 2 - GENERAL 

OWNERSHIP OF GAMING ENTERPRISES ON THE 

RESERVATION 

The Community shall have the sole proprietary interest 

in and the responsibility for the conduct of any Class II or 

Class III Gaming Activity located on the Reservation. 

22.202 

A. 

USE OF GAMING REVENUE 

Net revenues from Class II and Class III Gaming 

shall be used only for the following purposes: 

1. To fund Community government operations and 

programs; 

2. To provide for the general welfare of the 

Community and its members; 

3. To promote Community economic development; 

4 . To donate to charitable organizations; and 

5. To fund operations of local government 

agencies of the Community. 

B. If the Community elects to make per capita payments 

to Community members, it shall authorize such 

15 
payments only upon approval of a plan submitted to 

the Secretary of the Interior as prescribed 

according to 25 U.S.C. Section 2710(B) (3). 

C. Any facility housing a Gaming Enterprise shall be 

constructed, maintained and operated in a manner 

that adequately protects the environment and the 

public health and safety. 

CHAPTER 3 - GILA RIVER GAMING COMMISSION 

22.301 GILA RIVER GAMING COMMISSION 

The Community Council hereby establishes the Gila River 

Gaming Commission for the purpose of regulating all gaming 

conducted on the Reservation. The Commission is the 

designated Tribal Gaming Office under the Compact. 

22.302 NECESSARY POWERS 

The Commission shall exercise all proper power and 

authority necessary to effectuate the purposes of this Title 

and the Compact. The Commission shall meet with the Executive 

Director not less than once a month to make recommendations 

and set policy, to approve or reject reports of the Executive 

Director and to transact other business that may be properly 

brought before it. The Commission is vested with powers 

including but not limited to the following: 

A. To permit or refuse permission for the operation or 

conduct, in whole or in part, of Class II or Class 

III Gaming on the Reservation and to specify the 

conditions therefore in accordance with this Title. 

B. To grant, suspend, or revoke Licenses, Temporary 

Licenses, Section 4(b) Licenses and Casino Resort 

Permits to persons, Entities, and Gaming 

Enterprises in accordance with this Title and, 

pursuant to regulation, to delegate to the 

Exe cu ti ve Director or his/her delegate, the 

authority to grant Temporary Licenses and Casino 

Resort Permits to persons in accordance with this 

Title. 

C. To monitor and oversee the operation and conduct of 

all Gaming Activity on the Reservation on a 

continuing basis, including ongoing monitoring and 

16 
oversight of Licensees engaged in the operation and 

conduct of Gaming Activity. 

D. To monitor and oversee, pursuant to provisions 

expressly provided in this Title or pursuant to 

Regulation, the operation of all Casino Resort 

Employers on the Reservation on a continuing basis 

to ensure protection of the integrity and security 

of all Gaming Activity. 

E . To monitor 

Permittees. 

and oversee all Casino Resort 

F. To inspect and examine all premises of a Casino 

Resort and other premises in which gaming is 

conducted on the Reservation. 

G. To request and obtain information in accordance 

with the provisions of this Title from any vendor 

or sub-vendor that is providing goods or services 

to any Licensee or Permittee at a Casino Resort. 

H. To conduct or cause to be conducted background 

investigations of persons (a) employed or 

contracted with in relation to the operation or 

conduct of gaming on the Reservation or (b) 

employed by a Casino Resort Employer. 

I. To inspect, examine, photocopy and audit all 

papers, books and records respecting gross receipts 

of Gaming Activities operated or conducted on the 

Reservation and any other matters necessary to 

carry out the duties pursuant hereto. 

J. To inspect, examine, photocopy and audit all 

papers, books and records respecting the business 

operation being conducted at a Casino Resort by a 

Casino Resort Employer. 

K. To bring suits in the Community Court to enforce 

this Title, including seeking temporary and 

permanent orders to cease any gaming not authorized 

by this Title. 

L. To enter into contracts with Tribal, federal, state 

and private en ti ties for activities and services 

necessary for the discharge of its duties. 

17 
M. To cooperate with other tribal gaming offices, the 

State Gaming Agency and National Indian Gaming 

Commission for the enforcement of applicable 

federal and tribal regulation of Gaming Activity 

conducted on the Reservation. 

N. Subject to approval by the Community Council, to 

recommend an annual budget of the Commission. 

O. Subject to approval by the Community Council, to 

establish fees for Applications, Licenses and 

Casino Resort Permits. 

P. To require, through its powers to subpoena, the 

attendance and testimony of witnesses and the 

production of all books, papers and documents 

relating to any matter under consideration or 

investigation by the Commission and bring actions 

in the Community Court for the enforcement of such 

subpoenas. 

Q. To administer or cause to have administered oaths 

and affirmations to witnesses appearing before the 

Commission. 

R. To hear appeals arising under Subsection 13 (c) and 

Sections 14 of the Compact. 

S. To keep minutes, records and books in which shall 

be kept a true, faithful, and correct record of all 

proceedings of the Commission. 

T. To recommend amendments to this Title to the 

Community Council. 

U. To submit reports to the Community Council 

regarding the activities of the Commission and 

information pertaining to funding, income and 

expenses of the Commission. 

V. To hire personnel or consultants necessary for the 

effective and efficient operation and conduct of 

all gaming r~gulated pursuant hereto. 

W. To promulgate Regulations as it deems appropriate 

to implement the provisions herein. 

18 
22.303 COMPOSITION OF THE COMMISSI ON 

The Commission shall consist of five (5) members 

appointed by a ma jority of the Communi ty Council. 

Consideration should be g iven to qualified enrolled Community 

Members. Members of the Commission must have experience in 

gaming operations, gaming law, gaming control or regulation, 

or gaming accounting sufficient to qualify him or her to serve 

as a Commissioner. 

22 . 304 TERMS OF COMMISSIONERS 

A Commission member shall serve for three (3) years 

except t hat in order to initially establish an annually 

staggered appointment schedule, two (2) of the Founding 

Commissioners shall serve three (3) year terms, two (2) 

Founding Commissioners shall serve two (2) year terms, and 

one (1) Founding Commissioner shall serve a one (1) year term 

for the initially appointed terms only. Thereafter , all 

successive terms o f appointments to the Commission shall be 

for three (3) year terms. 

22.305 SELECTION OF OFFICERS 

The Commission shall select annuall y, by majority vote, 

a Chairperson, a Vice Chairperson, and a Secretary. 

22 . 306 RESIGNATION OF COMMISSIONERS 

Any Commissioner may resign at any time by giving written 

notice which specifies the intended effective date of such 

resignation to the Secretary of the Commission and, by copy, 

notice to the Governor and the Community Council. The 

resignation shall become effective at the time specified in 

such notice, and the acceptance by the Commission or the 

Community Council of such resignation shall not be necessary 

to make it effective. 

22 .307 REMOVAL BY THE COMMUNITY COUNCIL 

A Commissioner may be removed, with or without cause, 

from office prior to the expiration of his or her term by a 

majority vote of the Community Counc:i.J , but no Commissioner 

may be so removed on account of the exercise of reasonable 

judgment by a Commissioner on a matter within the Commission 1 s 

responsibility. 

19 
22.308 VACANCIES 

Any unexpired portion of a Commissioner's term of 

office, howsoever caused, shall be filled by a person 

qualified pursuant to Sections 22.303 and 22.309 hereof 

appointed by a majority of the Community Council. 

22.309 

A. 

B. 

REQUIREMENTS FOR COMMISSION MEMBERSHIP 

Commissioners may not hold off ice in or be employed 

by the Community, nor may they engage in any 

business which is subject to Regulation pursuant to 

the provisions of this Title. 

No person shall be eligible or qualified to serve 

or continue to serve as a Commissioner or as an 

appointee or employee of the Commission who: 

1. has been convicted of a felony or a gaming 

offense; 

2. has any financial interest in or management 

responsibility for any Gaming Activity; 

3. has knowingly and 

materially important 

information or omitted 

information on his 

questionnaire; or 

willfully provided 

false statements or 

materially important 

or her background 

4. 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. 

C. No person shall be considered for appointment as a 

Commissioner until the person completes a 

background questionnaire and it is provided to the 

Community Council. 

20 
22.310 COMMISSIONERS BARRED FROM GAMING ON RESERVATION 

A Commissioner may not patronize either directly or 

through another party any Class I I or Class III games 

conducted on the Reservation, have any personal financial 

interest whatever in any game or gaming engaged in by a Patron 

of games conducted on the Reservation, or have any financial 

interest in any Entity doing business with any Licensee. 

22.311 OATH OF OFFICE 

Before undertaking the discharge of his or her duties, 

each Commissioner shall take the oath of office set forth at 

Section Eleven of the Constitution. 

22.312 COMPENSATION 

Commissioners shall be compensated in the same manner 

and with the same benefits as members of the Community Council 

at a rate to be established annually by the Community Council. 

Commissioners shall be reimbursed for actual expenses 

incurred in the course of conducting Commission business, 

including necessary and reasonable travel expenses, in 

accordance with the Community's Travel Expense Policy. 

22.3 13 GENERAL MEETINGS 

General meetings of the Commission shall be open to the 

public and all meetings shall be guided by Roberts Rules of 

Order. The Commission may conduct portions of its meetings 

in executive sessions held pursuant to procedures the 

Commission adopts. 

22.314 SPECIAL MEETINGS 

The Chairperson of the Commission shall have the power 

to convene special meetings of the Commission upon 72 hours 

written notice or notice by telephone to Commission members. 

22.315 MOTIONS AND RESOLUTIONS 

The powers of t he Commission are vested in the 

Commissi oners. All official actions of the Commission shall 

be taken by motion or resolution approved by majority vote of 

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

21 
Chairperson or a majority of its members, but shall meet at 

least once a month. 

22.316 QUORUM 

A quorum of members of the Commission shall consist of 

three (3) members. All decisions shall be made by a majority 

vote of Commissioners present at a meeting. 

22.317 QUARTERLY REPORTS 

The Commission shall at a minimum make quarterly reports 

to the Community Council within forty five (45) days following 

the close of each calendar quarter. The Gaming Enterprise 

shall cooperate with the Commission in the preparation of the 

reports. The Commission's reports to the Community Council 

shall include at a minimum: 

A. A full and complete statement of revenues collected 

by all Tribal Gaming Enterprises, expenses and all 

other financial transactions of such Gaming 

Enterprises as reported to the Commission; and 

B. A summary of all licensing, permitting and 

enforcement actions taken by the Commission. 

22.318 REGULATIONS 

The Commission is empowered to adopt, amend and rescind 

Regulations to effectuate the provisions of the Compact and 

this Title. Within ninety (90) days of the establishment of 

the Commission, Regulations shall be adopted which effectuate 

at least the following procedures: 

A. At least thirty (30) days before the initial 

meeting of the Commission and twenty (20) days 

before any subsequent meeting at which the 

adoption, amendment or rescission of a Regulation 

of the Commission is considered, notice of the 

proposed action shall be: 

1 . published in such locations as the Commission 

prescribes; 

2. mailed to the State Gaming Agency, to every 

Gaming Enterprise, to the Secretary of the 

Community, to the Governor of the Community, 

22 
3 . 

to the Law Office of the Community, and to 

every person who has filed prior to the date 

of the notice, a request therefore; and 

mailed to any person believed 

Commission to have an interest 

pursuant to this Title. 

by the 

granted 

B. The notice of proposed adoption, amendment or 

rescission of a Regulation of the Commission must 

include: 

1 . a statement of the time, place and nature of 

the proceedings and a description of the 

nature of the proceedings as to whether they 

will concern adoption, amendment or rescission 

of Commission Regulations; 

2 . reference to the authority under which the 

action is proposed; and 

3. either express terms or an informative summary 

of the proposed action. 

C. On the date and at the time and place designated in 

the notice, the Commission shall grant any 

interested party or person that received notice 

from the Commission pursuant to Section 22.318(A), 

or his or her authorized representative, or both, 

the opportunity to present written statements or 

legal briefs. At the discretion of the Commission, 

persons submitting statements or legal briefs need 

not be allowed to present oral argument in a 

proceeding concerning a hearing conducted pursuant 

to this Section. The Commission shall consider all 

relevant matters presented to it before adopting, 

amending or rescinding any Regulation of the 

Commission. 

D. Any Licensee or Casino Resort Permittee may file a 

petition with the Commission requesting the 

adoption, amendment or rescission of a Regulation 

of the Commission. The petition must state clearly 

and concisely: 

1 . the substance or nature of the Regulation, 

amendment or rescission requested; 

23 
2. the reasons for the request; and 

3. reference to the authority of the Commission, 

as granted by the Community pursuant hereto, 

to take the action requested. 

E. Upon receipt of the petition, the Commission shall 

within thirty (30) days deny the request in writing 

or schedule the matter for action pursuant to this 

Subsection. 

F. 

G. 

H. 

22.319 

A. 

In emergencies, the Commission may summarily adopt, 

amend or rescind any Regulation affecting Gaming 

Activity regulated pursuant hereto, if at the same 

time it files a finding that such action is 

necessary for the immediate preservation of the 

public peace, health, safety, morals, good order or 

general welfare, together with a statement of the 

facts giving rise to such state of emergency; and 

simultaneously provides a copy of such finding to 

each party listed in Section 22.318(A) (2). 

In any hearing under this Section, the Commission 

or its officers or employees may administer oaths 

or affirmations and may continue or postpone the 

hearing from time to time and at such places as it 

prescribes. 

The Commission may request the advice and 

assistance of the Community Council in carrying out 

the provisions of this Section. 

MAINTENANCE OF BOOKS AND RECORDS 

The Commission shall maintain books and records of 

its activities relating to authorized Gaming 

Activities. The Commission shall maintain such 

books and records, either, (a) throughout the term 

of the Compact, during the pendency of any 

litigation arising from the Compact, and for one 

(1) year following the termination of the Compact; 

or (b) , as provided in a written agreement between 

the Commission and the State, as authorized in 

Section 22.319. (B) 

24 
B. 

22.320 

The Commission may from time to time enter into 

written agreements with the State to establish 

appropriate procedures for the destruction of the 

books and records that are required to be 

maintained under Section 22.319(A) and Section 

22. 503 (A) . 

PERSONNEL 

The Commission shall hire the Executive Director and 

such other personnel as is necessary to ensure the proper 

enforcement of the provisions of this Title and the Compact. 

Personnel of the Commission shall be hired through the 

Community's regular personnel procedure and shall be subject 

to its personnel policies and salary schedules. In addition, 

the Commission must not employ, and shall terminate any 

current Commission employee if it is determined that the 

applicant or employee: 

1. 

2 . 

3 . 

22.321 

has been convicted of any felony or gaming offense; 

has knowingly and willfully provided materially 

important false statements or information or 

omitted materially important information on his or 

her employment application or background 

questionnaire; or 

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. 

