September 28,2009 

Via Facsimile: (520) 796-2206 

and U.S. Mail 

Scott Sandason, Chairman 

Gila River Gaming Cornmi ssion 

5350 North 48fh Street, Suite 120 

Chandler, AZ 85226 

Re: Amendments to the Gila River Indian Community gaming ordinance 

Dear Chairman Sanderson: 

This letter responds to your request for review and approval of the Gila River Indian 

Community (Community) gaming ordinance. On May 7,2009, the Gila River 

Community Council (Community Council) rescinded the gaming ordinance adopted in 

Ordinance GR-01-03, as amended, and adopted a new gaming ordinance, which is 

codified as Title 22 of the Gila River Indian Community Law and Order Code. On July 

30,2009, the Office of General Council (OGC) sent a Ietter to the Gila River Gaming 

Commission identifytng deficiencies that needed to be addressed prior to the approval of 

the gaming ordinance. The Community Council responded by enacting Ordinance GR12-09, which amended Title 22. The Community submitted the amended gaming 

ordinance on September I 1,2009. 

This letter constitutes approval of the amendments because nothing herein conflicts 

with the requirements of the Indian Gaming Regulatory Act (IGRA) and the NIGC's 

regulations. 

I must take this opportunity, however, to comment on the small bingo games that the 

Community permits to be operated on its land. On July 30,2009, OGC informed the Gila 

River Gaming Commission that bingo games operated by a non-profit organization 

constitute individually owned gaming subject to additional regulation. A copy of this 

letter is enclosed. Further, I understand that the Community is offering these games as 

Class T. It is not at all clear to me that that classification is appropriate as IGM defines 

bingo as a Class 11 game. As it appears that the Community intends to continue to permit 

these games, I am referring this matter to the Enforcement Division for its review. 

NATIONAL HEADQUARTERS 1411 L St NW, Suite 9100. Washington, DC 20005 Tel 202 632.7003 202 632 7066 ~.NlGC.COV 

REGIONAL OFFICES Portland. OR, Sacramento, CA; Phocn~x, AZ. St. Paul, MN; Tulsa, OK 
Chairman Henderson, p. 2 

itting the gaming ordinance and amendment for review. If you 

e contact Staff Attorney Esther Dittlcr at (202) 632-7003. 

cc: Denten Robinson, Esq. (via fax: 480-921-9249). 

John Peterson, NIGC Director of Enforcement 
GILA RIVER INDIAN COMMUNITY 

SACATON, AZ 85 147 

ORDINANCE GR-12-09 

AN ORDINANCE AUTIXBRIZING AND APPROVING AMEWMENTS TO THE GILA 

RIVER INDIAN COMMUNITY GAMING ORDINANCE GR-08-09 

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

Community (the *'Cammity") are concans of the highest priority to the Gila 

River Indian Community 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, the Community Council adopted the Gaming Ordinance, OR-01-94 on January 

19, 1994, which was subsequently amended by Resolution GR-04-94 on March 

23,1994, by Resolution GR-09-96 on December 24, 1996, by Resolution GR-OI03 on December 17,2003, and by Ordinance GR-08-09 on May 7,2009; and 

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

Arizona under which the Community operates and regulates Class 111 gaming on 

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

WHEREAS, the GiIa River Gaming Commission submitted the amended Gaming Ordinance 

adopted by the Community Council pursuant to Ordinance GR-08-09 to the 

National Indian Gaming Commission (the WIGC") for approval on May 27, 

2009; and 

WHEREAS, the NIGC has requested additional amendments be made to the Gaming 

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

formal approval of the Gaming Ordinance; and 

WHEREAS, the Gila River Gaming Commission has thoroughly reviewed the NIGC's 

requested changes to the Gaming Ordinance and recommends that the Community 

Council authorize and approve the below amendments to the Gaming Ordinance 

to accommodate the NIGC's requested changes. 

NOW, THEREFORE, BE IT ENACTED, that the Gila River Indian Community Gaming 

Ordinance adopted by the Community Council pursuant to Ordinance GR-08-09 

and codified as Title 22 of the Gila River Indian Community Law and Order Code 

shall remain in effect with the fbllowing amendments: 

1. Paragraph 22.201 is hereby deleted in its entirety and replaced with the 

fo11owing: 
GILA RIVER INDIAN COMMUNITY 

ORDINANCE GR-12-09 

PAGE 2 OF 4 

22.201 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 TI or Class I11 Gaming Activity 

located on the Reservation. 

2. Paragraph 22.402 is hereby deleted in its entirety and replaced with the 

foUowi?lg: 

22.402 LICENSE APPLICATION 

A. Notice to Applicant - The following notice shall be placed on the 

AppIication form for prospective Key Employees and Primary 

Management Officials: 

In compliance with the Privacy Act of 1974, the 

following information is provided: So licitation of the 

information on this form is authorized by 25 U.S.C. 6 4 

270 1 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 staffs of the Gila River Indian Gaming Commission 

(tbe "Commission"), the National Indian Gaming 

Commission (the 'WIGC"} 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 to appropriate federal, Tribal, state and 

locaI or foreign law enforcement and regulatory agencies 

when relevant to civil, criminal or regulatory investigations 

or prosecutions or when pursuant to requirement by the 

Commission, the NIGC or the ASGA in connection with 

the issuance or revocation of a gaming License, or 

investigations of activities while associated with a Gaming 

Enterprise on the Gila River Indian Reservation. Failure to 

consent to the disclosures indicated in this notice will result 

in the Commission being unabIe to grant you a gaming 

License for a Primary Management Oficial or Key 

Employee Position. 

The disclosure of your Social Security Number 

(SSN) is voluntary. However, failure to supply a SSN may 

result in errors in processing your Application. 

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 
GILA RIVER INDIAN COMMUNITY 

ORDINANCE CR-I 2-09 

PAGE 3 Of 4 

to any testimony M 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 plvilege 

and no person holding such a License by the Commission is 

deemed to have acquired any vested sights 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 orha 

action OT financial loss which may result fiom action with 

rqect to an Application and expressly waives any claim 

fbr damages against the Community as a result thereof. 

In addition to any other kctor attaching to an 

Application required by Gila 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 fox a decision upon the Applicant's general 

suitability, character, integrity and ability to participate or 

engage in or be associated with gaming an the Gila River 

Indian Resmtion in the manner or position sought 

through application to the Commission, the NIGC or the 

ASGA. The Applicant specifrcaIly consents to the making 

of such a decision by the Commission, the NlGC 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 ocemed or were stated. 

Additionally, false statements are punishable by fme or 

imprisonment pursuant to I 8 U. S.C. $ f 00 1. 

3. Paragraph 22.414 (A) is hereby deleted in its entirety and repIaced with 

the following: 

A. If after the issuance of a License, the Commission receives fiom 

the National Indian Gaming Comrnissian information indicating 

that a Key Employee or a Primary Management Omcia1 is not 

eligible for a License under Section 22.410 herein or the Act, the 

Commission shall suspend such License and shall notifSI the Key 
GILA RIVER INDIAN COMMUNITY 

ORDINANCE GR-12-09 

PACE 4 OF 4 

Employee or Primary Management OfficiaI in writing of the 

suspension and the proposed revocation. 

4. Paragraph 22.433 is hereby added as a new paragraph and shaIl read as 

follows: 

22.433 RETENTION OF RECORDS 

The Commission and Gaming Enterprise shall retain applications 

for employment and any report of background investigations of Primary 

Management Officials and Key Employees fox a period of no less than 

thee (3) years from the date of tamination of employment. 

5. Chapter 8 is hereby deleted in its entirety and replaced with the following: 

CHAPTER 8 - [DELETED] 

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

effective in accordance with the Constitution of the Gila River Indian 

Commit y. 

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

Lieutenant Governor, is hereby authorized to sign and otherwise execute all 

documents and to take a11 steps necessary to implement the intent of this Gaming 

Ordinance. 