THE EXECUTIVE DIRECTOR 

A . The Executive Director shall, at a minimum, be 

charged with the following responsibilities: 

1 . The fulfillment and insurance of compliance 

with the requirements and provisions of this 

Title, the Compact and the Act; 

25 
2 . The cost-effective management of the 

Commission's resources according to the 

financial management and procurement 

procedures of the Community; 

3. The supervision, according to an 

organizational chart approved by the 

Commission, of personnel of the Commission 

according to the provisions of the Community's 

personnel policies and procedures manual; 

4 . The hiring and terminating of personnel and 

the maintenance of personnel records regarding 

personnel of the Commission; 

5 . Cooperation with officials exercising 

jurisdiction for the enforcement of the law 

including this Title, the Compact, and the 

Act; 

6 . The conduct of background investigations 

necessary pursuant to the terms of this Title 

and the Compact; 

7. Regular reporting to the Commission according 

to a written schedule prepared and approved by 

the Commission; 

8 . The scheduling of and logistical arrangements 

concerning inspection of Gaming Enterprises; 

9 . The collection, maintenance review and 

evaluation of financial records obtained from 

the Gaming Enterprises and the enforcement 

among Gaming Enterprises of the financial 

reporting requirements of this Title; 

10 . The representation of the Commission before 

the National Indian Gaming Commission and the 

State Gaming Agency; 

11. Appearing to present claims of violations of 

the requirements and provisions of this Title 

and the Compact in proceedings of the 

Commission and representation of the 

Commission in legal proceedings before courts 

of competent jurisdiction; and 

26 
B. 

12. The performance of all other such duties and 

responsibilities as may be assigned by the 

Commission. 

The Commission may, in its discretion, 

additional provisions to the duties 

responsibilities of the Executive Director. 

add 

and 

C. The Executive Director is designated the agent of 

the Commission and is authorized to accept service 

of process for the Commission. 

22.322 COOPERATION WITH LAW ENFORCEMENT AGENCIES 

The Commission shall cooperate with law enforcement 

officials of the State of Arizona, the Bureau of Indian 

Affairs, the Federal Bureau of Investigation and other law 

enforcement agencies and shall do all t h ings necessary to 

assure that only fair and honest gaming, operated in full 

compliance with the provisions of this Title and the Compact 

and untainted by illegal activity or interests is conducted 

on the Reservation. 

22.401 

A. 

B. 

CHAPTER 4 - LICENSING PROCEDURES 

LICENSING REQUIREMENTS, GENERALLY 

All Gaming Employees, Primary Management Officials, 

Key Employees, Gaming Enterprises, any person or 

Entity providing Gaming Services or Gaming 

Equipment to a Gaming Enterprise , and any person 

having any interest in or duty to perform with 

respect to gaming conducted on the Reservation, 

whether that interest or duty is direct or 

indirect, shall apply for and receive a License, a 

Temporary License, or a Secti on 4(b) License from 

the Commission prior to thP. commencement of their 

emp l oyment or their participati on in any Gaming 

Activity. 

The Commission may, in i ts sol e di scretion, require 

a person applying for or holding a Section 4 {b) 

License to apply for any additional gQming 

certification regardless of whether or not such 

additional certification is required by the 

Compact. 

27 
C. The Commission may, in its sole discretion, require 

Casino Resort Employers to: (i) apply for and 

receive a License prior to operating at a Casino 

Resort and (ii) apply for any additional gaming 

certification regardless of whether or not such 

additional certification is required by the 

Compact. 

D. The Commission may, in its sole discretion, require 

management personnel of Casino Resort Employers 

(the Commission shall determine which employees of 

a Casino Resort Employer are considered to be 

management personnel) to: (i) apply for and receive 

a License, a Temporary License, a Section 4 (b) 

License or a Casino Resort Permit prior to the 

commencement of their employment and (ii) apply for 

any additional gaming certification regardless of 

whether or not such additional certification is 

required by the Compact. 

E. The Commission shall require that a separate 

License be maintained by a Gaming Enterprise for 

each place, facility, or location on the 

Reservation where a Gaming Enterprise is involved 

in the conduct of Class II or Class III Gaming 

pursuant to this Title. 

F . Temporary Licenses. The Commission, or the 

Executive Director or his/her delegate if delegated 

authority by the Commission pursuant to Regulation, 

may issue a Temporary License upon receipt of a 

completed Application for a License or Section 4(b) 

License unless the Application demonstrates on its 

face grounds to disqualify the Applicant. The 

Temporary License shall be valid until either 

replaced by a License or Section 4(b) License or it 

is cancelled by the Commission, or the Executive 

Director or his/her delegate if delegated authority 

by the Commission pursuant to Regulation. 

G. Section 4(b) Licenses. The Commission may issue a 

Section 4(b) License upon: (i) receipt of a 

completed Application for a Section 4(b) r..i.cense, 

(ii) completion of a background investigation and 

(iii) the Applicant satisfies the standards set 

forth in Section 22.410 herein. 

28 
H. 

22.402 

A. 

Duration and Renewal of Licenses. All licenses 

issued under this Title, excluding Temporary 

Licenses, shall be effective for one (1) year from 

the date of issuance and must be renewed annually 

thereafter, unless suspended, revoked, or 

surrendered as provided herein. 

PRIVACY LICENSE APPLICATION 

Notice to Applicant - The following notice shall be 

placed on the Application form for prospective Key 

Employees and Primary Management Officials before 

the form is filled out by each applicant: 

In 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 members and 

staff of the Gila River Indian Gaming 

Commission (the "Commission"), the 

National Indian Gaming Commission (the 

"NIGC") members and staff who have a need 

for the information in the performance of 

their official duties and the Arizona 

State Gaming Agency (the "ASGA") who have 

need for the information in the 

performance of their official duties. 

The information may be disclosed by the 

Commission or the NIGC to appropriate 

federal, Tribal, state and 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 NIGC in 

connection with the issuance, denial or 

revocation of a gaming License, or 

investigations of activities while 

associated with a tribe or gaming 

operation. Failure to consent to the 

disclosures indicated in this notice will 

29 
result i n the Commission being 

grant you a gaming License for 

Management Official or Key 

Position. 

unable to 

a Primary 

Employee 

The disclosure of your Social 

Security Number (SSN) is voluntary. 

However, failure to supply a SSN may 

result in errors in processing your 

Application. 

An Applicant may claim any privilege 

afforded by the Constitution of the 

United States, or the Community, in 

refusing to answer questions of the 

Commission, the NIGC, and the ASGA. 

However, a claim of privilege with 

respect to any testimony or evidence 

pertaining to an Application may 

constitute sufficient grounds for 

denial. 

Any gaming License which is issued 

by the Commission shall be deemed to be 

a revocable privi lege and no person 

holding such a License by the Commission 

is deemed to have acquired any vested 

rights therein . 

The burden of proving the 

Applicant's qualifications, to receive a 

License is understood to be at all times 

on the Applicant . An Applicant assumes 

any risk of adverse public notice, 

embarrassment, criticism or other action 

or financial loss which may result from 

action with respect to an Application and 

expressly waives any claim for damages 

against the Community as a resul t 

thereof. 

In addition to any other factor 

attaching to an Applicat ion required by 

Gil a River Indian Community Code Title 22 

or the Compact, an Application for a 

License shall constitute a request to the 

Commission, the NIGC and the ASGA for a 

30 
decision upon the Applicant's general 

suitability, character, integrity and 

ability to participate or engage in or be 

associated with gaming on the Gila River 

Indian Reservation in the manner or 

position sought through application to 

the Commission, the NIGC or the ASGA. 

The Applicant specifically consents to 

the making of such a decision by the 

Commission, the NIGC or the ASGA at its 

election when the Application, after 

filing, becomes moot for any reason other 

than death. 

It shall be grounds for denying a 

gaming License or the suspension or 

revocation of a gaming License for there 

to be knowingly included in your 

Application any false statement or 

omission of a material fact necessary to 

make a given statement not misleading in 

view of the circumstances under which 

they occurred or were stated. 

Additionally, false statements are 

punishable by fine or imprisonment 

pursuant to 18 U.S.C. § 1001. 

B. Each Applicant for a License, or Temporary License, 

who is a Key Employee or Primary Management 

Official shall file with the Commission a written 

application in the form prescribed by the 

Commission, duly executed and verified which shall 

certify: 

1 . Applicant 1 s full name and other names used 

(oral or written), Social Security Number(s), 

birth date, place of birth, citizenship, 

gender, all languages (spoken or written); 

2. Currently and for the previous five (5) years: 

business and employment positions held, 

ownership interests in those businesses, 

business and residence addresses, and driver's 

license numbers; 

3. The names and current addresses of at least 

three (3) personal references, including one 

31 
personal reference who was acquainted with the 

Applicant during each period of residence 

listed under paragraph b. (2), immediately 

above; 

4. Current business and residence telephone 

numbers; 

5 . A description of any existing and previous 

business relationships with Indian tribes, 

including ownership interests in those 

businesses; 

6 . A description of any existing and previous 

business relationships with the gaming 

industry generally and any ownership interest 

in businesses or En ti ties with a direct or 

indirect involvement in the gaming industry; 

7 . The name and address of any licensing or 

regulatory agency with which the person has 

filed an application for a license or permit 

related to gaming, whether or not such license 

or permit was granted; 

8 . For any felony for which there is pending 

prosecution or for which a conviction has been 

effected, the charge, the name and address of 

the court involved, and the date and 

disposition, if any; 

9 . For each misdemeanor conviction or ongoing 

misdemeanor prosecution and any adverse 

juvenile disposition (excluding minor traffic 

violations), within ten (10) years of the date 

of the Application, the name and address of 

the court involved and the date and 

disposition of such matter; 

10 . For each criminal charge (excluding minor 

traffic citations and non-public juvenile 

proceedings), whether or not there is a 

conviction, if such criminal charge is within 

10 years of the date of the Application and is 

not otherwise 1 isted pursuant to paragraph 

(B) (8) or (B) (9) of this Section, the criminal 

32 
charge, the name and address of the court 

involved and the date and disposition; 

11. The name and address of any licensing or 

regulatory agency with which the person has 

f iled a n application for an occupational 

License or permit, whether or not such License 

or permit was granted; 

12. A current photograph; 

13. Any other information the Commission deems 

relevant; and 

14. Fingerprints which, consistent with 

procedures adopted by t he Commission and in 

accordance with 25 C.F . R. Section 522 .2 (h), 

shall be taken by personnel of Law Enforcement 

Services, Pima Agency, Bureau of Indian 

Affairs, Department of Interi or or such other 

law enforcement agency qualified to take 

fingerprints. 

C. Each Applicant for a Li cense or Temporary License, 

who is not a Key Employee or Primary Management 

Official, or a Section 4(b) License shall file with 

the Commission a written Application in the form 

prescribed by the Commission, duly executed and 

verified which shall include: 

1. A current photograph; 

2. A Fingerprint card consistent with procedures 

adopted by the Commission; 

3. The appropriate licensing fee; and 

4. Any other information the Commission deems 

relevant. 

D. Every statement, notice or report made as part of 

an Application must be accura te and complete as to 

content, including any requested supplemental 

information. Failure to supply supplemental 

information in the Applicant's possession within 

fifteen (15) days or other information within a 

reasonable period following the date on which the 

33 
E. 

F . 

G. 

22.403 

A. 

Applicant receives notice of the Commission's 

request for supplemental information shall 

constitute grounds for denying the Application or 

delaying consideration of the Application. 

All information required to be included in an 

Application must be true and complete as of the 

date of the Commission's action on the Application. 

An Applicant bears the responsibility on his or her 

own initiative to promptly supply by amendment, 

prior to Commission action on an Application, any 

information regarding occurrences following the 

date of the original Application necessary to make 

the Application accurate, complete and not 

misleading. Furthermore, an Applicant must 

promptly report to the Commission any changed 

circumstances or information appearing on the 

original Application or renewal application and the 

Commission may, at any time, require each Applicant 

to complete, sign and deliver a disclosure 

statement, in the form prescribed by the 

Commission, acknowledging its responsibility to 

report such changes to the Commission. 

An Application may be amended in any respect by 

leave of the Commission at any time prior to final 

action thereon. Any amendment to an Application 

shall have the effect of establishing the date of 

such amendment as the new filing date of the 

Application with respect to any time requirements 

set forth in this Title or in the Compact. 

Any document filed under any of the provisions of 

this Title may be incorporated by reference in a 

subsequent Application provided the incorporated 

document is available in the files of the 

Commission and is current and accurate on the date 

of filing. 

APPLICATION AND INVESTIGATIVE FEES 

Except as provided elsewhere in this Title, all 

fees and costs incurred in connection with the 

investigation of any Application to the Commission 

will be borne by the Applicant as prescribed below. 

34 
B. 

c . 

D. 

22.404 

In addition to any nonrefundable Application fees 

paid, the Commission may require an Applicant to 

pay such supplementary investigative fees and costs 

as required by the Commission. Such supplementary 

fees and costs may be estimated and the Applicant 

may be required to pay a deposit amount into a 

special investigative account established for the 

Applicant as a condition precedent to beginning or 

continuing an investigation, the actual total cost 

of which is not determined. 

The Commission shall not take final action to 

approve any Application unless all Application and 

investigative fees and costs have been paid in 

full. The Commission may deny the Application if 

the Applicant has failed or refused to pay all 

Application and investigative fees and costs. 

After all supplementary investigative fees and 

costs have been paid by an Applicant, the 

Commission shall refund to an Applicant any balance 

remaining in his or her investigative account of 

the Applicant. 

SUMMONING OF APPLICANTS 

The Commission may summon any person applying for a 

License and other witnesses to appear and testify before the 

Commission or Staff of the Commission at such time and place 

as may be designated. All such testimony may be required to 

be given under oath and relate to any matter which the 

Commission or its staff may deem relevant to the Application. 

Failure to appear and testify fully at the time and place 

designated, unless excused, constitutes grounds for denial of 

the Application without further consideration by the 

Commission. 

22.405 

l\ . 

HEARING ON APPLICATIONS 

Upon the conclusion of an investigation by the 

Commission, it may, in its discretion, hold a 

hearing to consider an Application. The Applicant 

shall be given at least fifteen (15) days advance 

written notice of such hearing by certified mail, 

return receipt requested. 

35 
B . 

c . 

22.406 

A . 

B . 

c . 

22.407 

Failure of the Applicant to appear at such hearing 

and testify fully at the time and place designated, 

unless excused, shall constitute grounds for denial 

of the Application without further consideration by 

the Commission. 