CERTIFICATION 

Pursuant to authority contained in Article XV, Section 1, (a) (3, (91, (I$), (191, (b) (lo), 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 he Interior on March 17, 1950, 

the foregoing Ordinance was adopted on the 2nd of September 2009, at a regular Community 

Council meeting held in District 3, Sacaton, Arizona at which a quorum of 14 Mmbas were 

present by a vote of: JJ FOR; 3 OPPOSE; Q ABSTAIN; 3 ABSENT; (E VACANCIES. 

GILA RIVER INDIAN COMMUNITY 

ATTEST: 
GILA RIVER INDIAN COMMUNITY 

SACATON, AZ 85247 

AN ORIDINANCE AUTHORIZING AND APPROWG THE REVISION OF THE GKA 

RIVER INDIAN COMMUNITY GAMING ORDINANCE GR-01-03 

WEEREAS, the economic weI1-being and prosperity of members of the Gila Riva Indim 

Community (the "Community") are concerns of the Highest priority to the 

Corxlmunity Council; and 

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

WHEREAS, the Community Council. adopted the Gaming Ordinance, GR-01-94 on January 

19, 1994, which was subsequently amended by Resohtion GR-04-94 on March 

23, 1994, by GR-09-96 on D-mber 24, 1996, and by Resolution GR-01-03 on 

December f 7,2003; and 

WHJitREAS, the Commu~ty entered into a Tribal-State Gaming Compact with the State of 

Arizona under which the Community operates and regulates Class IT1 gaming on 

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

WmR?3AS, the Community is expanding its gaming operation to include a Casino Resort and 

the current Gaming Ordhance does not suficiently address or consider the 

regulatary liamework for overseeing the operation of a Casino Resort; and 

-AS, the Gib River Gaming Commission has conducted a complete and thorough 

review of the Earning Ordinance and has proposed amendments and revisions to 

provide a regulatory framework for Cash Resorts which include requirements 

for Iicenshg of non-gaming operations within the proximity of Class I11 gaming 

activities. 

NOW, TmREFORE, BE IT ENA-ED, that the Community Council hereby rescinds the 

Gaming Ordinance GR-01-03 in its entirety and hereby approves and adopts the 

attached Gila River lndian Commuaity Gaming Ordinance, codified as Title 22 of 

the Gila River Indian Community Law and Order Code, to govern, regulate and 

control gaming activities in the Community. 

BE FT FURTHER ENACTED, that the Gaming Ordinance, as amended, shall become effective 

in accordance with the Constitution of the Gjfa River Indian Community and upon 

approval by the Chairman of the National Indian Gaming Commission. 

BE IT FlNALLY ENACTED, the Community Governor or, Jn the absence of the Governor, the 

Lieutenant Governor, is hereby authorlzsd ta sign and otherwise execute all 

documents and take all steps necessary ta implement the intent of this Gaming 

Ordinance. 
GILA RIVER INDEAN COMMUNITY 

ORDINANCE m4a# 

PAGE 2 OF 2 

CERTIFICATION 

Pursuant to authdty contained in Article XV, Section I, (a) (I), 0, (91, (IS), (19), @) (8), (lo), 

and Section 4 of the amend4 Constitution and Bylaws of fie Gila River hdian Community, 

ratified by the Tribe January 22, 1960, md approved by the Secretary of the Interior on March 

17, 1960, the fb~egaing Osdinan~e was adopted on the 7th of Mav 2009, at a regular Community 

Comcil, Meeting held in District 3, Sacaton, Arizona at which a quorum af 10 Members were 

praent by a vote of 2 FOR; 1 OPPOSE; fi ABSTAIN; 2 ABSENT; Q VACANCIES. 

ATTEST: ' . ,-. . 
TITLE 22 

GILA RIVER INDIAN COMMUNITY 

GAMING ORDINANCE 

Incorporating Proposed 2009 Amendments 
This Gila River Indian Community Gaming Ordinance regulates the conduct of gaming on 

the Gila River Indian Com~ty Reservation. The 2003 amendments to the Gila River Gaming 

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

Arizona Gaming Compact of December, 2002. The 2009 Amendments $0 the Gila River 

Gaming Ordinance streamline the licensing process, establish provisions to regulate gaming 

conducted within a Casino Resort, makes technical corrections, and in general, updates the 

Ordinance. 
TITLE 22 

GILA RIVER INDIM COMMUNITY 

GAMING ORDINANCE 

GR-09-96 

2009 AMENDMENTS 

TABLE OF CONTENTS 

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

22.101 INTERPRETATION AND DEFINITIONS AS 

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

22.102 CALCULATION OF TIME ..................................................................... 15 

22.103 EFPECTIm DATE ............................... ... ................................. 15 

CWTER 2 . GENERAL ........................................................................................................ 15 

22.201 OWNERSHIP OF WING ENTERPRISES ON THE 

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

22.202 USE OF GAMING R-NUE ............................................................. 15 

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

22.301 GIZA RIVER WING COMMISSION ............................................... 16 

22.302 NECESSARY POWERS ..........................................................s...a... ...... 16 

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

22.304 TERMS OF COMMTSSIONERS .............................................................. 19 

22.305 SELECTION OF OFFICERS ............................................................... 2 0 

22.306 RESIGNATION OF COMMISSIONERS ............................................... 2 0 

22.307 REMOVAL BY THE COHMUNITY COUNCIL .................................... 2 0 

22.308 VACANCIES ............................................................................................. 2 0 

22.309 REQUIREMENTS FOR COMMTSS ION MEMBERSHIP ....................... 2 0 

22 -310 COMMISSIONERS BARRED FROM GAMING ON 

RESERVATION ................................................................................... -2 1 

22.311 OATH OF OFFICE ................................................................................ 2 1 

22.312 COMPENSATI ................................................................................. 2 1 

22.313 GENERAL MEETINGS .......................... ... ......................................... 2 2 

22 -314 SPECIAL MEETINGS ........................................................................... 22 

22.315 MOTIONS AND RESOLUTIONS ............................. ..,.. ................. 22 

22.316 QUORUM ............................................................................................... 2 2 

22.317 QUARTERLY REPORTS ....................... .. ................................................. 2 2 

22.318 REGULATIONS ........................................................................................ 2 3 

22 -319 MAINTENANCE OF BOOKS AND RECORDS .................................. 2 5 

22.320 PERSONNEL .......................................................................................... 2 5 

22.321 THE EXECUTIVE DIRECTOR ............................................................ -2 6 
22.322 COOPERATION WITH LAW ENFORCEMENT AGENCIES ................ 2 8 

LICENSING PROCEDURES ......................................................................... 2 8 

LICENSING REQUIREMENTS , GENERALLY .................................,28 

LICENSE APPLICATION ..................................................................... 3 0 

APPLICATION APJIl INVESTIGATIVE FEES ................................. 3 5 

SUMMONING OF APPLICANTS ....................... .., ................................ 3 6 

REARING ON APPLICATIONS .......................... .. ............................ 3 6 

WITHDRAWAL OF APPLICATION ....................................................... 37 

APPLLCATION FOR LICE!NSE AFTER DENIAL ............................ 3 7 

APPLICATIONS FOR EMPLOYMENT AmR REVOCATION ......... 3 8 

UWSUITABLE AFFILIATES ............................................................. 3 8 

STANDARDS FOR LICENSING ......................................................... 38 

LICENSING OF A NATURAL PERSON UNDER THE AGE 

OF EIGHTEEN ....................................................................................... 39 

BACXGROUJ!JD INVEST1 GATXON ........................................................ 3 9 

GFLANTING A WING LICENSE ....................................................... 43 

LICENSE SUSPENSION AND REVOCATION .................. .. ......... 4 3 

IHMEDIATE SUSPENS ION ................................................................. 4 5 

COMPLAINT; SERVICE OF PROCESS ............................................. 4 6 

[deleted] ........................................................................................... 4 6 

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

HEARING, WRITTEXI DECISION ....................... .. ........................... 4 6 

SURRENDER OF LICENSE ............................................................. ... 4 3 

ADD TTIOEJAL SANCTIONS .................................................................. 4 7 

ADVERSARY PROCEEDINGS OF THE COMMISSION ..................... 47 

CONDUCT OF ADVERSARY HEARINGS .......................................... 52 

EXIDENCE : ADMISSIBILITY ......................................................... 53 

EXIDENCE : AUTHENTICATION AND IDENTIFICATION ........... 53 

FAILURE OR REFClSAL TO TESTIFY ............................................. 54 

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

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

STANDARDS OF PROOF .................................................................. 55 

DECISIONS OF TBE COMMISSION ................................................. 5 5 

PENALTIES ........................................................................................... 5 5 

RIGHT TO APPEAL TO COMIWWITY COURT ................... , .......... 5 6 

CHAPTER FIVE . CONDUCT OF CLASS I: I RND CLkSS 3: I1 GWNG ................... 5 6 

22.501 FTNANC1:AL PRACTICES AND REPORTING OF GAMING 

E2JTERPRI SES ; MONTELY RE PORTS ............................................... 5 6 

22.502 MAINTENANCE OF GAMING ENTERPRISE FINANCIAL 

ZNFORMATION ........................................................................................ 5 7 

22.503 MAINTENANCE OF BOOKS AND RECORDS; COMMISSION 

ACCESS .................................................................................................... 57 

22.504 ALLOWABLE OPERATING EXPENSES .............................................. 5 8 

CHAPTER 8 . CLASS I GAMING ......................... .. ...... .......................................... 7 8 

22.803. CLASS I GAMING ............................................................................. -7 8 

22.802 CLASS I GAMES EXEMPT FROM PROVXSLONS OF THIS 

TITLE ....................................................................................................... 78 

CHAPTER 9 . CRIMES AND LIABILITIES CONCERNING GAMING .......................... 8 0 

22.901 FRAUDULENT ACTS ............................................................................. 8 0 

22.902 USE OF DEXICE FOR CALCULATING PROBABILITIES ........... 81 

22.903 USE OF COUNTERFEIT OR UNAPPROVED CHIPS OR 

TOKENS OR UNLAWFUL COINS OR DWICES; 

POSSESSION OF CERTAIN DEVICES. EQUIPMENT. 

PRODUCTS OR MATERIALS ................................................................ 8 1 

22.904 CHEATING ................................ .. ........................................................... 8 3 

22.905 UNLAWF'UL MANUFACTURE. SALE. DISTRIBUTION. 

MARKING, ALTERING OR MODIFICATIOW OF 

EQUIPMENT ElND DEVICES ASSOCIATED WITH 

GAMING; TINLAWFUL INSTRUCTION ............................................... 8 3 

22.906 PENALTIES ............................................................................................ 83 

22.907 PROVIDING FALSE INFORMATION; OBSTRUCTION OF 

JUSTICE ............................................................................................... 8 4 

22.908 DETENTION AND QUESTIONING OF PERSONS 

SUSPECTED OF VIOLATING CHAPTER; LIMITATIONS 

ON LIABILITY ; POSTING OF NOTICE ...................................... .. B4 

22.909 DISPOSITIOPlJ OF EVIDENCE: SEIZED BY AGm OF 

THE TRIBAL GAMING AGENCY OR THE STATE GAMING 

AGENCY ................................................................................................. 8 5 

CHAPTER 10 . JURTSDICTIOW; STANDARD OF REVIEW ........................................... 87 

22 . 10 0 1 JURISDICTION IN THE COMMUNITY COURT ............................... 8 7 

22.1002 COMMUNITY COURT REVXlGW LIMIT ED. TO THE RECORD 

OF THE COMMISSION PROCEEDINGS ............................. .. ....... 8 7 

22.1003 VIOLATIONS; JURISDICTION; ENFORCEMENT OF 

SUBPOENAS .......................... .. ............................................................ 8 8 

22 . 10 0 4 ENFORCEMENT OF COMMISSION SUBPOE3iAS ............................... 8 8 

22.1005 PATRON DISPUTES ............................................................................ -89 

2 2 . 1 0 0 6 PATRON TORT Dl S PUTES PROCEDURES ........................................ 9 1 

CHIlPTER 11, . CASINO ICESORT PERMITTING PROCmURES ............................... .... 9 2 

2 2 . 110 1 PERMITTING REQUIREMENTS . GENERALLY ................................. 9 2 

2 2 . 11 0 2 PERMIT APPLICATION ......................... .... ................................... 93 

22.1103 APPLICXTIONS FOR EMPLC)YMENT AFTER 

REVOCATION ........................................................................................... 94 

2 2 . 11 04 STANDARDS FOR PERMITTING ......................................................... 9 4 

22.1105 BACKGROUND IJWESTIGATION ......... ........................................... 95 
22.1106 WINO RESORT PERMIT SUSPENSION AND 

REVOCATION ...................................................................................... 96 

CHAPTER 12 . CASINO RESORT EMPLOYERS .................... .. ..................................... 96 

22.1201 MAINTENANCE OF BOOKS AND RECORDS; COMMISSION 

ACCESS .................................................................................................... 96 

22.1202 ANNUAL AUDIT ................. .............................................................. 97 

22.1203 STANDARD OPERATLNG PROCEDURES ............................................. 97 

22.1204 RESORT VENDORS .............................................................................. 97 

2 2 . 12 0 5 APPLICABILITY TO GAMING ENTERPRISE ................................. 9 8 
CHAPTER 1 - RULE OF INTFRPRRTATION AWD 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 5. and the Gila River Indian 

~omrnunit~-~tate~f Arizona Gaming Compact. 

B. Definitions as used in this Title 

1. 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, ox 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 

natuxal 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 

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 ~ct, 25 

U.S.C. 5 2703(6). 

14. Class I1 Gaming means gaming defined as 

Class TI Gaming in section 4 (7) of the Act, 

25 U.S.C. 5 2703 (3). 

15. Class III Gaming means gaming defined as 

Class 111 Gaming in section 418) 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. 
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. Entfty 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, limited 

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 ox without 

consideration, into such a security, or 
carrying any warrant or right to 

subscribe to or purchase such a 

security; 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. Partnershfp - 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. 

28. Executive Director shall 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 Commisaioaer shall mean a 

Commissioner appointed when the Commission 

is first established. 
31. Gaming Activity means all forms of Class I1 

or Class III Gaming conducted within the 

Reservation. 

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 insextion of a coin, 

currency, Tokens or by the use of a credit, 

and which awards game credits, cash, Tokens, 

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 

33. 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 Earning 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 ta 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 ox Tribal Gaming 

Enterprise shall mean any enterprise 

established by the Community to conduct 
Class 1 or Class 111 Gaming on the 

Reservation. 

36. Gaming Equipment shall mean any equtpment 

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 Spoxta Pool, computerized 

systems for 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 

certtfied 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 . 

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 PasS-Mutuel Pool shall 

mean pooled Pari-Mutuel Wagers placed at a 

Track, its intrastate betting locations and 

other jurisdictions and Off-Txack PariMutuel wagers placed and accepted by PariMutuel 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; 

Of 

k. with respect to any other person: 

I1 1 those receiving cash compensation 

from gaming proceeds in excess of 

$50,000 per year; or 

(2) the four most highly compensated 

persons in a Gaming Enterprise. 

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 ef Gaming 
Activity or to provide Gaming Services to a 

Gaming Enterprise an the Reservation. 

50. Live Broadcast shall mean an audio and video 

transmission of a race or series of races as 

simultaneously occur at a Track, whether or 

not furnished by a disseminator or for a 

fee. 

51. Hanagemeat Contract shall mean a contract 

within the meaning of 25 U.S.C. §§ 

27lO(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 Enterpxisets 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 Tokens 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 orleadalloys; 

b. molds, forms or similar equipment 

capable of producing a likeness of a 

gaming Token or United States coin; 

c. melting pots or other receptacles; 

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. any person who has the authority to: 

(I) hire or fire employees; 

(2) establish working policy fox the 

gaming operation; or 

b. The chief financial officer or other 

person who has financial management 

responsibility for a Gaming Enterprise. 

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 

more than ten (101 percent of an 

individual. limited partnership 

interest. 

c. Partnership - Each equity holder or 

partner. 

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. 

q. 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 (101 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. S 7811, or is an 

issuer subject to Section 15fd) of the 
Securities Exchange Act of 1934, as amended 

(15 U.S.C. 8 780). 