The State may recommend that the Commission not 

grant a License to an Applicant, before the 

Commission issues a permanent License. The 

Commission shall offer to conduct a hearing to 

consider the State's recommendation if the 

Commission decides to grant a License contrary to 

the State's recommendation. If the State requests 

a hearing, the hearing shall be held before the 

Commission formally issues a permanent License. 

The Applicant and the State Gaming Agency shall be 

provided at least fifteen (15) days advance written 

notice of such hearing by certified mail, return 

receipt requested. The Applicant shall have the 

right to participate in any such hearing. 

WITHDRAWAL OF APPLICATION 

An Applicant may not withdraw an Application unless 

he/she obtains the written permission of the 

Commission. A request for withdrawal of an 

Application may be made at any time prior to final 

action, upon the filing of a written request for 

such withdrawal with the Commission. 

The Commission may, in its discretion, deny a 

request for withdrawal of an Application or grant 

the request with or without prejudice. 

If a request for withdrawal is granted with 

prejudice, the Applicant shall be foreclosed from 

reapplying for a license for a period of one (1) 

year from the effective date of the withdrawal. 

APPLICATION FOR LICENSE AFTER DENIAL 

Any person or Entity whose Application has been denied 

shall be foreclosed from reapplying for a License, Temporary 

License or Section 4(b) License for a period of one (1) year 

from the effective date of the denial, unless the Commission 

expressly advises in writing that the denial is without 

prejudice as to reapplication. 

36 
22.408 APPLICATIONS FOR EMPLOYMENT AFTER REVOCATION 

Any person or Entity whose License, Temporary License or 

Section 4{b) License is revoked by the Commission shall be 

foreclosed from applying for employment with any Gaming 

Enterprise on the Reservation for a period of not less than 

two (2) years from the effective date on which notice of the 

Commission's action was provided to the Gaming Enterprise at 

which the person first applied for employment, or such longer 

period as the Commission in its discretion deems is 

appropriate based on the particular facts of that case. The 

Commission shall advise the Applicant in writing the date 

after which, if ever, the Applicant may reapply for a license. 

22.409 UNSUITABLE AFFILIATES 

The Commission may deny, revoke, suspend, limit, 

condition, or restrict any License, employment status or 

related Application upon grounds that the Applicant or 

Licensee is associated with, controls, or is controlled by, 

or is under common control with, a person or persons violating 

the licensing standards set forth in Section 22.410 hereof. 

22.410 STANDARDS FOR LICENSING 

No License or Section 4 (b) License shall be granted 

unless and until the Commission is satisfied that the 

Applicant: 

A. is a person of good character, honesty, and 

integrity; 

B. is a person whose background, reputation or 

associations will not result in adverse publicity 

concerning the Community or a Gaming Enterprise; 

and 

C. is a person whose prior activities, criminal 

record, if any, or reputation, habi t.s r.ind 

associations do not pose a threat to the public 

interest or to the effective regulation of gaming, 

or do not create or enhance the dangers of 

unsuitable, unfair, or illegal practices and 

methods and activities in the conduct of gaming. 

37 
22.411 LICENSING OF A NATURAL PERSON UNDER THE AGE OF 

EIGHTEEN 

The Commission shall not grant a License to an individual 

under eighteen (18) years of age. 

22.412 

A . 

B. 

c . 

BACKGROUND INVESTIGATION 

The Commission shall conduct or cause to be 

conducted an investigation sufficient to make a 

determination of every Application submitted 

pursuant hereto. Background investigations of 

Primary Management Officials and Key Employees 

shall be performed using requirements as stringent 

as those requirements set forth in applicable 

federal regulations. In conducting a background 

investigation, the Commission and its agents shall 

maintain the confidentiality of the identity of any 

person interviewed in the course of the 

investigation. 

Information provided pursuant to Section 22.402 and 

information from other sources shall be used by the 

Commission to conduct background investigations of: 

1 . Primary Management Officials and Key 

Employees, including members of the Board of 

Directors of each Tribal Gaming Enterprise; 

2 . Every Gaming Employee and every employee of 

the Commission and each Commissioner; and 

3 . Manufacturers, suppliers and distributors of 

Gaming Devices, Gaming Equipment and Gaming 

Services. 

The Commission shall forward a copy of the 

Application and a notice of results of the 

background investigation for Key Employees and 

Primary Management Officials to the National Indian 

Gaming Commission as follows: 

1 . Whenever a Key Employee or Primary Management 

Offi d al applies for a License under this 

Title, and before a License is granted under 

Section 22.401(A), herein, the Commission 

shall forward to the National Indian Gaming 

38 
Commission a 

request that 

conducted. 

completed Application and a 

a background investigation be 

2. The Commission shall also forward a notice of 

results of background investigation to the 

National Indian Gaming Commission upon its 

completion or not later than sixty (60) days 

after a Key Employee or Primary Management 

Official begins work at a Gaming Enterprise on 

the Reservation. The notice of results shall 

include the following: 

a. The Applicant's name, date of birth and 

social security number; 

b. The date on which the Applicant began or 

will begin working as a Primary 

Management Official or Key Employee; 

c. A summary of the information presented in 

the investigative report, including 

licenses that have previously been 

denied, gaming licenses that have been 

revoked (even if subsequently 

reinstated), every known criminal charge 

brought against the Applicant within the 

last 10 years of the date of the 

application, and every felony offense of 

which the Applicant has been convicted or 

any ongoing prosecution. 

d. Any other information required by the 

National Indian Gaming Commission. 

3. No Gaming Enterprise on the Reservation shall 

employ or continue to employ a Key Employee or 

Primary Management Official who does not have 

a License within ninety (90) days following 

submittal of his or her Application to the 

National Indian Gaming Commission. 

D. The Commission shall submit to the National Indian 

Gaming Commission, with the notice of results of 

background investigation, a copy of the eligibility 

determination made under Section 22.413 herein for 

each Key Employee and Primary Management Official. 

39 
E. In the e vent the Commission does not issue a License 

to an Applicant who has submi t t ed an Application 

for a License, the Commission: 

F. 

1 . Shall notify the Stat e Gaming Agency; and 

2. Shall forward copies of any non-eligibility 

determinations along with any notice of 

results of background investigations for those 

Applicants who are Key Employees or Primary 

Management Officials to the National Indian 

Gaming Commission for inclusion in the Tribal 

Access Portal System (TAPS) . 

Background investigations of Key Employees 

Primary Management Officials--Description 

Procedures 

and 

of 

The procedures for background i nvestigation o f Key 

Employees and Primary Management Officials are as 

follows: 

1. The Commission is r esponsible for conducting 

background investigations and suitability 

determinations in accordance with the Act and 

the Compact. 

2. The Commission delegates the responsibility to 

and directs and authorizes its Executive 

Director and the Commission investigative 

staff to conduct bac kground investigations and 

suitability determinations and they shall: 

a . Conduct and cause to be conducted 

background investigations; 

b. Review and approve the investigative work 

done; 

c. Report the results 

investigations to the 

Gaming Commission; 

of background 

National Indian 

d. Obtain and process fingerprints; and 

e . Make suitability determinations. 

40 
3. The Commission was established pursuant to 

this Title by the Community Council and the 

Commissioners were selected by the Community 

Council in accordance with Chapter 3 above. 

The Executive Director shall be selected by 

the Commission and the Commission shall have 

the power to terminate the Executive Director. 

The investigative staff shall be hired by the 

Executive Director in accordance with Section 

22.320 of this Title. 

4. The investigative procedure shall include but 

not be limited to the following: 

a. Verify by written or oral communication 

information submitted by applicant. 

b. Inquire into the applicant's prior 

activities, criminal record, if any, and 

reputation, habits and associations; 

interview a sufficient number of 

knowledgeable people such as former 

employers, personal references, and 

others to whom referred in order to 

provide a basis for the Commission to 

make a finding concerning the eligibility 

for employment in a gaming operation. 

c. Document the disposition of all potential 

problem areas noted and disqualifying 

information obtained. 

5. Prepare investigative reports setting forth 

the following: 

a. Steps taken in conducting the background 

inv~stigation; 

b. Results obtained; 

c. Conclusions reached; and 

d. The basis for those conclusions. 

G. Background Investigations of Applicants for Section 

4(b) Licenses-Description of Procedures 

41 
22.413 

A. 

B. 

c . 

1 . The Commission is responsible for conducting 

background investigations and suitability 

determinations in accordance with this Title 

and the Compact. 

2 . The Commission delegates the responsibility to 

and directs and authorizes its Executive 

Director and the Commission investigative 

staff to conduct background investigations and 

suitability determinations for Section 4 (b) 

Licenses. 

3 . The procedures for background investigations 

detailed in Section 22.412(F) (2) herein, 

excluding subsection (c) shall apply. 

4. The investigative procedure set forth in 

Section 22.412(F) (4) herein, shall apply. 

5 . The investigative reporting 

forth in Section 22. 412 (F) (5) 

apply. 

GRANTING A GAMING LICENSE 

procedure set 

herein, shall 

If, within a thirty ( 3 0) day period after the 

National Indian Gaming Commission receives both an 

Application and a notice of results of background 

investigation from the Commission, the National 

Indian Gaming Commission notifies the Commission 

that it has no objection to the issuance of a 

License to a Key Employee or a Primary Management 

Official, the Commission may issue a License to 

such Applicant. 

The Commission shall notify the National Indian 

Gaming Commission of the issuance of a License to 

a Primary Management Official or Key Employee 

within thirty (30) days of issuance. 

The Commission shall respond to a request for 

additional information from the National Indian 

Gaming Commission concerning a Key Employee or a 

Primary Management Official who is the subject of 

an investigative report. Such a request shall 

suspend the thirty (30) day period under Subsection 

42 
22.413(A) until the National Indian Gaming 

Commission receives the additional i nformation. 

D. If, within the thirty (30) day period described 

above the National Indian Gaming Commission 

provides the Commission with a statement i temizing 

objections to the issuance of a License to a Key 

Employee or to a Primary Management Official for 

whom the Commission has provided an Application and 

notice of results of background investigation to 

the National Indian Gaming Commission, the 

Commission shall reconsider the Application, taking 

into account the objections itemized therein. The 

Commission shall make the final decision whether to 

issue a License to such Applicant. 

E. 

22.414 

A. 

B. 

c. 

If the Commission has issued a License to a Primary 

Management Official or Key Employee before 

receiving a statement of objections from the 

National Indian Gaming Commission, the Commission 

shall provide the Licensee wi th written notice and 

a hearing, as required i n Secti on 22 .414. 

LICENSE SUSPENSION AND REVOCATI ON 

If after the issuance of a License, the Commission 

receives from the National Indian Gaming Commission 

information indicating that a Key Employee or a 

Primary Management Official is not eligible for a 

License under Section 22.410 herein or the Act, the 

Commission shall immediately suspend such License 

and shall notify the Key Employee or Primary 

Management Official in writing of the suspension 

and the proposed revocation. 

The Commission shall notify the Licensee of a time 

and a place for a hearing on any proposed revocation 

of a License or Section 4(b) Li cense. The right to 

a revocation hearing vests only when a License is 

granted by the Commission under this Title, as 

approved by the National Indian Gaming Commission. 

Failure of a Licensee to appear at such hearing and 

testify at the time and place designated, unless 

excused, shall constitute grounds for default 

pursuant to Section 22.428 herein. 

43 
D. After a revocation hearing, the Commission shall 

decide whether to revoke, to reinstate, or to take 

other action concerning a License or Section 4(b) 

License. The Commission shall notify the State 

Gaming Agency and the National Indian Gaming 

Commission of its decision, provided that any 

action taken on a Section 4(b) License shall not 

require notice to the National Indian Gaming 

Commission. Notice to the National Indian Gaming 

Commission shall be given within forty-five (45) 

days of the Commission's decision. 

E. In addition to any other sanction which may be 

imposed under this Title, a License or Section 4(b) 

License may be suspended by the Commission, and, 

after notice and hearing as provided in this Title, 

a License or Section 4(b) License may be revoked if 

it is shown that the Licensee: 

1. has knowingly made a materially false or 

misleading statement in any Application for a 

license, in any amendment thereto, or in any 

response to a request by the Commission for 

supplemental information or in connection with 

any investigation of the Commission; 

2. has failed to keep sufficient books and 

records to substantiate any reports required 

by this Title or Regulations of the 

Commission; 

3. has falsified any books or records relating to 

any transaction connected with the operation 

or conduct of Class II or Class III Gaming 

conducted on the Reservation; 

4 . has been convicted of any felony or gaming 

offense; 

5. has interfered with or unduly influenced or 

attempted to interfere or unduly influence any 

legislative or administrative decision or 

process of the Commission or the Community; 

6. has deliberately or substantially failed 'to 

provide information to or answer relevant 

questions of the Commission or its staff or 

44 
22.415 

failed to comply with the provisions of this 

Title or the terms of any License granted 

pursuant hereto; 

7. does not me et the standards established in 

Section 22.410 herein; 

8. has failed to comply with applicable laws or 

regulations of the Communi ty, Regulati ons of 

the Commission, provisions of the Compact, 

regulations of t he National Indian Gaming 

Commission, t h e Act, or other applicable 

federal laws; or 

9. has been elected to the Community Counci l. 

IMMEDIATE SUSPENSION 

If, in the judgment of a majority of Commissioners, the 

public interest, the effective regulation and control of 

gaming or the safe, fair and honest operation and conduct of 

Class II or Class III Gaming on the Reservation r equires the 

immediate exclusion of a Licensee from involvement in such 

gaming, the Commission may immediately suspend a License or 

Section 4 (b) License prior to the conduct of a hearing of the 

matter. Such an immediate suspension may take effect up on 

service of a complaint upon t h e Licensee. 

22.416 COMPLAINT; SERVICE OF PROCESS 

Proceedings to suspend or revoke a License or Section 

4(b) License or to take other disciplinary action against a 

Licensee shall be initiated by the Commission by serving a 

complaint upon the Licensee. The service of process of the 

Commission, including compl aints, subpoe nas, or other process 

may be accomplis hed i n the same manner as similar process 

i ssued by the Courts of the Gi l a River Indian Community or i f 

served outside the boundaries of the Reservation, then 

according to the applicable l ocal rules of civil procedure. 

The Commi ssion may include in its complaint a request for the 

imposition of fines, as authorized under Section 22. 431. 

22.417 [deleted] 

45 
22.418 SUBPOENAS 

At the request of the Licensee for good cause shown, or 

on its own motion, the Commission shall issue subpoenas for 

the attendance of witnesses at depositions and at hearings, 

for medical or physical examination, and for the production 

of papers, books, records, and documents. 

22.419 HEARING, WRITTEN DECISION 

A. Hearings of the Commission shall be held and 

concluded without unreasonable delay. 

B. Following a hearing, the Commission shall timely 

issue a decision in writing and shall include 

findings of fact and conclusions of law in support 

of its decision. The Commission shal l issue its 

decision within s ixty { 60) days of the hearing . 

c. The Licensee shall be informed of the decision and, 

in the event of a suspension or revocation of his 

or her License or Section 4 {b) License, of the 

effective date of the suspension or revocation 

ordered . 

D. 

22.420 

The State Gaming Agency shall have the opportunity 

to participate in a h earing regarding the 

suspension or revocation of a License if the State 

Gaming Agency has provided the Commission with a 

recommendation on the suspension or revocation of 

the License. 

SURRENDER OF LICENSE 

When the Commission suspends or revokes a License, or 

Section 4{b) License, the Licensee shall surrender the 

License, Section 4(b) License to the Commission on or before 

the effecti ve date of the suspension or revocation. No 

License or Section 4 (b) License shall be valid as of the 

effective date of an ordered suspension or revocation, 

whether or not the License or Section 4(b) License is actually 

surrendered. 

22.421 

A. 

ADDITIONAL SANCTIONS 

Upon a determination to suspend or revoke a License 

or Section 4 (b) License and in addition to any other 

46 
B . 

22.422 

A. 

B. 

c . 

penalties imposed, the Commission may declare a 

Licensee ineligible to: 

1 . Participate, directly or indirectly, in the 

operation or conduct of Class II or Class III 

Gaming anywhere on the Reservation; or 

2 . Apply for a License or Section 4 (b) License 

within the periods provided in 22.406(C). and 

22.408. 

A declaration of ineligibility by the Commission 

may be extended to, for cause shown and after notice 

and hearing, include any Primary Management 

Officials, Key Employees, officers and/or directors 

of the Licensee and any of its subsidiary 

organizations, parent organizations, or 

affiliates. 

ADVERSARY PROCEEDINGS OF THE COMMISSION 

Service of Complaint Upon referral by the 

Commission the Executive Director shall institute 

an adversary proceeding against a Licensee and 

shall prepare and serve the complaint upon the 

respondent either personally or by certified mail 

at his or her address on file with the Agency. 

Proof of service may be provided by a certificate 

or affidavit of service, which shall be signed by 

the person effecting service and specify the date 

and manner in which service was made. 

Contents of Complaint - The complaint issued in 

relation to an adversary proceeding must be in 

writing and set forth in ordinary and concise 

language the acts or omissions which the respondent 

is believed to have committed. The complaint must 

cite the sections of law or regulation which the 

respondent is alleged to have violated. 

Answer - The respondent shall file an answer to the 

complaint with the Commission within twenty (20) 

days after service of the complaint. 

47 
1. In his or her answer the respondent must : 

a. state i n short and plain terms his or her 

defenses to each claim asserted; 

b. admit or deny each and every fact alleged 

in the complaint; 

c. state which allegations he or she is 

without knowledge or information 

sufficient to form a belief as to their 

truth. Such a llegations shall be deemed 

denied; and 

d. affirmatively set forth any matter which 

constitutes an avoidance or affirmative 

defense. 

2. The respondent may request a hearing in h is or 

her answer to the complaint. Failure to 

demand a heari ng in the answer constitutes a 

waive r of that right but, at the Commission's 

discretion, a hearing not requested in the 

respondent ' s answer may be granted. 

3. Failure to file an answer constitutes an 

admission by the respondent of all facts 

alleged in the complaint. The Commission may 

take action based on such an admission and on 

other evidence without further notice to the 

respondent. 

D. Setting of Hearing - The Chair of the Commission 

shall serve a notice of the hearing date within 

fourte en (14) days following receipt of 

respondent's answer. 

E. Appearance Through Counse l 

1 . Parties to proceedi ngs governed by this Title 

may appear personally or through an attorney, 

except that the parties mu st themselves attend 

any hearing on the merits unl ess such 

attendance is waived in advance by the 

Commission. 

48 
2. Once a party appears through an attorney, all 

future service of notices, motions, orders, 

decisions or other papers shall be made upon 

the attorney. 

3. When a party is represented by an attorney, 

the attorney may sign all motions, opposition, 

notices, requests, and other papers on behalf 

of the party. 

4. The Executive Director may appear by and have 

the assistance of counsel. 

F. Prehearing Conferences 

1. After the respondent files an answer to the 

complaint, the Chair of the Commission may 

direct the parties to participate in a 

conference or conferences before the hearing 

on the merits, for such purposes as expediting 

the disposition of the action, resolving 

discovery issues, and facilitating the 

settlement of the case. 

2. The participants at a prehearing conference 

shall be prepared to consider and act to 

address any or all of the following, as 

directed by the Chair of the Commission: 

a. the formulation and simplification of the 

issues; 

b. the necessity or desirability of 

amendments to the complaint or answer; 

c. the possibility of obtaining admissions 

of fact which wi ll avoid unnecessary 

proof, stipulations reqarding the 

admissibility or authenticity of 

documents, and advance rulings from the 

Chair of the Commission regarding the 

admissibility of evidence; 

d. the avoidance of unnecessary findings of 

proof and evidence; 

49 
e. the identification of witnesses and 

documents, the need and schedule for 

filing and exchanging prehearing briefs, 

and the date or dates for further 

conferences and for the hearing on the 

merits; 

f. the possibility of settlement; 

g. the disposition of pending motions; 

h. the possibility that all evidence can be 

submitted by affidavits, transcripts, 

and other documents; and 

i. such other matters as may aid in the 

disposition of t he action. 

3. At a time designated by the Chair of the 

Commission, the respondent and the Executive 

Director sha ll set forth in a written 

prehearing s tatement, to be filed in the 

proceeding r ecord, any matter no longer in 

dispute, and any matters for which no 

agreement has been reached and which require 

a r u ling. 

G. Discovery: Mandatory Exchanges 

Within twenty (20) days following the date on which 

respondent's answer is received by the Commission, 

or such other date as the parties may agree or the 

Chair of the Commission may order, t he respondent 

and the Executive Director shall personally confer 

and shall: 

1. Exchange copi es of a ll documents then 

reasonably available to a party which are then 

i ntended to be offered as evidence in support 

of the party' s case in chief; 

2. Identify, describe , or produce all tangible 

and reasonably available things, o ther than 

documents, which are intended to be offered as 

evidence in support of the party 1 s case in 

chief, and upon request, arrange for the 

opposing party or parties to i nspect, copy, 

50 
22.423 

test, or sample the same under the supervision 

of the parties; 

3 . Exchange written lists of persons each party 

intends to call as a witness in support of the 

party's case. Each witness shall be 

identified by name, if known; position; 

business address and a brief description of 

the purpose for which the witness will be 

called. If no business address is available, 

the party shall provide a home address for the 

witness, or shall make the witness available 

for service of process. 

4. The parties shall bear a continuing obligation 

to produce documents, witness lists, and other 

matters governed by this Section as such 

become identified by and available to the 

parties. A party may amend a response by 

informing the adverse party that documents 

previously produced or witnesses previously 

listed will not be introduced in that party's 

case in chief. 

CONDUCT OF ADVERSARY HEARINGS 

The following procedures shall apply to adversary 

proceedings conducted under this Title. 

A. A respondent may present and argue any legal 

objections to the complaint set forth in his or her 

answer. 

B. The Executive Director will present his or her 

opening statement on the merits. The respondent 

will then be permitted to make an opening statement 

of the defense, or he or she may reserve the same 

until commencement of the presentation of the case 

for the respondent. 

C. The Executive Director will then present his or her 

case in chief in support of the complaint. 

D. Upon conclusion of the Executive Director's case in 

chief, the respondent may move for dismissal of the 

complaint. The Commission may hear arguments on 

51 
the motion, or may grant, deny, or reserve decision 

thereon, with or without argument. 

E. If no motion to dismiss is made, or if such motion 

is denied or decision reserved thereon, the 

respondent shall thereupon present the case for the 

respondent. 

F . Upon conclusion of the respondent's case, the 

Executive Director may present his or her case in 

rebuttal. 

G. Upon conclusion of the Executive Director's case in 

rebuttal, the Executive Director shall present his 

or her closing argument, the respondent may present 

answering argument, and thereafter the Executive 

Director may present rebuttal argument. Thereupon 

the matter will stand submitted for decision. 

H. Any member of the Commission may ask questions of 

witnesses, parties, or counsel and may request or 

allow additional evidence at any time, including 

additional rebuttal evidence. 

I . Objections asserted by the parties may be 

immediately ruled upon by the Commission or taken 

under advisement and the hearing continued. 

J . The Commission may meet in closed session with, or 

without, counsel to deliberate concerning any 

ruling and the final decision in the proceeding. 

All rulings and decisions shall be announced in 

open session. 

K. The open sessions of an adversary hearing shall be 

recorded either by audio recording or by 

stenographic means. The transcript or audio tape 

shall be made a part of the hearing record. 

L . The Commission may delegate responsibility for 

conducting prehearing and hearing proceedings, in 

whole or in part, to a hearing officer. A hearing 

officer that conducts a hearing on behalf of the 

Commission shall issue a written decision which the 

Commission may adopt as the decision of the 

Commission. If the Commission does not adopt a 

hearing officer's decision, then the Commission 

52 
22.424 

A . 

B. 

22.425 

shall establish such further proceedings as may be 

required to enter a final decision and shall 

provide notice of the same to the Licensee. 

EVIDENCE: ADMISSIBILITY 

Reliable evidence will be admitted in a proceeding. 

Evidence is reliable if it is the sort of evidence 

on which responsible persons are accustomed to 

relying upon in the conduct of serious affairs or 

if the evidence would be admissible in a court of 

law. 

Irrelevant or unduly repetitious evidence shall be 

excluded upon request of a party or the 

Commission's own initiative. 

EVIDENCE: AUTHENTICATION AND IDENTIFICATION 

Documentary and other physical evidence may be 

authenticated or identified by any method through which the 

matter in question can be shown to be what its proponent 

claims it to be. 

22.426 

A . 

B. 

c. 

FAILURE OR REFUSAL TO TESTIFY 

If a respondent fails to testify in his or her own 

behalf or asserts a claim of privilege against 

self-incrimination with respect to any question 

propounded to him or her at a deposition or at a 

hearing, the Commission may infer therefrom that 

such testimony or answer would have been adverse to 

his or her case. 

If any person controlling, controlled by, or under 

common control with, or employed by, or an agent 

of, a respondent fails to respond to a subpoena, or 

asserts a claim of privilege against selfincrimination with respect to any question 

propounded to him or her, the Commission may, 

taking into account all of the circumstances, infer 

that such testimony would have been adverse to the 

respondent. 

If, on a ground other than a properly invoked 

privilege against self-incrimination, a respondent 

fails to respond to a subpoena, or fails or refuses 

53 
2 2.427 

to answer a material question propounded to him or 

her, the Commission may deem such failure or 

refusal to be independent grounds for granting the 

relief requested by the Executive Direc tor in the 

comp laint with respect to that respondent . 

CONTINUANCES 

A matter shall not be conti nued except f or good c a use 

shown. A motion to continue a hearing must be made at least 

ten (10) days prior to the hearing date and may be granted or 

denied in the discretion of the Chair of the Commission. 

22.428 DEFAULTS 

Failure of a respondent to fi l e an answer to the 

complaint or to request a hearing, to appear personally at a 

hearing on the merits or to appear at a prehearing conference 

without having obtained a waiver of appearance, shall 

constitute an admission of all matters and facts contained in 

the complaint filed with respect to such respondent , and shall 

be deemed a waiver of the right to an evidentiary hearing. 

In such cases the Commission may take action based upon such 

admission or upon any other evidence, including affidavits, 

and without any further notices whatever to respondent. For 

good cause shown, t he Commissi on may set aside any act ion it 

has taken based upon a default. 

22.429 STANDARDS OF PROOF 

Findings of fact shall be based upon a p reponderance of 

the evidence standard, that is, a finding of fact must be 

supported by evidence that, when considered and compared with 

opposing evi dence, h as more convi ncing force and produces in 

the mi nds of the Commissioners a belief that wha t is sought 

to be proved is more likely true t han not true. 

22.430 DECISIONS OF THE COMMISSION 

Final decisions of the Commission regarding disciplinary 

proceedings shall be in writ ing, issued wi t hin sixty (60) 

days after the hearing and served upon the parties personally, 

by certified mai l , return n=?c:e.ipt requested. A copy shall 

also be provided to the Governor of the Community at the same 

time. 

54 
22.431 

A. 

B. 

c. 

22.432 

PENALTIES 

The Commission may suspend, revoke, limit or 

condition the License or Secti on 4 (b) License of 

any person or Entity, or order the suspension or 

termination of any Gaming Empl oyee found to have 

violated the provisions of this Title, the Compact 

or the Regulations. In addition, or as an 

alternative to suspending, revoking, limiting, or 

conditioning a License or Section 4(b) License of 

any person or Entity, or suspending or terminating 

a Gaming Employee, the Commission may impose a 

civil fine of not more than $5, O 00 for each separate 

violation of the Title, Compact, or Commission 

Regulations. All fines must be paid to the 

Commission within fifteen (15) days following the 

date on which the order to pay the fine is issued 

unless otherwise ordered by the Commission. All 

fines received by the Commission shall be deposited 

in an authorized account designated by the 

Commission and Community Treasurer. 

I f, instead of suspendi ng, revoking, limiting, o r 

conditioning the License or Section 4 (b) License, 

of a Licensee or terminating or suspending a Gaming 

Employee, the Commission i mposes a fine, the 

Licensee or Gaming Employee may request a hearing 

before the Commission to challenge the fine. The 

Commission shall promulgate regulations 

establishing the procedures for a hearing on a 

challenge to a Commission fine. 

The Commission is authorized to take the lead in 

imposing fines on any persons, Gaming Employees, 

Commission employees, Management Contractors, 

financiers, Manufacturer, Distributor, and persons 

providing Gaming Services that are certified by the 

State Gaming Agency and have violated the Compact. 

RIGHT TO APPEAL TO COMMUNITY COURT 

A Licensee may appeal a final decision of the Commission 

to i mpose a fine of five hundred dollars ($500) or more or to 

suspend or revoke a License or Section 4(b} License, but not 

the deni al of an Application, in the Community Court at any 

time within thirty (30) days after the effective date of such 

55 
final decision. A decision of the Community Court of last 

resort shall be final. 

22.433 RETENTION OF RECORDS 

The Commission and Gaming Enterprise shall retain 

applications for employment containing all of the information 

listed in Section 22.402 (B) (1) - (14) when an individual is 

employed in a Primary Management Official or Key Employee 

position and retain any report of background investigations 

and eligibility determinations of Primary Management 

Officials and Key Employees for a period of no less than three 

(3) years from the date of termination of employment. 