62. Race Book shall mean the business of 

accepting Wagers upon the outcome of any 

event held at a Track which uses the PariMutuel system of wagering. 

63. 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. 

64. Reservation shall mean Gila River Indian 

Community Indian lands as defined by 25 

U.S.C. Sections 2703 (4) (A) and (B) , 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 

delineating the secure areas in the Gaming 

Areas) . 

66. Sports Pool shall mean the business of 

accepting Wagers an sporting events by any 

system or method of wagering other than the 

system known as the Pari-MutueI 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, 

69. Subsidiaxy shall mean a corporation all or 

any part of the outstanding voting 

securities of which axe owned, subject to a 

power or right of control, or held with 

power to vote, by a publicly traded 

corparation 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. 

TI. Title shall mean the Gila River Gaming 

Ordinance, as amended from time to time. 

72. Token shall mean a metal representative of 

value, redeemable for cash, issued and sold 

by a Gaming Enterprise located on the 

Reservation for use in Gaming Devices and 

table or counter games at a Gaming 

Enterprise. 

73. Tort Claim shall mean a claim arising from 

any alleged personal injury to a Patron or 

invitee or damage to the property cf a 

Patron or invitee within a Gaming Area and 

excludes all other causes of action. 

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

value risked on an uncertain occurrence in 

Class I1 or Class I11 Gaming. 

22.102 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 period falls on a day in which the weather or 

other conditions have made the offices in which the report 

or document is to be filed inaccessible, in which event the 

designated period shall extend until the end of the next 

day on which the office is accessible which is not a 

Saturday, Sunday or legal holiday, 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 communityls 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 Earning Commission. 

CHAPTER 2 - GEmERu 

22.201 OWNERSHIP OF GAMING ENTERPRISES ON THE 

RESERVATION 

The Community shall have the sole proprietary interest 

in the conduct of any Class II or Class I31 Gaming Activity 

located on the Reservation. 

22.202 USE OF GAMING RI!XEiWUE 

A. Net revenues from Class I1 and Class I11 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 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) (31 . 

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 GTLA 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: 
To pemit or refuse permission for the operation 

or conduct, in whole or in part, of Class I1 or 

Class 111 Gaming on the Reservatfon and to 

specify the conditions therefore in accordance 

with this Title. 

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 

Executive Director or his/her delegate, the 

authority to grant Temporary Licenses and Casino 

Resort Permits to persons in accordance with this 

Title. 

To monitor and oversee the operation and conduct 

of all Gaming Activity on the Reservation on a 

continuing basis, including ongoing monitoring 

and oversight of Licensees engaged in the 

operation and conduct of Gaming Activity. 

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. 

To monitor and oversee all Casino Resort 

Permittees. 

To inspect and examine all premises of a Casino 

Resort and other premises in which gaming is 

conducted on the Reservation. 

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. 

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. 
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. 

To inspect, examine, photocopy and audit all 

papers, books and records respecting the business 

operation being conducted at a Casino Resart by a 

Casino Resort Employer. 

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. 

To enter into contracts with Tribal, federal, 

state and private entities for activities and 

services necessary for the discharge of its 

duties. 

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. 

Subject to approval by the Community Council, to 

recommend an annual budget of the Commission. 

Subject to approval by the Community Council, to 

establish fees for Applications, Licenses and 

Casino Resort Permits. 

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. 

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 an annual report to the Community 

Council regarding the activities of the 

 omm mission 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 regulated pursuant hereto. 

W. To promulgate ~egulations as it deems appropriate 

to implement the provisions herein. 

22 -303 COMPOSITION OF THE COMMISSION 

The Commission shall consist of five (5) members 

appointed by a majority of the Community Council. Members 

of the Commission must be enrolled members of the Gila 

River Indian Community or, if not a member therein, a 

person with experience in gaming operations, gaming law, 

gaming control or regulation, or gaming accounting 

sufficient to specially qualify him or her for appointment 

to the Commission. 

22.304 TEWS OF COMMISSIONERS 

A commission member shall serve for three (3) years 

except that in order to initially establish an annually 

staggered appointment schedule, two ( 2 ) of the Founding 

~ornmissioners shall serve three (31 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 of appointments to the Commission 

shall be for three (3) year terms. 
22.305 SELECTION OF OFFICERS 

The Commission shall select annually, by majority 

vote, a Chairperson, a Vice Chairperson, and a Secretaxy. 

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 Council, but no Commissioner 

may be so removed on account of the exercise of reasonable 

judgment by a Commissioner on a matter within the 

Commissionls responsibility. 

22.308 VACANCIES 

Any unexpired portion of a Commissioner9 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 REQUIREMENTS FOR COMMISSION MEMBERSHIP 

A. Commissioners may net hold office 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. 

B. 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 willfully provided 

materially important false statements or 

information or omitted materially important 

information on his or her background 

questionnaire; or 

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 ox 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. 

22.310 COMMISSIOFERS BARRED FROM GAMINE ON RESERVATION 

A Commissioner may not patronize either directly or 

through another party any Class I1 or Class I11 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. 

22.312 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. 

22.313 GENERAL MEETINGS 

General meetings of the Commission shall be open to 

the public and all meetings shall be governed 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 the Commission are vested in the 

Commissioners. A11 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 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 make quarterly reports to the 

Community Council within forty five (45) days following the 

close of each calendar quarter. The Chief Executive 

Officer of a Gaming Enterprise shall cooperate with the 

Commission in the preparation of the reports. The 

Commisaionfs reports to the Community Council shall 

include : 
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. 

The Commission is empowered to adopt, amend and 

rescind Regulations to effectuate the provisions of the 

Compact and this Title. Within ninety I90) days of the 

establishment of the Commission, Regulations shall be 

adopted which effectuate at least the following procedures: 

A. At least thirty (301 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 Commissi~n is considered, notice of the 

proposed action shall be: 

I. 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, 

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 

3. mailed to any person believed by the 

commission to have an interest granted 

pursuant to this Title. 

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 Sect ion 

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 mattexs 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; 

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. 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). 

G. 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. 

8. The Commission may request the advice and 

assistance of the Community Council in carrying 

out the provisions of this Section. 

22.319 MAINTENANCE OF BOOKS AND RECORDS 

A. The Commission shall maintain books and records 

of its activities relatfng to authorized Gaming 

Activities. The Commission shall maintain such 

books and records, either, (a) throughout the 

tern 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 IbE , as provided in a written 

agreement between the Commission and the State, 

as authorized in Section 22.319.(B) 

B. 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) . 

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. has been convicted of any felony or gaming 

offense; 

2. 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 

3. 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. 

22.321 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 previsions of this 

Title, the Compact and the Act; 

2. The cost-effective management of the 

Commissionls 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 firing 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. Regulax reporting to the Commission 

according to a written schedule prepared and 

approved by the Commission; 

8. The scheduling of and logistfcal 

arrangements concexning 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 

12. The performance of all other such duties and 

responsibilities as may be assigned by the 

Commission. 

B. The Commission may, in its discretion, add 

additional provisions to the duties and 

responsibilities of the Executive Director. 
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 things 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. 

CHAPTER 4 - LICENSING PROCEDURES 

22.401 LICENSING REQUIREMENTS, GEMEFCALLY 

A. 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 Section 4(b) 

License from the Commission priox to the 

commencement of their employment or their 

participation in any Gaming Activity. 

B. The Commission may, in its sole discretion, 

require a person applying for or holding a 

Section 4(b) License to apply for any additional 

gaming certification regardless of whether or not 

such additional certification is required by the 

Compact. 

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 

~eservation where a Gaming Enterprise is involved 

in the conduct of Class I1 or Class I11 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 4Ib) 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 Ib) License upon: {i) receipt of a 

completed Application for a Section 4(b) License, 

(ii) completion of a background investigation and 

(iii) the Applicant satisfies the standards set 

forth in Section 22.430 herein. 