CHAPTER FIVE - CONDUCT OF CLASS II AND CLASS III GAMING 

22.501 FINANCIAL PRACTICES AND REPORTING OF GAMING 

ENTERPRISES; MONTHLY REPORTS 

On or before the third Wednesday of each month, the Chief 

Executive Officer of each Gaming Enterprise shall file with 

the Commission and the Treasurer of the Community the 

financial statements for a Gaming Enterprise for the 

preceding calendar month prepared in accordance with 

Generally Accepted Accounting Principles. The Chief 

Executive Officer shall attest in writing that the financial 

statements and schedules are complete and accurate based upon 

information reasonably known at the time. 

22.502 MAINTENANCE 

INFORMATION 

OF GAMING ENTERPRISE FINANCIAL 

A. Each Gaming Enterprise shall be responsible for 

maintaining financial books and records necessary 

for the development and substantiation of financial 

reports made to the Commission. 

B. The failure of the Chief Executive Officer to file 

a report required by the Commission within the time 

allowed, or if a report is not fully, accurately 

and truthfully completed, is cause for suspension 

of the Chief Executive Officer's License. 

22.503 

A. 

MAINTENANCE OF BOOKS AND RECORDS; COMMISSION ACCESS 

A Gaming Enterprise shall maintain books and 

records relating to authorized Gaming Activities 

56 
and any other activities and showing the condition 

of the business and all transactions in accordance 

with Generally Accepted Accounting Principles. 

Such books and records shall be suitable for audit 

pursuant to Generally Accepted Auditing Standards. 

A Gaming Enterprise shall maintain such books and 

records, either, (a) throughout the term of the 

Compact, during the pendency of any litigation 

arising from the Compact, and for one ( 1) year 

following the termination of the Compact; or (b), 

as provided in a written agreement between the 

Commission and the State, as authorized under 

Section 22. 319 (B) . The Gaming Enterprise shall 

maintain all records it creates or receives 

relating to the operation and management of Gaming 

Activity and any other activity. 

B. The Commission and the Community Treasurer shall 

have access to the books and records prescribed 

hereunder and shall be entitled to examine them 

without notice at any time during ordinary business 

hours or hours during which gaming is conducted. 

22.504 

A. 

B. 

c. 

ALLOWABLE OPERATING EXPENSES 

No item of expense shall be incurred or paid by a 

Gaming Enterprise in connection with the operation 

or conduct of Class II or Class III Gaming, or any 

other activity, except business related expenses of 

reasonable amounts. 

Expenses, revenue and transactions shall be 

recorded under classifications accepted in the 

gaming industry and by the Governmental Accounting 

Standards Board that shall be summarized in a chart 

of accounts prepared by the Gaming Enterprise and 

provided to the Commission. The Gaming Enterprise 

shall notify the Commission in writing in advance 

of any changes in the chart of accounts. 

No expenses shall be incurred except in accordance 

with the budget of the Gaming Enterprise which has 

been approved by its Board of Directors in 

accordance with procedures required by the 

Community Council. 

57 
D. No extraordinary expenses or obli gations not in the 

ordinary course of business, such as t o expand a 

facility, to purchase or lease rea l property, o r to 

encumber the property or revenue of a Gaming 

Enterprise may be i ncurr ed or underta ken except 

upon the prior approval of the Community Council. 

22.505 DEPOSIT OF GROSS RECEIPTS; PAYMENT OF OPERATING 

EXPENSES 

All gross receipts of Gaming Enterprises shall be 

deposited in a single account of the Gaming Enterprise. All 

operating expenses shall be withdrawn from such account by 

consecutively numbered checks duly signed by two authorized 

signatories of the Gaming Enterprise. No check issued by a 

Gaming Enterprise located on the Reservation shall be drawn 

to "cash" or a fictitious payee. The foregoing however shall 

not restrict the Gaming Enterprises board of director's 

authority to establish such additional bank accounts that in 

its prudent judgment enhances the accountability of its 

business activities. Examples of such additional bank 

accounts are accounts for payrol l, slots jackpot, keno 

prizes, bingo prizes, and for ATM transactions. 

22.506 

A. 

ANNUAL AUDIT 

A Gaming Enterprise's financial statements shall be 

audited not less than annually by an independent 

certified public accountant. Either the firm or 

all independent certified public accountants 

engaged to do the audit shall be licensed by the 

Arizona State Board of Accountancy. The 

independent certified public accountant shall issue 

a report on audited financial statements of the 

Gaming Operation. The complete report and audit 

shall be delivered to the Commission and a report 

and audit pertaining to the Gaming Operation shall 

be delivered to the National Indian Gaminq 

Commission both within one hundred twenty ( 12 O) 

days after the close of the Fiscal Year of the 

Gaming Enterprise . Within one hundred twent y (120) 

days after the close of the Fiscal Year of the 

Gaming Enterprise, the Commission shall provide 

copies of the audited financial statement, any 

reports and any management letters pertaining to 

the Gaming Operation to the State Gaming Agency. 

58 
B. The cost of the annual audit shall be borne by the 

Gaming Enterprise. The independent certified 

public accountants shall be retained to perform the 

audit under an agreement in writing that names the 

Treasurer of the Community, the Commission, and the 

Board of Directors of the Gaming Enterprise as 

clients; that requires the accountants to consult 

with and report fully the results of their audit to 

their clients; and that sets out the scope of the 

audit as agreed to by the Commission, the Gaming 

Enterprise, and the Treasurer of the Community. 

C. The independent certified public accountant shall 

perform an annual financial statement audit in 

accordance with Generally Accepted Auditing 

Standards and may be engaged by the Commission or 

the Gaming Enterprise to audit other functions of 

the Gaming Enterprise, including, but not limited 

to the following: 

22.507 

1. Audit or review the books and records of the 

Gaming Enterprise; 

2 . Review the accounting methods and procedures 

used by the Gaming Enterprise; 

3 . Review and observe methods and procedures used 

by the Gaming Enterprise to count and handle 

cash, Chips, negotiable instruments and 

credit instruments; 

4. Examine the Gaming Enterprise's records and 

procedures in extending credit; 

5 . Examine and review the Gaming Enterprise• s 

internal control procedures and compliance 

therewith; and 

6 . Examine all accounting and bookkeeping records 

and ledger accounts of the Gaming Enterprise. 

AUDIT OF CONTRACTS 

Any contract with a Gaming Ent.erprjse for supplies, 

services, or concessions, which exceeds $25, 000 annually, 

except contracts for professional legal and accounting 

59 
services, s hal l be spec ifically inc l uded within the a nnual 

outside audit. 

22.508 DISPOSITION OF NET CASH RECEIPTS 

The net cash recei p ts derived from the conduct of Class 

II and Class III Gaming conducted on the Reservation, 

including receipts from any source , shall be deposited into 

the general fund of the Community on a dai ly basis, subject 

to a reasonable reserve for operations. 

22.509 COMPLIANCE WITH THE INTERNAL REVENUE CODE 

Each Gaming Enterprise shall maintain a permanent record 

containing the name and address of each player who receives 

a prize or payoff in any instance required by, and in 

accordance with, the Internal Revenue Code of 1986, as 

amended. 

22.510 [deleted) 

22.511 NAME TAGS 

All Licensed Gaming Empl oyees and persons who operate or 

conduct, or assist in operation or conduct of Class II or 

Class III Gaming shall wear a single Commission issued legible 

tag e videncing their full name, License type, Commission 

License number, State Gaming designated numbe r and expiration 

date. All Casino Resort Employees shall wear l egible tags 

evi dencing their names. 

22.512 QUALIFICATION FOR EMPLOYMENT; TESTING 

The provisions of this Section 22.512 shall not apply to 

Casino Resort Employees who shall be subject to the separate 

requirements of Chapter 11 herein. Employees of Gaming 

Enterprises shall be of good moral character, shal l not have 

been convicted of any felony or gaming offense, and, as a 

condition of their contract of employment, shall agree to any 

lawful means of testing for truthfulness, and for physical or 

chemical evidence of controlled substances or alcohol , 

including, but not limited to polygraph testing , in 

accordance with applicable federal law. The Gaming 

Ent~rprise must not employ any appl icant for employment, and 

shall terminate the employment of any current Gaming 

60 
Enterprise employee, if it is determined that the applicant 

or employee: 

A. 

B. 

c. 

22.513 

has been convicted of any felony or gaming offense; 

has knowingly and willfully provided materially 

important false statements or information or 

omitted materially important information on his or 

her employment application or background 

questionnaire; or 

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. 

PREFERENCE IN EMPLOYMENT 

The Gaming Enterprise shall comply with GRIC Title 12, 

Labor Code to provide preference in hiring, contracting 

and subcontracting to Indians. The Gaming Enterprise 

shall adopt and comply with a Community member 

employment preference policy. 

The Gaming Enterprise shall provide sufficient training 

opportunities to all employees, and shall provide 

employees who are Community members with sufficient 

training opportunities to ensure that Community members 

acquire the experience and skills necessary to assume 

management and supervisory positions in the Gaming 

Enterprise within projected reasonable timeliness. A 

Gaming Enterprise shall not, for the purpose of avoiding 

the requirement of this Section, hire non-members as or 

through independent contractors. A Gaming Enterprise 

shall retain a copy of all reports required by GRIC 

Title 12 Labor Code which shall be available for 

inspection and copying by the Commission. 

22.514 ADVERTISEMENT OF POSITIONS 

All positions and vacancies in Gaming Enterprises 

located on the Reservation shall be posted in all Gaming Areas 

61 
and at such other reasonable l ocations as are selected by the 

Commission for at least seven (7 ) days pri or to filling the 

position or vacancy. The position notices s hall contain a 

statement of minimum job qualifications, job duties, hours of 

work, compen sation and shall outline the application 

procedure, i ncluding the application deadline. 

22. 515 PERSONNEL POLICIES 

Each Gaming Enterprise shall a d opt and provide to each 

employee written personnel policies which shall provide a 

griev ance procedure providing for an employee's right to 

receive a written statement of reasons in the event of 

dismissal or adverse personnel action. 

22.516 REPORT OF LEASES 

Each Gaming Enterprise shall report to the Commission 

all leases and amendments thereto to which it is a party not 

later than thirty (30) days foll owi ng the effective date of 

the lease or any amendment and shall include: 

A. 

B. 

c. 

22.517 

the name, address, and a brief sta tement of the 

nature o f the business of the Lessor; 

a brief description of the material terms of the 

Lease; and 

a brief description of any business relationships 

between the operating licensee and the Lessor other 

than by the Lease. 

EMPLOYEE REPORT 

Each Gaming Enterprise shall submit a quarterly employee 

report to the Commission on a form to be furnished by the 

Commission . The report shall identify the job classification 

for each Licensee engaged in Gaminq Activity and for each 

whether: 

A. t he individual is directly or indirectly engaged in 

the administration or supervision of t h e Gaming 

Enterprise or securi ty activities of the Gaming 

Enterprise; 

B. the individual is compensated in any manner in 

excess of $50,000 per annum; 

62 
C. the i ndi v idual has authority to hire or terminate 

Gaming Employees; 

D. the individual has the authori ty to supervise or 

direct a shift of any gaming or security activity, 

including but not limited to supervision or 

direction of the pit area, keno or bingo games, 

slot machines, race or sports books, Pari-Mutuel 

operations, or has the authority to supervise or 

direct such persons; 

E. the individual regularly participates in cash 

counts more frequently than one day each week or 

participates in the count more than ten (10) days 

in any thirty (30) day period; 

F. the individual may approve or extend to 

Patrons complimentary services other 

complimentary beverages; 

casino 

than 

G. the individual supervises or directs other 

employees engaged in the control of gaming assets 

and revenues and record keeping, including the 

recording of cash and evidences of indebtedness, 

and the maintenance, review or control of the 

records, accounts, and reports of transactions 

which are required to be kept; and 

H. the person indi victual ly or as part of a group 

formulates management policy. 

22.518 LOANS TO GAMING ENTERPRISES 

Whenever a Gaming Enterprise intends to apply for or 

receive , accept, or make use of any cash, property, credit, 

guarantee , other form of security loaned to or provided for 

a Gaming Enterprise or on behalf of a Gaming Enterprise, it 

shall notify the Commission at least thirty (30) days prior 

to such transaction . 

A. Notice of such a transaction shall be submitted on 

a form provided by the Commission and shall 

include: 

1. the names and addresses of all parties to the 

transaction; 

63 
B. 

c. 

22. 51 9 

A. 

B. 

c. 

D. 

2. the amount and source of the funds , property 

or credit to be rece ived o r applied for; 

3. the nature a nd amount of security to be 

provided by or on behalf of the Gaming 

Ente rprise; and 

4. the purpose of the transac tion. 

The report shall be accompanied or supplemented b y 

copies of documents, and such other suppor ting data 

as the Commission may require. 

If, after s uch investigation as the Commission 

deems appropriate, and before the transaction is 

completed, t he Commission finds that the 

transaction is inimical to the health, safety, 

morals, good o r der and g eneral welfare of the 

Community, or would reflect, or tend to reflect, 

discredit upon the Community, the Commission shall 

order tha t t h e transaction not be completed o r that 

i t be modified upon such terms and condi tions as it 

may deem appropriate. 

AUTHORIZED GAMING ; OPERATIONAL REQUIREMENTS 

It is the policy of the Community to require that 

Gaming Acti vity licensed under t h is Title be 

conducted in a manner suitable to protect the 

public health, safety, morals, good order and 

general welfare of the Community. 

The Gaming Enterprise is authorized to conduct 

gaming in accordance with Community and federal law 

and the Regulations of the Commission. 

Responsibility for the employment and maintenance 

of sui table methods of operation re sts with the 

Gaming Enterprise and willfu l or persistent use or 

tol eration of methods of operation deemed 

unsuitable will constitute grounds for License 

revocation or other adverse action. 

The Gaming Enterprise shal l promptly notify the 

Commission of any non-compliance with the Title, 

Regulations, the Compact, or t he Act or any othe r 

64 
22.520 

A. 

B. 

c. 

22.521 

matters adversely affecting the integrity of Gaming 

Activity or the integrity of the Gaming Area. In 

addition, the Gaming Enterprise shall promptly 

notify the Commission of any material noncompliance with the Internal Control System. The 

Gaming Enterprise shall promp tly notify the 

Commi ssion of any Gaming Enterprise employee 

termination and the reason for the termination . The 

Gaming Enterprise shall require that upon 

termination, a former Gaming Enterprise employee 

immediately return any Gaming Enterprise property. 

PUBLICATION OF PAYOFFS 

Each Gaming Device shall display to the player, at 

all times the Gaming Device is avai lable for p layer 

input, payoff schedules or awards applicable to 

that Gaming Device, whether displayed directly or 

as a menu item. 

Payoff schedules or awards applicable to every 

Class II or Class III game shall be displayed by 

the Gaming Enterprise at all times either on the 

card table or in a conspicuous place readily 

accessible to all players. 