H. Duration and Renewal of Licenses. A11 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. 
22.402 LICENSE APPLICATION 

A. Notice to Applicant - The following notice shall 

be placed on the Application form for prospective 

Key Employees and Primary Management Officials: 

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. 5 2701 et seq. The 

purpose of the requested information is 

to determine the eligibility of 

individuals to be employed in a gaming 

operation. The information will be 

used by members and staffs of the Gila 

River Indian Gaming Commission (the 

"Commission"), the National Indian 

Gaming Commission (the "NIGC") and the 

Arizona State Gaming Agency (the 

"ASGAv) who have need for the 

information in the performance of their 

official duties. The information may 

be disclosed 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 

requirement by the Commission, the NIGC 

or the ASGA in connection with the 

hiring or firing of an employee, the 

issuance or revocation of a gaming 

License, or investigations of 

activities while associated with a 

Gaming Enterprise on the Gila River 

Indian Reservation. Failure to consent 

to the disclosures indicated in this 

notice will result in a finding of 

ineligibility for employment or a 

License in a Primary Management 

Official or Key Employee position by a 

Gaming Enterprise operated on the Gila 

Rives Indian Reservation as defined 

pursuant to Title of the Gila 

River Indian Community Code. 
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 privilege 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 underszood to be at all 

times on the Applicant. An Applicant 

assumes any risk of adverse public 

notice, embarrassment, criticism or 

other action ox financial loss which 

may result from action with respect to 

an Application and expressly waives any 

claim for damages against the Community 

as a result thereof. 

In addition to any other factor 

attaching to an Application required by 

Gila River Indian Community Code Title 

or the Compact, an Application for 

a License shall constitute a request to 

the Commission, the MIGC and the ASGA 

for a 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 

disqualification from consideration for 

employment (or for termination after 

hire if selected} 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, ox Temporary 

License, who is a Key Employee or Primaq 

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's full name and other names used 

l 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 

personal reference who was acquainted with 

the Applicant during each period of 
residence listed under paragraph b. (2 ) , immediately above; 

Current business and residence telephone 

numbers : 

A description of any existing and previous 

business relationships with Indian tribes, 

including ownership interests in those 

businesses; 

A description of any existing and previous 

business relationships with the gaming 

industry generally and any ownership 

interest in businesses or Entities with a 

direct or indirect involvement in the gaming 

industry; 

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; 

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; 

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; 

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 otherwjse listed 

pursuant to paragraph (B) (8) or (B) 19) of 

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

date and disposition; 

1. The name and address of any licensing or 

regulatory agency with which the person has 

filed an application for an occupational 

License or permit, whether or not such 

License or permit was granted; 

12. A current photograph; 

13. Any other information the Commission deems 

relevant; and 

14. Fingerprints which, consistent with 

procedures adopted by the 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 Interior or 

such other law enforcement agency qualified 

to take fingerprints. 

C. Each Applicant for a License 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 accurate 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 

Applicant receives notice of the Commission9 

request for supplemental information shall 

constitute grounds for denying the Application or 

delaying consideration of the Application, 

E. All information requixed to be included in an 

Application must be true and complete as of the 

date of the Commission9 action on the 

Application. An Applicant bears the 

responsibility on his or her awn 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. 

F. 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 . 

G. 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. 

22 -403 APPLICATION AND INVESTIGATI'ErE FEES 

A. 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. 

B. In addition to any nonrefundable Application fees 

paid, the Commission may require an Applicant to 

pay such supplementary investigative Eees and 

costs as required by the Commission. Such 

supplementary Eees 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 dekermined. 

C. 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. 

D. 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. 

22.404 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 ox 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 HEARING ON APPLICATIONS 

A. 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 req-uested. 

B. 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 Commissi~n. 

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 ta conduct a hearing to 

consider the State's recommendation if the 

Commission decides co 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 (IS) 

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. 

22.406 WITHDRAWAL OF APPLICATION 

A. An Applicant may not withdraw an Application 

unless he/she obtains the written permission of 

the Cammission. 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. 

B. The Commission may, in its discretion, deny a 

request for withdrawal of an Application or grant 

the request with or without prejudice. 

C. 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. 

22 -407 APPLICATION FOR LICENSE AFTER DENIAL 

my person or Entity whose Application has been denied 

shall be foreclosed from reapplying for a License, 
Temporary License or Section 4Ib) License for a period of 

one (3.) year from the effective date of the denial, unless 

the Commission expressly advises in writing that the denial 

is without prejudice as to reapplication. 

22.408 APPLTCATIONS 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 two (2) years 

from the effective date on which notice of the Cornmissionts 

action was provided to the Gaming Enterprise at which the 

person first applied for employment. 

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 contxolled 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 41b) 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, habits and 

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. 
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 BACKGROUND INVESTTGATION 

A. The Commission shall conduct or cause to be 

conducted an investigation sufficient to make a 

determination of every Application submitted 

pursuant hereto. Tn 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. 

B. 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 05 

Gaming Devices, Gaming Equipment and Gamtng 

Services. 

C. The Commission shall forward a copy of the 

Application and investigative report for Key 

Employees and Primary Management Officials to the 

National Indian Gaming Commission as follows: 

1. Whenever a Key Employee or Primary 

Management Official applies for a License 

under this Title, and before a License is 

granted under Section 22.4011A1, herein, the 

Commission shall forward to the National 

Indian Gaming Commission a completed 

Application and a request that a background 

investigation be conducted. 
The Commission shall also forward an 

investigative report to the National Indian 

Gaming Commission upon its completion or not 

later than sixty I601 days after a Key 

Employee or Primary Management Official 

begins work at a Gaming Enterprise on the 

Reservation. The investigative report shall 

describe the steps taken in the 

investigation, any conclusions reached, and 

all 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 investigative 

report, a copy of the eligibility determination 

made under Section 22.413 herein for each Key 

Employee and Primary Management Official. 

E. In the event the Commission does not issue a 

License to an Applicant who has submitted an 

Application for a License, the Commission: 

1. Shall notify the State Gaming Agency; and 

2. Shall forward copies of any non-eligibility 

determinations along with any investigative 

reports for those Applicants who are Key 

Employees or Primary Management Officials to 

the National Indian Gaming Commission for 

inclusion in the Indian Gaming Individuals 

Records System. 

F. Background investigations of Key Employees and 

Primary Management officials--Description of 

Procedures 

The procedures for background investigation of 

Key Employees and Primary Management Officials 

are as follows: 
1. The Commission is responsible 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 background 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 of background 

investigations to the National Indian 

Gaming Commission; 

d. Obtain and process fingerprints; and 

e. Make suitability determinations, 

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 

f omer 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 investigation; 

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 

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 Ic) shall apply. 

4. The investigative procedure set forth in 

Section 22.4lZIF) (4) herein, shall apply. 
5. The investigative reporting procedure set 

forth in Section 22.412(F) (5) herein, shall 

apply - 

22.413 GRANTING A GAMING LICENSE 

A. If, within a thirty (30) day period after the 

National Indian Gaming Commission receives both 

an Application and an investigative report fm 

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. 

B. The Commission shall respond to a request for 

additional information from the National Indian 

Gaming Commission concerning a Key Employee ox a 

Primary Management Official who is the subject of 

an investigative report. Such a request shall 

suspend the thirty (30) day period under 

Subsection 22.413(A) until the National Indian 

Gaming Commission receives the additional 

information. 

C. If, within the thirty (301 day period described 

above the National Indian Gaming Commission 

provides the Commission with a statement 

itemizing 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 investigative report 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. 

22 -414 LICENSE SUSPENSTON AND REVOCATION 

A. If, after the issuance of a License or Section 

4 (b) License, the Commission receives from the 

National Indian Gaming Commission or other source 

reliable information indicating that a Key 

Employee, a Primary Management Official, or other 

Licensee is not eligible for a License or Section 
4(b) License under Section 22.410 herein, the 

Commission, based on the judgment of a majority 

of the Commissioners, shall suspend such License 

or Section 4(b) License upon a showing that any 

one of the following is at risk: i the public 

interest, (ii) the effective regulation and 

control of gaming, or (iii) the safe, fair and 

honest operation and conduct of Class I1 or Class 

I11 Gaming on the Reservation. The Cammission 

shall notify the Licensee in writing of the 

suspension and the proposed revocation. 

B. 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) License. 

C. 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 22.4213 herein. 

After a revocation hearing, the Commission shall 

decide whethex 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. 

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: 

I. 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 IT or Class 

111 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 

failed to comply with the provisions of this 

Title or the terms of any License granted 

pursuant hereto; 

7. does not meet the standards established in 

Section 22.410 herein; 

8. has failed to comply with applicable laws or 

regulations of the Community, Regulations of 

the Commission, provisions of the Compact, 

regulations of the National Indian Gaming 

Commission, the Act, or other applicable 

federal laws; or 

9. has been elected to the Community Council. 

22.415 IMMEDIATE SUSPENSION 

If, in the judgment of a majority of Comissioners, 

the public interest, the effective regulation and control 

of yarning or the safe, fair and honest operation and 

conduct of Class I1 or Class 111 Gaming on the Reservation 

requires 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 upon service of a complaint upon 

the 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 complaints, subpoenas, or other 

process may be accomplished in the same manner as similar 

process issued by the Courts of the Gila River Indian 

Community or if served outside the boundaries of the 

Reservation, then according to the applicable local rules 

of civil procedure. The Commission may include in its 

complaint a request for the imposition of fines, as 

authorized under Section 22.431. 

22.417 [deleted] 

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 DECISfON 

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 shall 

issue its decision within sixty 160) 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 

xevocation ordered. 
D. The State Gaming Agency shall have the 

opportunity to participate in a hearing 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. 

22.420 SURRENDER OF LICENSE 

When the Commission suspends or revokes a License, ar 

Section 4 1b) License, the Licensee shall surrender the 

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

before the effective 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. 

ADDITIONAL SANCTIONS 

A. Upon a determination to suspend or revoke a 

License or Section 4(b) License and in addition 

to any other penalties imposed, the Commission 

may declare a Licensee ineligible to: 

1. Participate, directly or indirectly, in the 

operation or conduct of Class I1 or Class 

111 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. 

B. 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. 

22.422 ADWTRSARY PROCEEDINGS OF THE COMMISSION 

A. 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 ax 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. 

C. Answer - The respondent shall file an answer to 

the complaint with the Commission within twenty 

(20) days after service of the complaint. 

1. In his or her answer the respondent must: 

a. state in 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 allegations shall be 

deemed denied; and 

d. affirmatively set forth any matter 

which constitutes an avoidance or 

affirmative defense. 

2. The respondent may demand a hearing in his 

or her answer to the complaint. Failure to 

demand a hearing in the answer constitutes a 

waiver of that right but, at the 

Commission's discretion, a hearing not 

requested in the respondent" answer may be 

granted . 
3. Failuxe to file an answer constitutes an 

admission by the respondent of all Eacts 

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 

fourteen 114) days foLlowing receipt of 

respondent" answer. 

E. Appearance Through Counsel 

1. Parties to proceedings governed by this 

Title may appear personally or through an 

attorney, except that the parties must 

themselves attend any hearing on the merits 

unless such attendance is waived in advance 

by the Commission. 

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 Dixectar may appear by and 

have the assistance of counsel. 

E. Prehearing Conferences 

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 will avoid unnecessary 

proof, stipulations regarding the 

admissibility or authenticity of 

documents, and advance rulings fram the 

Chair of the Commission regarding the 

admissibility of evidence; 

d. the avoidance of unnecessary findings 

of proof and evidence; 

e. the identification of witnesses and 

documents, the need and schedule for 

filing and exchanging prehearing 

briefs, and the date or dates for 

further con£ erences and for the hearing 

on the merits; 

5. 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 the action. 

3. At a time designated by the Chair of the 

Comm i s s ion, the respondent and the Executive 

Director shall set ferth in a written 

prehearing statement, to be filed in the 

proceeding record, any matter no longer in 

dispute, and any matters for which no 

agreement has been reached and which require 

a ruling. 
G. Discovery: Mandatory Exchanges 

Within twenty (20) calendar 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, the respondent and the Executive Director 

shall personally confer and shall: 

1. Exchange copies of all documents then 

reasonably available to a party which are 

then intended to be offered as evidence in 

support of the party's case in chief; 

Identify, describe, or produce a11 tangible 

and reasonably available things, other than 

documents, which are intended to be offered 

as evidence in support of the party's case 

in chief, and upon request, arrange for the 

opposing party or parties to inspect, copy, 

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 pasty shall provide a home 

address for the witness, or shall make the 

witness available for sexvice 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. 
22.423 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 heax 

arguments on the motion, or may grant, deny, or 

reserve decision thereon, with or without 

argument . 

E. If no motion to dismiss is made, ox 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 

~xecutive Director may present rebuttal argument. 

Thereupon the matter will stand submitted for 

decision. 

H. Any member of the omm mission 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 Corrrmission. If the Commission does not adopt 

a hearing officer" decision, then the Commission 

shall establish such further proceedings as may 

be required to enter a final decision and shall 

provide norice of the same to the Licensee. 

22.424 EVIDENCE: ADMISSZBJLTTY 

A. 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. 

B. Irrelevant or unduly repetitious evidence shall 

be excluded upon request of a party or the 

Commission's own initiative. 

22.425 EVIDENCE: AUTHENTICRTION ANI3 IDENTIFICATION 

Documentary and other physical evidence may be 

authenticated or identified by any method thsaugh which the 
matter in question can be shown to be what its proponent 

claims it to be. 

22.426 FAILURE OR REFUSAL TO TESTIFY 

A. 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. 

B. 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 

self-incrimination 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. 

C. 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 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 repested by the 

Executive Director in the complaint with respect 

to that respondent. 

A matter shall not be continued except for good cause 

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

least ten (10) calendar days prior to the hearing date and 

nay be granted or denied in the discretion of the Chair of 

the Cornmi s s ion. 

Failure of a respondent to file 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. Tn 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, the 

Commission may set aside any action it has taken based upon 

a default . 

22.429 STANDARDS OF PROOF 

Findings of fact shall be based upon a preponderance 

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

be supported by evidence that, when considered and compared 

with opposing evidence, has more convincing force and 

pxoduces in the minds of the Commissioners a belief that 

what is sought to be proved is more likely true than not 

true. 

22.430 DECISIONS OF THE COMMISSION 

Final decisions of the Commission regarding 

disciplinary proceedings shall be in writing, issued within 

sixty (60) days after the hearing and served upon the 

parties pexsonally, by certified mail, return receipt 

requested. A copy shall also be provided to the Governor 

of the Community at the same time. 

22.431 PENALTIES 

A. The Commission may suspend, revoke, limit or 

condition the License or Section 4(b) License of 

any person or Entity, or order the suspension or 

termination of any Gaming Employee 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 $5,000 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 the general fund of the 

Community. 

B . If, instead of suspending, revoking, limiting, or 

conditioning the License or Section 4 Eb) License, 

of a Licensee ar terminating or suspending a 

Gaming Employee, the Commission imposes a fine, 

the Licensee or Gaming Employee may request a 

hearfng before the Commission to challenge the 

fine . The Commission shall promulgate 

reyuPationa establishing the procedures for a 

hearing on a challenge to a Commission fine. 

C. 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. 

22 -432 RIGHT TO APPEAL TO COMMUNITY COURT 

A Licensee may appeal a final decision of the 

Commission to impose a fine of five hundred dollars ($500) 

or more or to suspend or revoke a License or Section 4 (b) 

License, but not the denial of an Application, in the 

Community Court at any time within thirty (30) days after 

the effective date of such final decision. A decision of 

the Community Court of last resort shall be final. 

CHAPTER FIVE - CONDUCT OF CUSS I1 AND CWlSS IXX 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 OF GAMING ENTERPRISE FINANCIAL 

INFORMATION 

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 MAImmmCE OF BOOKS AND RECORDS; COMMISSION 

ACCESS 

A. A Gaming Enterprise shall maintain books and 

records relating to authorized Gaming Activities 

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 tern 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 (bl, 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 &LOWABLE OPERATING EXPENSES 

A. No item of expense shall be incurred or paid by a 

Gaming Enterprise in connection with the 

operation or conduct of Class I1 or Class 111 

Gaming, or any other activity, except business 

related expenses of reasonable amounts. 