Payoff schedules or award cards must accurately 

state actua l payoffs or awar ds applicable to t he 

particular game or device and shall not be worded 

in such manner as to mislead or d eceive the public. 

Maintenance of any misleading or d eceptive matter 

on any payoff schedule or award card or failure on 

the part of the Gaming Enterprise to make payment 

in strict accordance with posted payoff schedules 

or a ward cards may be deemed a n unsuitable method 

of operation. 

GAMING BY PRINCIPALS AND EMPLOYEES 

The following persons licensed by the Commission, are 

not permitted to play, either directly or indirectly through 

another person, any Class II or Class III game conducted on 

the Reservation : 

A. Members of t he Management Board of a Gaming 

Enterprise; 

65 
B. 

c. 

D. 

22.522 

A. 

B. 

c. 

D. 

E. 

Gaming Commissioners and Gaming Commission Staff; 

Security personnel of a Gaming Enterprise; and 

Other Gaming Employees who actively participate in 

the management or conduct of any licensed games as 

designated by the Gaming Commission on a list of 

such Gaming Employees provided to the Gaming 

Enterprise. 

TRANSFER OF INTEREST BY LICENSEES 

A Licensee who proposes to transfer or assign any 

portion of his or her interest in an Entity required 

to be licensed by the Commission, to another, shall 

give written notice of such proposed transfer or 

assignment to the Commission, including the names 

and addresses of the parties, the extent of the 

interest proposed to be transferred or assigned and 

the consideration therefor. 

The proposed transferee shall furnish to the 

Commission a sworn statement setting forth the 

source of funds to be used by him or her in 

acquiring such interest and shall also furnish to 

the Commission such further information as may be 

required. 

If the Commission does not give notice of 

disapproval of the proposed transfer of interest 

within fifteen (15) days, the proposed transfer of 

interest will be deemed approved and the transfer 

of interest may then be effected in accordance with 

the terms of transfer as submitted to the 

Commission. The parties shall immediately notify 

the Commission when the transfer of interest is 

actually effected. 

A Gaming Enterprise may not transfer or assign any 

interest in the Gaming Enterprise, any Gaming 

Activity, its License, or any future revenue 

without prior approval of the Community Council. 

Any License, Section 4{b) License, or Casino Resort 

Permit held by a natural person may not be assigned. 

66 
22.523 

A. 

B. 

c . 

22.524 

A. 

B. 

GAMING DEVICES 

No Gaming Device shall be made available for 

by the public unless the Gaming Device has 

leased, purchased or otherwise obtained 

Manufacturers and Distributors licensed by 

Commission. 

play 

been 

from 

the 

The Commission shall require each licensed 

Manufacturer and Distributor to verify under oath, 

on forms provided by the Commission, that the 

Gaming Devices manufactured or distributed by them 

for use or play at Gaming Enterprises on the 

Reservation meet the requirements of this Title and 

the Compact. 

The Commission may require at reasonable times the 

testing of any Gaming Device to ensure compliance 

with the requirements of this Title and the 

Compact. Such testing shall comply with the 

requirements of the Compact and any Regulations. 

Any such testing shall be conducted by persons 

selected by the Commission and shall be at the 

expense of the licensed Manufacturer or the Gaming 

Enterprise. 

REGULATION OF CHIPS 

Chips used at Gaming Enterprises located on the 

Reservation must be designed, manufactured, and 

constructed in compliance with the Compact, all 

applicable statutes, Regulations, and policies of 

the United States, Arizona and other states so as 

to prevent counterfeiting of the Chips to the 

extent reasonably possible. Chips must not 

deceptively resemble any current or past coinage of 

the United States or any other nation. 

The Gaming Enterprise may not issue Chips for use 

in a Gaming Area or sell or redeem Chips unless the 

Commission has approved in writing the Gaming 

Enterprise's specifications for the Chips. Such 

specifications shall meet the requirements of the 

Compact and Regulations, including, but not limited 

to, the following requirements: 

67 
1 . the name of the Gaming Enterprise must be 

inscribed on each side of each Chip; 

2. the value of the Chip must be inscribed on 

each side of each Chip, other than Chips used 

exclusively at roulette; 

3 . the manufacturer's name or a distinctive logo 

or other mark identifying the manufacturer 

must be inscribed on at least one side of each 

Chip; 

4 . each Chip must be designed so that when 

stacked with Chips of other denominations and 

viewed on closed-circuit, black and white 

television, the denomination of the Chip can 

be distinguished from that of other Chips in 

the stack; 

5. Within one (1) year of the Effective Date of 

the Compact, the Gaming Enterprise shall 

comply with the following standards: 

a . A five-dollar Chip shall be predominantly 

red; 

b . A twenty-five-dollar Chip shall be 

predominantly green; 

c. A one-hundred dollar Chip shall be 

predominately black; 

d. A five-hundred dollar Chip shall be 

predominately purple; 

e . Tournament and promotional Chips may be 

of any color; 

f . Chips designed for play of specific games 

may be of any color, or in the colors 

required by the rules of the game; and 

g. Other Chip denominations may be used with 

approval of the Commission and the State 

Gaming Agency. 

68 
c. Specifications for Chips - Unless the Commission 

approves otherwise, Chips must be disk shaped, must 

be .130 inch thick, and must have a diameter of: 

D. 

22.525 

A. 

1 . 1. 55 inches, for Chips used at games other 

than baccarat; 

2 . 1.55 inches or 1.6875 inches, for Chips used 

at baccarat; 

3. 1.6875 inches, for Chips used exclusively at 

Race Books and Sports Pools or other counter 

games; and 

4 . Each side of each Chip 

exclusively at a Race Book, 

particular game must bear 

clearly indicating that use 

restricted to that game. 

Reserved: 

USE OF CHIPS 

The Gaming Enterprises shall: 

issued for use 

Sports Pool or 

an inscription 

of the Chip is 

1. Comply with this Title, Compact, Regulations, 

and all applicable statutes and regulations 

pertaining to Chips; 

2. Sell Chips only to Patrons of the Gaming 

Enterprise and only at their request; 

3 . Promptly redeem its own Chips from its 

Patrons; 

4. Post conspicuous signs at the Gaming 

Enterprise notifying Patrons that federal law 

prohibits the use of the Licensee's Tokens 

outside the facility for any monetary purpose 

whatsoever; and 

5. Take reasonable steps, including examining 

Chips and segregating those issued by another 

Gaming Enterprise to prevent the issuance to 

its Patrons of Chips issued by another Gaming 

Enterprise. 

69 
B. 

c. 

D. 

22.526 

Gaming Enter prises shall not accept Chips as 

payment for any good or services offered at the 

Gaming Enterprises with the exception o f the 

specific use for which the Chips were issued, a nd 

shall not give Chips as change in any oth er 

transaction. 

Gaming Enterprises shall not redeem its Chips if 

presented by a person whom t he Gaming Enterprise 

knows or reasonably should know i s not a Patron of 

the Gaming Enterprise, except that a Licensee shall 

promptly redeem its Chips if presented by an 

employee of the Gaming Enterpri ses who presents the 

Chips in the normal course of employment. 

Chips, the use of which is restricted to uses other 

than at specified table games may be redeemed by 

Gaming Enterprises at table games or non-specified 

table games if the Chips are presented by a Patron, 

and the Gaming Enterprises redeems the Chips with 

Chips issued for use at the game , p laces the 

r edeemed Chips in the table's drop box, a nd 

separa tes and properly accounts for t h e redeemed 

Chi ps during the count performed pursuant to the 

Internal Control System. 

REDEMPTION AND DISPOSAL OF DISCONTINUED CHIPS 

If the Gaming Enterprises permanently removes from use 

or replaces approved Chips at the Gaming Enterprise it shall 

redeem discontinued Chips that remain outstanding at the time 

of discontinuance pursuant to a plan prepared by the Gaming 

Enterprises and approved by the Commission and the State 

Gaming Agency. 

22.527 

A. 

B. 

DESTRUCTION OF COUNTERFEIT CHIPS 

Unless a law enforcement officer instructs or a 

court of competent jurisdi ction orders otherwise in 

a particular case, the Gaming Enterpr ises s ha l l 

destroy or otherwise dispose of counterfeit Chips 

discovere d in the Gaming Areas in such mann er as it 

deems appropriate. 

Unless a 

competent 

peace officer 

jurisdiction 

70 

instructs or court 

orders otherwise in 

of 

a 
particular case, the Gaming Enterprises may dispose 

of coins of the United States or any other nation 

discovered to have been unlawfully used at its 

establishment by including them in their coin 

inventories or, in the case of foreign coins, by 

exchanging them for United States currency or coins 

and including the same in their currency or coin 

inventories, or by disposing of them in any other 

lawful manner. 

C. The Gaming Enterprises shall record: 

D. 

22.528 

1. The number and denominations, actual and 

purported, of the coins and counterfeit Chips 

destroyed or otherwise is disposed of pursuant 

to this Chapter; 

2. The month during which such coins and 

counterfeit Chips were discovered; 

3. The date, place, and method of destruction or 

other disposition, including, in the case of 

foreign coin exchanges, the exchange rate and 

the identity of the bank, exchange company, 

the business or person at which or with whom 

the coins are exchanged; and 

4 . The names of the persons carrying out the 

destruction or other deposition on behalf of 

the Gaming Enterprises. 

The records required by Section 22.527(C). must be 

retained for a period of two (2) years. 

OTHER GAMING EQUIPMENT 

All Class II or Class III Gaming Equipment must be 

designed, manufa.ctured, approved, used, discontinued, 

destroyed, or otherwise disposed of in accordance with the 

provisions of this Chapter, the Compact, and any applicable 

Regulations of the Commission. 

22.529 PREMISES OPEN TO COMMISSION 

Premises of a Casino Resort and where any activity 

related to Class II or Class III Gaming Ac ti vi ty or any 

activity of a Gaming Enterprise is operated or conducted, 

71 
shall at all times be open to inspection by the Commission 

and its Exe cu ti ve Director, staff and employees, provided 

that any Commission staff or employee shall be accompanied by 

or have written authorization from a Commissioner or the 

Executive Director prior to inspecting any premises outside 

of a Gaming Area. All documents, records, data, and 

communication of any type of any Gaming Enterprise, Casino 

Resort Employer or Licensee or in the custody of any Licensee 

shall be made available to the Commission, upon the reasonable 

written demand of its Executive Director. 

22.530 PROTECTION OF THE ENVIRONMENT AND PUBLIC HEALTH AND 

SAFETY 

Class II and Class III Gaming Areas shall be constructed, 

maintained, and operated in a manner that adequately protects 

the environment and the public heal th and safety and that 

meets or exceeds the standards established by Community law. 

22.531 LEGAL AGE FOR GAMING 

Effective June 1, 2003, no person under 21 years of age 

shall place a Wager in any Class III Gaming Activity. 

CHAPTER 6 - CONDUCT OF CLASS II GAMES 

22.601 MERCHANDISE PRIZES 

When any merchandise is awarded as a prize in a Class II 

game, the value of such merchandise shall be its actual retail 

price. 

22.602 PRIZE PURCHASE PRICES 

Equipment, prizes, and supplies for Class II games of 

chance shall not be purchased or sold at prices in excess of 

the usual price thereof. 

22.603 NO LIMIT ON PRIZES 

There shall be no limit on the size of the prize offered 

or given in any bingo game or on any occasion. 

72 
22.604 

A. 

B. 

CLASS II RULES OF PLAY 

The equipment used in Class II games and the method 

of play shall be such that each card shall have an 

equal opportunity to win. 

The objects or balls to be drawn shall be uniform 

as to size, shape, weight, balance, and any other 

characteristic that might influence their 

selection . 

c. All objects or balls shall be present in the 

receptacle before each game is begun. 

D. All numbers or designations drawn shall be 

announced plainly and clearly, and shall be audible 

or visible to all the players present including, 

where more than one room is used for any bingo game, 

all players present in each room. 

E. The receptacle, the caller , and t he person removing 

the objects or balls from the receptacle must be 

visible to all the players at all times, except 

that where more than one room is used for any bingo 

game, the receptacle and the cal ler must be present 

in the room where the greatest number of players 

are present. 

F. 

G. 

22.605 

The cards or sheets of the players shall be a part 

of a deck, group, or series of cards, no two of 

which shall be alike, and which deck, group, or 

series shall not be so prepared or arranged as to 

prefer any card. 

The particular arrangement of numbers or 

designations required to be covered in order to win 

the game and the amount of the prize shal 1 be 

plainly and clearly described, and audibly or 

visibly announced to the players immediately before 

each game is begun . 

PLAYERS ENTITLED TO VERIFICATION 

Any player of Class II Gaming s hall be entitled to cal l 

for a verification of all numbers or designations drawn at 

the time a winner is determined and for a verification of the 

objects or balls remaining in the receptacle and not yet 

73 
drawn. The verification shall be made in the immediate 

presence of the most senior supervisory official for the shift 

at which the verification is made. 

22.701 

22.702 

A. 

B. 

CHAPTER 7 - ACCOUNTING PROCEDURES 

[deleted] 

ACCOUNTING RECORDS 

Each Gaming Enterprise shall keep accurate, 

complete, legible, and permanent records of all 

transactions pertaining to any of its operations or 

activities, including the Gaming Operation, in a 

manner suitable for audit under the Generally 

Accepted Auditing Standards. Each Gaming 

Enterprise shall keep such records as necessary to 

prepare separate reports of transactions for each 

Gaming Area. 

Each Gaming Enterprise shall keep general 

accounting records using a double entry system of 

accounting with transactions recorded on a basis 

consistent with Generally Accepted Accounting 

Principles. The Gaming Enterprise shall maintain 

detailed, supporting and subsidiary records for the 

general accounting records, which shall include: 

1. Detailed records identifying revenues, 

expenses, assets, liabilities, and fund 

balances or equity for the Gaming Operation; 

2. Detailed records of all markers, IOU's, 

returned checks, hold checks or other credit 

instruments; 

3. Such other uniform periodic reports, including 

statistical reports as may be reasonably 

required by the Commission; 

4. Individual and statistical game records to 

reflect statistical drop, statistical win and 

the percentage of statistical win to 

statistical drop by table for each table game, 

and to reflect statistical drop for each type 

of table game, either by shift or other 

accounting period as determined by Gaming 

74 
c . 