B. 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. 

C. 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. 

D. No extraordinary expenses or obligations not in 

the ordinary course of business, such as to 

expand a facility, to purchase or lease real 

property, or to encumber the property or revenue 

of a Gaming Enterprise may be incurred or 

undertaken except upon the prior approval of the 

Community Council. 

22.505 DEPOSIT OF GROSS RECEIPTS; PAYMEXI? 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 payroll, 

slots jackpot, keno prizes, bingo prizes, and for ATM 

transactions. 

22.506 ANNUAL AUDIT 

A. 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 Gaming 

Commission both within one hundred twenty (120) 

days after the close of the Fiscal Year of the 

Gaming Enterprise. Within one hundred twenty 

(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. 

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 

perf om 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: 

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 proceduxes 

used by the Gaming Enterprise to count and 

handle cash, Chips, Tokens, 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. 

Any contract with a Gaming Enterprise for 

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

annually, except contracts far professional Legal and 

accounting services, shall be specifically included within 

the annual outside audit. 

22.508 DISPOSITION OF NET CASH RECEIPTS 

The net cash receipts derived from the conduct of 

Class I1 and Class 111 Earning conducted on the Reservation, 

including receipts from any source, shall be deposited into 

the general fund of the Community on a daily basis, subject 

to a reasonable reserve for operations. 

22.509 COMPLIANCE WITH THE INTERNAL FEVENUE 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 Gaming Employees and persons who operate or 

conduct, or assist in operation or conduct of Class 11 or 

Class 111 Gaming shall wear legible tags evidencing their 

names and the legend of the Gaming Enterprise. All Casino 

Resort Employees shall wear legible tags evidencing their 

names. The tags for Gaming Employees shall be distinctly 

different from those issued to Casino Resort Employees. 

22.512 QUALIFICATION FOR EMPLOYMF,NT; 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, shall 

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 Enterprise must not employ any applicant for 

employment, and shall terminate the employment of any 

current Gaming Enterprise employee, if it is determined 

that the applicant or employee: 

A. has been convicted of any felony or gaming 

offense; 

B. has knowingly and willfully provided materially 

important false statements or information or 

omitted materially important information on his 

or her employment application or background 

questionnaire; or 

C. is determined to be a person whose prior 

activities , criminal record, if any, OX 

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. 

22.513 PREFERENCE IN EMPLOYMENT 

At least sixty-five (65%) percent of the employees of 

each Gaming Enterprise located on the Reservation shall be 

members of the Community or their spouses or children; 

provided, however, that each Gaming Enterprise employee 

shall be qualified for the position for which he or she was 

hired according to standards set by the Gaming Enterprise. 

If sufficient numbers of qualified members of the Community 

and their spouses and children are not available so that 

the provision of this Section can be met, members of other 

Indian tribes shall be hired instead toward the achievement 

of this revirernent. Gaming Enterprises 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 a£ avoiding 

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

through independent contractors. 

22.514 ADVERTISEMENT OF POSITIONS 

A11 positions and vacancies in Gaming Enterprises 

located on the Reservation shall be posted in all Gaming 

Areas and at such other reasonable locations as are 

selected by the Commission for at least seven (7) days 

prior to filling the position or vacancy. The position 

notices shall contain a statement of minimum job 

qualifications, job duties, hours of work, compensation and 

shall outline the application procedure, including the 

application deadline. 

22,515 PERSONNEL POLICIES 

Each Gaming Enterprise shall adopt and provide to each 

employee written personnel policies which shall provide a 

grievance 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 130) days following the effective 

date of the lease or any amendment and shall include: 

A. the name, address, and a brief statement of the 

nature of the business of the Lessor; 

B. a brief description of the material terms of the 

Lease; and 

C. a brief description of any business relationships 

between the operating licensee and the Lessor 

other than by the Lease. 

22.517 EMPLOYEE REPORT 

Each Gaming Enterprise shall submit a quarterly 

employee report to the Commission on a Eom to be furnished 

by the Commission. The report shall identify the job 

classification for each Licensee engaged in Gaming Activity 

and for each whether: 

A. the rindividual is directly or indirectly engaged 

in the administration or supervision of the 

Gaming Enterprise or security activities of the 

Gaming Enterprise; 

B. the individual is compensated in any manner in 

excess of $80,000 per annum; 

C. the individual has authority to hire or terminate 

Gaming Employees; 

D. the individual has the authority 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 casino 

Patxons complimentary services other than 

complimentary beverages; 

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 individually 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, ox 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; 

2. the amount and source of the funds, property 

or credit to be received or applied for; 

3. the nature and amount of security to be 

provided by or on behalf of the Gaming 

Enterprise ; and 

4. the purpose of the transaction. 

B. The report shall be accompanied or supplemented 

by copies of documents, and such other supporting 

data as the Commission may require. 
C. If, after such investigation as the Commission 

deems appropriate, and before the transaction is 

completed, the Commission finds that the 

transaction is inimical to the health, safety, 

morals, good order and general welfare of the 

Community, or would reflect, or tend to reflect, 

discredit upon the Community, the Commission 

shall order that the transaction not be completed 

or that it be modified upon such terms and 

conditions as it may deem appropriate. 

22.519 AUTHORIZED GAMING; OPERATIONAL REQUIREMENTS 

A. It is the policy of the Community to require that 

Gaming Activity licensed under this Title be 

conducted in a manner suitable to protect the 

public health, safety, morals, good order and 

general we1 f are of the Community . 

B. The Gaming Enterprise is authorized to conduct 

gaming in accordance with Community and federal 

law ad the Regulations of the Commission. 

C. Responsibility for the employment and maintenance 

of suitable methods of operation rests with the 

Gaming Enterprise and willful or persistent use 

or toleration of methods of operation deemed 

unsuitable will constitute grounds for License 

revocation or other adverse action. 

The Gaming Enterprise shall promptly notify the 

Commission of any non-compliance with the Title, 

Regulations, the Compact, or the Act or any other 

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 

non-compliance with the Internal Control System. 

The Gaming Enterprise shall promptly notify the 

Commission 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. 
22.520 PUBLICATION OF PAYOFFS 

A. Each Gaming Device shall display to the player, 

at all times the Gaming Device is available for 

player input, payoff schedules or awards 

applicable to that Gaming Device, whether 

displayed directly or as a menu item. 

B. Payoff schedules or awards applicable to every 

Class II or Class 111 game shall be displayed by 

the Gaming Enterprise at all times either on the 

card table or in a conspicuous place readily 

accessible to a11 players. 

C. Payoff schedules or award cards must accurately 

state actual payoffs or awards applicable to the 

particular game or device and shall not be worded 

in such manner as to mislead ox deceive the 

public. Maintenance of any misleading or 

deceptive matter on any payoff schedule or award 

card or failure on the part of the Gaming 

Ehterprise to make payment in strict accordance 

with posted payoff schedules or award cards may 

be deemed an unsuitable method of operation. 

22.521 GAMING BY PRINCIPALS AND EMPLOYEES 

No Licensee or person actively involved in the 

management of or the conduct of licensed games, shall play 

or be permitted to play, either directly ar indirectly 

through another person, any Class I1 or Class 111 game 

conducted on the Resenation. 

22.522 TRAPJSFER OF INTEREST BY LICENSEES 

A, 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 

 omm mission, including the names and addresses of 

the parties, the extent of the interest proposed 

to be transferred ox assigned and the 

consideration therefor. 

3. 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. 

C. If the Commission does not give notice of 

disapproval of the proposed transfer of interest 

within fifteen (153 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 Cemmission. The parties shall 

immediately notify the Commission when the 

transfer of interest is actually effected. 

D. A Gaming Enterprise may not transfer or assign 

my interest in the Gaming Enterprise, any Gaming 

Activity, its License, or any future revenue 

without prior approval of the Community Council. 

E. Any License, Section 4 (b) License, or Casino 

Resort Permit held by a natural person may not be 

assigned. 

523 GAMING DEVICES 

A. No Gaming Device shall be made available for play 

by the public unless the Gaming Device has been 

leased, purchased or otherwise obtained from 

Manufacturers and Distributors licensed by the 

Commission. 

B. 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 reguirernents of this Title 

and the Compact. 