22.703 

22.704 

Enterprise mana gement and i ndividual and 

stati stical game records reflecti ng s i milar 

information for all other games; 

5. Gaming Device a nal ysis reports which, by each 

mac h ine, compare a ctual hold percentages to 

theoretical hold percentages; 

6. All records required by t he Internal Control 

System including, but not limited to, those 

relating to any Gaming Activity authorized by 

the Compact; 

7. Journal entries for the Gami ng Operation; 

8. Detailed records suffi c ien t to accurately 

reflect gross income a nd exp enses relating to 

its operation on a monthly and year-to-date 

basis; 

9. Detailed r e cords of a ny reviews or audits, 

whe ther internal o r otherwise, performed in 

a ddition t o the annual audit required by 

Section 22 . 506 of this Title, i nc l uding, but 

not limited to management advisory l etters, 

agreed upon procedure reviews, notices of noncompliance and reports on the Internal Control 

System; and 

10. Records of any proposed o r adjusting entries 

made by an independent certified public 

accountant. 

A Gaming Enterprise shall create and maintain such 

records as required to accurately reflect gross 

gaming revenue and expenses re lating solely to 

Gaming Activity, separate from any other revenue 

and expenses of the Gaming Enterprise . 

[deleted] 

INTERNAL CONTROLS 

Each Gaming Enterprise shall operate pursuant to a 

written Internal Control System adopted by the Gaming 

Enterprise and approved by the Commission that meets the 

requirements of the Commission's internal control standards, 

75 
this Title, the Compact, and the Act. Each Gaming Enterprise 

shall provide a copy of the Internal Control System and any 

amendments thereto to the Commission. The Commission shall 

provide written approval or disapproval of the Internal 

Control System or any amendments thereto within forty-five 

(45) days of receipt. The Commission must approve the 

Internal Control System prior to its implementation by the 

Gaming Enterprise. 

22.705 

22.706 

A . 

B. 

[deleted] 

FINANCIAL SERVICES FOR CUSTOMERS 

A Gaming Enterprise may provide check cashing 

services, banking machine services, or credit card 

services to customers through contract agreements 

with third party vendors subject to approval of any 

such contracts by the Commission. Neither a Gaming 

Enterprise, or a Key Employee or Primary Management 

Official may extend credit to a customer. 

The Gaming Enterprise shall not locate an automatic 

teller machine ("ATM") within a Gaming Area that: 

1. is adjacent to, or in close proximity to, a 

Gaming Device; or 

2 . accepts electronic benefit transfer cards 

issued pursuant to a state, tribal, or federal 

program that is intended to provide for needy 

families or individuals. 

C. The Gaming Enterprise shall not accept checks or 

non-cash items issued pursuant to a state, tribal, 

or federal program that is intended to provide for 

needy families and individuals and shall not extend 

credit to any Patron of a Gaming Area for any Class 

III Gaming Activity. 

CHAPTER 8 - [DELETED] 

76 
CHAPTER 9 - CRIMES AND LIABILITIES CONCERNING GAMING 

22.901 

A. 

FRAUDULENT ACTS 

It shall be unlawful for any person : 

1. 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 players; 

2 . 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 of the game or which is 

the subject of the bet; 

3. 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; 

4 . To claim, collect or take, or attempt to 

claim, collect or take, money or anything of 

value in or from a Gaming Enterprise, with 

intent to defraud, without having made a Wager 

contingent thereon, or to claim, collect or 

take an amount greater than the amount won; 

5 . To knowingly entice or induce another to 

participate in Gaming Activity conducted or 

operated in violation of the provisions of 

this Title with the intent that the other 

person play or participate in that gambling 

game; 

6 . 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; 

7 . 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; or 

77 
22.902 

8 . To manipulate, with the intent to Cheat, any 

component of a Gaming Device in a manner 

contrary to the designed and normal 

operational purpose for the component, 

including, but not limited to, varying the 

pull of the handle of a slot machine, with 

knowledge of that the manipulation affects the 

outcome of the game or with knowledge of any 

event that affects the outcome of the game. 

USE OF DEVICE FOR CALCULATING PROBABILITIES 

It shall be unlawful for any person patronizing a Gaming 

Enterprise on the Reservation to use, or possess with the 

intent to use, any device to assist: 

A . 

B . 

c. 

D. 

22.903 

In projecting the outcome of the game; 

In keeping track of the cards played; 

In analyzing the probability of the occurrence of 

an event relating to the game; or 

In analyzing the strategy for playing or betting to 

be used in the game. 

USE OF COUNTERFEIT OR UNAPPROVED CHIPS OR UNLAWFUL 

COINS OR DEVICES; POSSESSION OF CERTAIN DEVICES, 

EQUIPMENT, PRODUCTS OR MATERIALS 

A. It shal 1 be unlawful for any licensed person, 

Entity, employee or other person to use counterfeit 

Chips in a game regulated pursuant to this Title. 

B. It shall be unlawful for any person, playing or 

using any game regulated pursuant to this Title 

which is designed to be played with, received or 

operated using Chips approved by the Commission or 

by lawful coin of the United States: 

1 . To knowingly use Chips other than those 

approved by the Commission or lawful coin, 

legal tender of the United States, or to use 

coin not of the same denomination as the coin 

intended to be used in that gambling game; or 

78 
c . 

D . 

E . 

F . 

22.904 

2 . To use any device or means to violate the 

provisions of the Compact or this Title. 

It shall be unlawful for any person, not a duly 

authorized employee of a Gaming Enterprise located 

on the Reservation acting in furtherance of his or 

her employment with the Gaming Enterprise, to have 

on his or her person or in his or her possession on 

or off the premises any device intended to be used 

to violate the provisions of this Title or the 

Compact. 

It shall be unlawful for any person, not a duly 

authorized employee of the Gaming Enterprise acting 

in furtherance of his or her employment within the 

Gaming Area, to have on his or her person or in his 

or her possession on or off the premises any key or 

device demonstrated to have been designed for the 

purpose of and suitable for opening, entering or 

effecting the operation of any game regulated 

pursuant to this Title, drop box or any electronic 

or mechanical device connected thereto or for 

removing money or other contents therefrom. 

It shall be unlawful for any person to have on his 

or her person or in his or her possession any 

Paraphernalia for Manufacturing Slugs. 

Possession of Paraphernalia for Manufacturing Slugs 

which includes possession of more than one device, 

piece of equipment, product or material described 

in this Section shall permit, in any action against 

the possessor resulting from such possession, a 

rebuttable inference that the possessor thereof 

intended to use them for the purpose of Cheating. 

CHEATING 

It shall be unlawful for any person, whether he or she 

is an employee of the Gaming Enterprise or a Patron thereof 

to Cheat at any game regulated pursuant to this Title. 

79 
22.905 

A . 

UNLAWFUL MANUFACTURE, SALE, DISTRIBUTION, MARKING, 

ALTERING OR MODIFICATION OF EQUIPMENT AND DEVICES 

ASSOCIATED WITH GAMING; UNLAWFUL INSTRUCTION 

It shall be unlawful to manufacture, sell or 

distribute any cards, Chips, dice, game or device 

intended to be used to violate any provision of 

this Title or the Compact. 

B . It shall be unlawful to mark, alter or otherwise 

modify any Gaming Equipment or Gaming Device in a 

manner that: 

c . 

22.906 

A. 

B. 

1 . Affects the result of a Wager by determining 

win or loss; or 

2. Alters the normal criteria of random selection 

affecting the operation of a game or which 

determines the outcome of a game. 

It shall be unlawful for any person to instruct 

another in Cheating or in the use of any device for 

that purpose, with the knowledge or intent that the 

information or its use so conveyed may be employed 

to violate any provision of this Title or the 

Compact. 

PENALTIES 

Any person who violates any provision of this 

Chapter shall be punished, for each such violation, 

to the maximum extent allowable for violations of 

the laws of the Community and may be denied any 

privilege under this Title, including a License, 

Temporary License, Section 4(b) License, or Casino 

Resort Permit. 

Any person or persons who attempts, or two or more 

persons who conspire, to violate any provision of 

this Title, shall each be punished by imposing the 

penalty provided in Subsection (A) of this Section 

for the completed crime, whether or not he or she 

personally played any gambling game or used any 

prohibited device. 

80 
22.907 

A. 

B. 

22.908 

A. 

PROVIDING FALSE INFORMATION; OBSTRUCTION OF JUSTICE 

It shall be unlawful for any person or Entity to 

knowingly submit any false or misleading, 

information or to refuse to submit information 

required by this Title or regulations of the 

Commission, to a Gaming Enterprise, the Commission, 

an employee of the Commission, the Community, the 

National Indian Gaming Commission, or to the State 

Gaming Agency. 

It shall be unlawful for any person to corruptly 

influence, obstruct, or impede or endeavor to 

influence, obstruct, or impede the due and proper 

administration of the law under which any pending 

investigation or proceeding is being had before the 

Commission or any agency of the Community. 

DETENTION AND QUESTIONING OF PERSONS SUSPECTED OF 

VIOLATING CHAPTER; LIMITATIONS ON LIABILITY; 

POSTING OF NOTICE 

Authorities who question any person suspected of 

violating any of the provisions of this Title, the 

Compact, or state or federal law or regulation 

shall not be criminally or civilly liable: 

1. On account of any such questioning; or 

2. For reporting to the Commission, the State 

Gaming Agency, federal or state regulatory 

authorities, or law enforcement authorities 

the identity of the person suspected of the 

violation. 

B. Any regulatory or law enforcement authorities who 

have probable cause for believing that there has 

been a violation of this Title or other law in 

connection with a Gaming Enterprise on the 

Reservation by any person, may take that person 

into custody and detain the person in a reasonable 

manner and for a reasonable length of time. 

C. Such taking into custody and detention shall not 

render the Gaming Enterprise, the Commission, or 

the Community or their officers, agents or 

employees criminally or civilly liable. 

81 
D. There shall be displayed in a conspicuous place in 

the Gaming Enterprise a notice in boldface type 

which is clearly legible and in substantially this 

form: 

22.909 

Agents of the Gila River Gaming Commission 

or the State Gaming Agency, or any Authority who 

has probable cause for believing that a person 

has violated any provision of the Gila River 

Indian Community Gaming Ordinance Title 22, 

Chapter Nine prohibiting cheating in gaming and 

other offenses may detain that person. 

DISPOSITION OF EVIDENCE SEIZED BY AGENT OF THE 

TRIBAL GAMING AGENCY OR THE STATE GAMING AGENCY 

A. After the final adjudication of a complaint 

involving a violation of this Title or the Compact, 

or of any other complaint involving the seizure of 

evidence by an agent of the Commission, a court of 

competent jurisdiction may enter an appropriate 

order disposing of all physical evidence pertaining 

to the complaint, whether or not the evidence was 

introduced as an exhibit. 

B. Except as otherwise provided herein, evidence 

seized by an agent of the Commission related to an 

investigation which does not result in a complaint 

charging a violation of the law and evidence for 

which an order of disposition is not entered 

pursuant hereto must be disposed of, after the 

evidence is no longer needed and the investigation 

is completed, as follows: 

1. The Commission shall notify by certified mail 

each potential claimant of the evidence that 

he or she has thirty (30) days following 

receipt of notice within which to file a 

written claim with the Commission for return 

of the evidence. 

2. If more than one person files a claim for the 

evidence: 

a . The claimants may agree among themselves 

as to how they wish to divide the 

82 
evidence, subject to approval of the 

Commission; 

b. The claimants may agree to submit the 

matter to binding arbitration or a ny 

claimant may i nstitute legal proceedings 

before the Community Court to determine 

the proper disposition of the evidence. 

The Commission shall return the evidence 

to the claimants in accordance with any 

agreement approved by the Commission, 

final judgment or award made pursuant to 

the provisions of this Section. 

C. A person to whom property is returned by the 

Commission pursuant to this Section shall execute 

such documents as are required by the Commission to 

defend, hold harmless, indemnify and release the 

Commission from any liability arising from the 

delivery of the property to the claimant. 

D. If no claim is submitted, the Commission shall 

deposit a ll seized money with the Community and may 

use all other property for any lawful purpose 

including the sale of the property. The Commission 

may dispose of any property which cannot be used 

for any lawful purpose in any reasonable manner. 

E. Evidence which constitutes a device for Cheating, 

contraband, or evidence not lawful to possess may 

not be returned to a claimant and must be retained 

by the Commission. The Commission shall 

periodically destroy such devices in any reasonable 

manner. 

22.1001 

A. 

CHAPTER 10 - JURISDICTION; STANDARD OF REVIEW 

JURISDICTION IN THE COMMUNITY COURT 

The Community Court shall have original and 

exclusive jurisdiction to consider and resolve 

appeals from final decisions of the Commission to 

impose a fine of five hundred dollars ($5 00) or 

more or to suspend or revoke a License, Section 

4(b) License, or Casino Resort Permit, but not from 

the denial of an Application. 

83 
B. 

c. 

22.1002 

1. The Community Court shall affirm a decision of 

the Commission unless such decision: 

a. was contrary to applicable 

Constitutional rights of the appellant; 

b . was arbitrary, capricious, or an abuse of 

discretion; or 

c. was otherwise in contravention of law. 

2. A decision of the Community Court is subject 

to a further appeal to the Gila River Indian 

Community Court of Appeals. 

The Community Court shall affirm the decision of 

the Commission unless any factor contained in 

22.1001 (A), immediately above, is demonstrated, in 

which case the Community Court may reverse or 

vacate the decision of the Commission, and may 

remand the decision to the Commission. 

In appeals under this Section 22.1001, the 

Community Court shall consider only such evidence 

as appears in records of the Commission and 

Commission hearing transcripts available at the 

time of its decision. 

COMMUNITY COURT REVIEW LIMITED TO THE RECORD OF THE 

COMMISSION PROCEEDINGS 

A. The Community Court shall have jurisdiction over 

any matter brought to enforce the provisions of 

this Title, to enforce any final decision or order 

of the Commission, and civil jurisdiction over all 

persons subject to the provisions of this Title and 

criminal jurisdiction over all members of 

federally-recognized tribes. 

B. In addition to civil and criminal penalties 

available hereunder, the Community Court may grant 

such other legal and equitable relief as is 

necessary and proper for the enforcement of the 

provisions of this Title, including but not limited 

to injunctive relief against acts committed in 

violation hereof. This Title shall be construed to 

authorize the exercise of jurisdiction over non84 
22.1003 

A. 

B . 

22.1004 

A . 

B. 

Indians to the extent allowed by any applicable 

present or future Act of Congress or any applicable 

federal court decision. 

VIOLATIONS; JURISDICTION; ENFORCEMENT OF SUBPOENAS 

Any person found in the Community Court to have 

violated any provision of this Title, shall be 

liable for civil penalties equal to actual damages, 

except that a person who commits an intentional or 

willful violation of any provision herein shall be 

liable for punitive damages, which shall be 

assessed in an amount not to exceed three times 

actual damages or $1,000, whichever amount is 

greater. 

Any person convicted in the Community Court for 

violation of any provision of this Title, shall be 

guilty of a criminal offense punishable by a fine 

not to exceed $5, 000, or by imprisonment in the 

Community jail not to exceed one (1) year, or both 

for each such offense. 

ENFORCEMENT OF COMMISSION SUBPOENAS 

The Executive Director may apply to the Community 

Court for an order returnable in not less than five 

(5) nor more than ten (10) days directing a person, 

Entity, or a Gaming Enterprise to show cause why he 

or she should not be found in contempt in the event: 

1. A person subpoenaed to appear before the 

Commission, or to produce books, accounts, 

records, or other documents in any 

investigation or hearing conducted by the 

Commission fails to obey the command of the 

subpoena without reasonable cause; or 

2 . A person in attendance at any hearing or 

investigation refuses, without lawful cause, 

to be examined, to answer any legal and 

pertinent question, or to exhibit any book, 

account, record, or other document when 

ordered to do so by the Commission. 

No person shall be 

producing any book, 

85 

excused from testifying or 

account, records or other 
22.1005 

A. 

documents as directed through a subpoena of the 

Commission on the ground that such testimony or 

documentary evidence may tend to incriminate 

himself or herself if the Commission or the General 

Counsel agree in writing that such person shall not 

be prosecuted, punished, or subjected to any 

penalty or forfeiture resulting from such testimony 

or production of documents. No person, however, 

shall be exempt from prosecution or punishment for 

any act of perjury committed in the course of 

testimony presented under a grant of immunity under 

this Subsection. 

PATRON DISPUTES 

REFUSAL TO PAY WINNINGS 

Whenever a Gaming Enterprise refuses payment of 

alleged winnings to a Patron, or if a Gaming 

Enterprise otherwise has a dispute with a Patron 

regarding that Patron's wins or losses from Gaming 

Activity, and the Gaming Enterprise and the Patron 

are unable to resolve the dispute to the 

satisfaction of the Patron and the dispute 

involves: 

1. At least five hundred dollars ($500), the 

Tribal Gaming Enterprise shall immediately 

notify the Commission in writing specifically 

stating the circumstances of the disputed 

winnings, the issues in dispute, and the 

grounds on which the Tribal Gaming Enterprise 

bases its decision not to pay. The Commission 

shall conduct whatever investigation it deems 

necessary and shall determine whether payment 

should be made; or 

2 . Less than five hundred dollars ($500), the 

Tribal Gaming Enterprise shall inform the 

Patron of his or her right to request that the 

Commission conduct an investigation. Upon 

request of the Patron, the Commission shall 

direct the Gaming Enterprise to prepare and 

submit to the Commission within ten (10) 

business days a statement explaining with 

specificity the circumstances of the disputed 

winnings, and the issues in dispute. 

86 
B. NOTICE TO PATRONS 

The Commission shall mail written notice by 

certified mail, return receipt requested, to the 

Tribal Gaming Enterprise and the Patron of the 

decision resolving the dispute within thirty (30) 

days following the date the Commission first 

receives notification from the Tribal Gaming 

Enterprise or a request to conduct an investigation 

from the Patron. 

C. EFFECTIVE DATE OF DECISION 

The decision of the Commission is effective on the 

date it is received by the aggrieved party as 

reflected on the return receipt as posted. 

D. REVIEW OF DECISION 

1. Within thirty (30) days following the date of 

receipt of the Commission's written decision, 

the Patron or the Gaming Enterprise may file 

a petition with the Commission requesting a 

review of the decision. The Commission may 

set a hearing on the matter or may make a 

decision based solely upon the written 

submissions of the Patron and the Tribal 

Gaming Enterprise. The Commission shall then 

issue a written decision and mail it to the 

parties. 

2 . The decision of the Commission shall be final 

and binding upon the Patron and the Tribal 

Gaming Enterprise and shall not be subject to 

judicial review, dispute resolution or other 

legal action, except that a Patron whose 

dispute involves at least five hundred dollars 

($500) may file a complaint in the Community 

Court within sixty (60) days of receipt of the 

Commission's written decision. 

3. The Community Court shall have jurisdiction to 

hear and render decisions on Patron disputes 

under Section 22.1005 involving at least five 

hundred dollars ($500) and that have been 

subject to the Commission's review as 

87 
22.1006 

A. 

authorized in Section 22.lOOS{D) (1). The 

Community Court's review of a Commission 

decision issued under Section 22 .1005 (D) (1) 

shall be subject to the limitations of Section 

22 .1001 (A) (1) . 

PATRON TORT DISPUTES PROCEDURES 

Tort Claims Procedures. 

1 . The Gaming Enterprise shall adopt Procedures 

for resolving Patron Tort Claims. The 

Procedures shall be reviewed and approved by 

the Commission. The Procedures shall include 

all time limits applicable to the disposition 

of the tort claim and a provision that, upon 

request, the Patron or invitee, or the 

Patron's or invitee's designated 

representative, shall be provided with a copy 

of the Procedures as well as the name, address 

and telephone number of the Gaming Enterprise 

and the mailing address and telephone number 

of the clerk of the Community Court. 

2 . The Gaming Enterprise shall maintain one or 

more policies of commercial general liability 

insurance with a combined single limit for 

personal injury and property damage in the 

amount of at least two million dollars 

( $2, O O O, O O O) per occurrence and in the 

aggregate. 

3 . All Tort Claims shall be subject to the 

Procedures. 

B. Community Court Jurisdiction over Tort Claims. 

1 . The Community Court shall have exclusive 

jurisdiction over all Patron Tort Claims 

arising from the administration and 

enforcement of the Procedures. 

2 . All Tort Claims shall be asserted solely 

against the Gaming Enterprise and no other 

person or entity. 

88 
CHAPTER 11 - CASINO RESORT PERMITTING PROCEDURES 

22.1101 

A. 

B. 

c. 

D. 

22.1102 

A. 

PERMITTING REQUIREMENTS, GENERALLY 

Pursuant to the procedures set forth herein, each 

Applicant for a position as a Casino Resort 

Employee shall complete an Application for a Casino 

Resort Permit and receive a Casino Resort Permit 

prior to the commencement of the Applicant's 

employment. 

The Commission, or the Executive Director or 

his/her delegate, if delegated authority by the 

Commission pursuant to Regulation, may issue a 

Casino Resort Permit upon receipt of a completed 

Application for a Casino Resort Permit unless the 

Application demonstrates on its face grounds to 

disqualify the Applicant. 

The Commission, or the Executive Director or 

his/her delegate, if delegated authority by the 

Commission pursuant to Regulation, may revoke a 

Casino Resort Permit for any or no reason, in its 

sole discretion, within sixty (60) days from the 

date the Casino Resort Permit was issued to the 

Applicant and such Applicant shall have no right to 

appeal such revocation. 

All Casino Resort Permits issued under this Title 

shall be effective for two (2) years from the date 

of issuance and must be renewed every two (2) years 

thereafter, unless suspended, revoked, or 

surrendered as provided herein. 

PERMIT APPLICATION 

Each Applicant for a Casino Resort Permit shall 

receive from the Casino Resort Employer a written 

Application in the form prescribed by the 

Commission, which may require: 

1. A current photograph; 

2 . A Fingerprint Card consistent with procedures 

adopted by the Commission; 

3. A resort permit fee; and 

89 
4. Any other information the Commission deems 

relevant. 

B. A Casino Resort Employer may assist the Applicant 

in completing the Application and the Commission 

shall provide forms and instructions to a Casino 

Resort Employer for such purpose. 

c . Each Applicant for a Casino Resort Permit shall 

personally deliver the completed Application to the 

Commission. 

D. Upon receipt of the completed Application for a 

Casino Resort Permit, the Commission, or the 

Executive Director or his/her delegate, if 

delegated authority by the Commission pursuant to 

Regulation, shall issue to the Applicant, without 

unreasonable delay, a Casino Resort Permit in the 

form of a name tag, unless grounds sufficient to 

disqualify the Applicant are apparent on the face 

of the Application. Such name tag shall operate as 

the Casino Resort Permit. 

E. The Commission, or the Executive Director or 

his/her delegate, if delegated authority by the 

Commission pursuant to Regulation, shall conduct a 

background investigation as the Commission deems 

appropriate on the Applicant. In the event a 

background investigation produces grounds 

sufficient to disqualify the Applicant, the 

Commission, or the Executive Director or his/her 

delegate, if delegated authority by the Commission 

pursuant to Regulation, may revoke the Casino 

Resort Permit. The provisions of this Section 

shall not limit the Commission's authority under 

Section 22.1101(c). 

F. The Commission, or the Executive Director or 

his/her delegate, may, at any time before or after 

the issuance of a Casino Resort Permit, request 

from the Applicant any additional information the 

Commission, or the Executive Director or his/her 

delegate, deems relevant. 

G. The provisions or requirements of Sections 22.402 

(E) and (G), 22.404, 22.407 and 22.409 regarding 

90 
H. 

22.1103 

Applications shall apply to the Application for a 

Casino Resort Permit. 

The provisions or requirements of Sections 22.404, 

22.407 and 22.409 regarding Licenses or Licensees 

shall apply to Casino Resort Permits and Casino 

Resort Permittees, respectively. 

APPLICATIONS FOR EMPLOYMENT AFTER REVOCATION 

Any person whose Casino Resort Permit is revoked by the 

Commission, or the Executive Director or his/her delegate, if 

delegated authority by the Commission pursuant to Regulation, 

shall be foreclosed from applying for employment with any 

Casino Resort Employer on the Reservation for a period of two 

(2) years from the date on which notice of the Commission's 

action to revoke was provided to the Casino Resort Employer 

in which the person had been employed with at the time of the 

revocation. 

22.1104 STANDARDS FOR PERMITTING 

In order for an Applicant to qualify for a Casino Resort 

Permit the Commission, or the Executive Director or his/her 

delegate, if delegated authority by the Commission pursuant 

to Regulation, shall be satisfied that no information has 

been provided which demonstrates that the Applicant is not: 

A. 

B. 

c. 

22.1105 

A. 

a person of good character, honesty, and integrity; 

a person whose background, reputation or 

associations will not result in adverse publicity 

concerning the Community or a Casino Resort 

Employer; and 

a person whose prior activities, criminal record, 

if any, or reputation, habits and associations do 

not pose a threat to the public interest. 

BACKGROUND INVESTIGATION 

The Commission shall conduct or cause to be 

conducted an investigation sufficient to make a 

determination of every Application submitted 

pursuant hereto. In conducting a background 

investigation, the Commission and its agents shall 

maintain the confidentiality of the identity of any 

91 
person interviewed 

investigation. 

in the course of the 

B. Information provided pursuant to Section 22 .1102 

and information from other sources shall be used by 

the Commission, or the Executive Director or 

his/her delegate, if delegated authority by the 

Commission pursuant to Regulation, to conduct 

background investigations of every Casino Resort 

Employee. 

c. Background Investigations of Applicants for Casino 

Resort Permits-Description of Procedures 

1 . The Commission is responsible for conducting 

or causing to be conducted background 

investigations and suitability determinations 

in accordance with this Title. 

2. In performing the background investigations 

pursuant to Section 22.1104, the Commission, 

or the Executive Director or his/her delegate, 

if delegated authority by the Commission 

pursuant to Regulation, may in its discretion: 

a. Conduct or cause to be 

background investigations; 

conducted 

b. Review and approve the investigative work 

completed; 

c . Obtain and process fingerprints; and 

d. Make suitability determinations. 

3. The investigative procedure for Casino Resort 

Permits shall be determined by the Commission 

and may include, but shall not be limited to, 

the investigative procedures set forth in 

Section 22.412(F) (4). 

4. The investigative reporting procedures for 

Casino Resort Permits shall be determined by 

the Commission and may include, but shall not 

be limited to, the investigative reporting 

procedures set forth in Section 22.412(F) (5). 

92 
22.1106 CASINO RESORT PERMIT SUSPENSION AND REVOCATION 

The provisions or requirements of Sections 22. 414 

22.432 regarding Licenses and Licensees shal l apply to Casino 

Resort Permits and Casino Resort Permittees, respectively. 

In addition, the provisions of Sections 22.414 22.432 

r elating to the due process rights afforded to Licensees shall 

apply to Casino Resort Permi ttees. The provisions of this 

Section 22 .1106 shall not apply and be of no force and effect 

to any suspension, revocation or action taken by the 

Commission within sixty (60) days from the date the Casino 

Resort Permit was issued to the Applicant. The rights and 

privileges provided in this Section shall only apply to 

Commission action taken after such sixty (60) day period. 

22.1201 

A. 

CHAPTER 12 - CASINO RESORT EMPLOYERS 

MAINTENANCE OF BOOKS AND RECORDS; COMMISSION ACCESS 

Each Casino Resort Empl oyer shall maintain books 

and records that relate to its business operation 

at a Casino Resort and that show the condition of 

the business and all transactions in accordance 

with General ly Accepted Accounting Principles. 

Such books and records shall be suitable for audit 

pursuant to Generally Accepted Auditing Standards. 

A Casino Resort Employer shall maintain such books 

and records throughout the term of its operation on 

the Casino Resort and for one (1) year following 

the termination of its business operation at a 

Casino Resort. 

B. The Commission and the Community Treasurer shall 

have access to the books and records prescribed 

hereunder and shall be entitled to examine them 

without notice at any time during ordinary business 

hours. 

22.1202 ANNUAL AUDIT 

In the event a Casino Resort Employer's financial 

Statements are audited, by either an internal or independent 

accountant, at the end of its fiscal year for any year the 

Casino Resort Employer is operating at a Casino Resort, the 

Casino Resort Employer shall provide a copy of such audit 

with respect to its operations at a Casino Resort to the 

93 
Commission within one hundred twenty (120) days after the 

close of the Casino Resort Employer's fiscal year. 

22.1203 STANDARD OPERATING PROCEDURES 

Each Casino Resort Employer shall operate pursuant to 

written standard operating procedures adopted by the Casino 

Resort Employer which is designed to provide reasonable 

assurance regarding the safeguarding of assets, effective and 

efficient operations, reliable financial reporting, and 

compliance with applicable laws and regulations to ensure 

effective control over the internal affairs of a Casino Resort 

Employer. 

22.1204 RESORT VENDORS 

Each Casino Resort Employer shall provide the Commission 

within fourteen (14) days of each month-end a financial 

report, in a form approved by the Commission, which shall 

include, but not be limited to: 

A. the name of each vendor used at a Casino Resort by 

the Casino Resort Employer during such month; 

B. the dollar amount paid to each vendor during such 

month; and 

c. 

22.1205 

any other 

relevant. 

information the Commission 

APPLICABILITY TO GAMING ENTERPRISE 

deems 

A Gaming Enterprise shall comply with the provisions 

under Chapters 5 and 7 of this Title, rather than with the 

provisions of Sections 22.1201, 22.1202 and 22.1203. 

94