C. 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. 

22.524 REGULATION OF CHIPS AND TOKENS 

A. Chips and Tokens 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 and Tokens to the 

extent reasonably possible. Chips and Tokens 

must not deceptively resemble any current or past 

coinage of the United States or any other nation. 

B. The Gaming Enterprise may not issue Chips or 

Tokens for use in a Gaming Area or sell or redeem 

Chips or Tokens unless the Commission has 

approved in writing the Gaming Enterprise's 

specifications for the Chips and Tokens. Such 

specifications shall meet the requirements of the 

Compact and Regulations, including, but not 

limited to, the following xequirements: 

1. the name of the Gaming Enterprise must be 

inscribed on each side of each Chip and 

Token ; 

2. the value of the Chip or Token must be 

inscribed on each side of each Chip and 

Token, other than Chips used exclusively at 

roulette; 

3. the manufacturerls name or a distinctive 

logo or other mark identifying the 

manufacturer must be inscribed on at least 

one side of each Chip and Token; 

4. each Chip or Token must be designed so that 

when stacked with Chips and Tokens 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 and Tokens 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, ox in the 

colors required by the rules of the 

game; and 

g. Other Chip denominations may be used 

with approval of the Commissian and the 

State Gaming Agency. 

Specifications for Chips - Unless the Commission 

approves otherwise, Chips must be disk shaped, 

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

of: 

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 issued for use 

exclusively at a Race Book, Sports Pool or 

particular game must bear an inscription 
clearly indicating that use of the Chip is 

restricted te that game. 

D. Specifications for Tokens - Unless the Commission 

approves otherwise, Tokens must be disk-shaped 

and must measure as follows: 

1. No Token may be smaller than 1.459 inches or 

larger than 1.95 inches in diameter, and no 

Token may be from 1.475 through 1.525 inches 

in diameter; 

2. One dollar denomination Tokens must be from 

1.459 through 1.474 inches in diameter, from 

.095 through -115 inch thick, and, if the 

Token has reeds or serration on its edges, 

the number of reeds or serration must not 

exceed 150; 

3. Five dollar denomination Tokens must be 1.75 

inches in diameter, from -1-15 through -135 

inch thick, and, if the Token has reeds or 

serration on its edges, the number of reeds 

or serration must not exceed 175; 

4. Twenty-five dollar denomination Tokens must 

be larger than 1.75 inches but no larger 

than 1.95 inches in diameter {except that 

such Tokens may be 1.654 inches lor 42 

millimeters) in diameter if made of 99.9 

percent pure silver), must be -10 inch 

thick, and, if the Token has reeds or 

serration on its edges, the number of reeds 

or serration must not exceed 200; 

5. Tokens of other denominations must have such 

measurements and edge reeds or serration as 

the Commission may approve; 

6. Tokens must not be manufactured from 

material possessing sufficient magnetic 

properties so as to be accepted by a coin 

mechanism, other than that of a Gaming 

Device; and 

7. Tokens must not be manufactured from a 

three-layered material consisting of a 
copper-nickel alloy clad on both sides of a 

pure copper core, nor from a copper-based 

material, unless the total of zinc, nickel, 

aluminum, magnesium, and other alloying 

materials is at least 20 percent of the 

Token's weight. 

22.525 USE OF CHIPS AMD TOKENS 

A. The Gaming Enterprises shall: 

3. Comply with this Title, Compact , Regulations, and all applicable statutes and 

regulations pertaining to Chips or Tokens; 

2. Sell Chips and Tokens only to Patrons of the 

Gaming Enterprise and only at their request; 

3. Promptly redeem its own Chips and Tokens 

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 Tokens and segregating those 

issued by another Gaming Enterprise to 

prevent the issuance to its Patrons of Chips 

and Tokens issued by another Gaming 

Enterpxise. 

B. Gaming Enterprises shall not accept Chips or 

Tokens as payment for any good or services 

offered at the Gaming Enterprises with the 

exception of the specific use for which the Chips 

or Tokens were issued, and shall not give Chips 

or Tokens as change in any other transaction. 

C. Gaming Enterprises shall not xedeern its Chips or 

Tokens if presented by a person whom the Gaming 

Enterprise knows or reasonably should know is not 

a Patron of the Gaming Enterprise, except that a 

Licensee shall promptly redeem its Chips and 

Tokens if presented by an employee of the Gaming 
~nterprises who presents the Chips and Tokens in 

the normal course of employment. 

D. 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, places the redeemed Chips in the 

table's drop box, and separates and properly 

accounts for the redeemed Chips during the count 

performed pursuant to the Internal Control 

Sys tern. 

22.526 REDEMPTION AND DISPOSAL OF DISCONTINUED CHIPS AND 

TOKENS 

If the Gaming Enterprises permanently removes from use 

or replaces approved Chips or Tokens at the Gaming 

Enterprise it shall redeem discontinued Chips and Tokens 

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 DESTRUCTION OF COUNTERFEIT CHIPS AND TOKENS 

A. Unless a law enforcement officer instructs or a 

court of competent jurisdiction orders otherwise 

in a particular' case, the Gaming Enterprises 

shall destroy or otherwise dispose of counterfeit 

Chips and Tokens discovered in the Gaming Areas 

in such manner as it deems appropriate. 

B. Unless a peace officer instructs or court of 

competent jurisdiction orders otherwise in 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 othex lawful manner. 
C. The Gaming Enterprises shall record: 

1. The number and denominations, actual and 

purported, of the coins and counterfeit 

Chips and Tokens destroyed or otherwise is 

disposed of pursuant to this Chapter; 

2. The month during which such coins and 

counterfeit kips or Tokens 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. 

D. The records required by Section 22.5272C). must 

be retained for a period of two (21 years. 

22.525 OTHER GAMING EQUIPMENT 

All Class IT or Class I11 Gaming Equipment must be 

designed, manufactured, 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 I1 or Class 111 Gaming Activity or any 

activity of a Gaming Enterprise is operated or conducted, 

shall at all times be open to inspection by the Commission 

and its Executive 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 Dixector. 
22.530 PROTECTION OF THE ENVIRONMENT AND PUBLIC HEKLTH 

AN13 SAFETY 

Class I1 and Class 111 Gaming Areas shall be 

constructed, maintained, and operated in a manner that 

adequately protects the environment and the public health 

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 111 Gaming Activity. 

CHAPTER 6 - CONDUCT OF CLASS I1 GAMES 

22.601 MERCHANDISE PRIZES 

When any merchandise is awarded as a prize in a Class 

I1 game, the value of such merchandise shall be its actual 

retail price. 

22.602 PRIZE PURCHASE PRICES 

Equipment, prizes, and supplies for Class I1 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. 

22.604 CUSS I1 RULES OF PLAY 

A. The equipment used in Class I1 games and the 

method of play shall be such that each card shall 

have an equal opportunity to win. 

B. The objects or balls to be drawn shall be uniform 

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

characteris tic 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 the person 

removing the objects ox 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 caller 

must be present in the room where the greatest 

number of players are present. 

F. 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. 

G. The particular arrangement of numbers or 

designations required to be covered in order to 

win the game and the amount of the prize ahall be 

plainly and clearly described, and audibly or 

visibly announced to the players immediately 

before each game is begun. 

22.605 PLAYERS ENTITLED TO VERIFICATION 

Any player of Class IT. Gaming shall be entitled to 

call 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 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. 

CHAPTER 7 - ACCOUNTING PROCEDDRES 

22.701 [deleted] 

22.702 ACCOUNTING RECORDS 

A. 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 Enterprise management and individual 

and statistical game records reflecting 

similar information for all other games; 

5. Gaming Device analysis reports which, by 

each machine, compare actual hold 

percentages to theoretical hold percentages; 

6. All records required by the Internal Control 

System including, but not limited to, those 

relating to any Gaming Activity authorized 

by the Compact ; 
7. Journal entries for the Gaming Operation; 

8. Detailed records sufficient to accurately 

reflect gross income and expenses relating 

to its operation on a monthly and year-todate basis; 

9. Detailed records of any reviews or audits, 

whether internal or otherwise, performed in 

addition to the annual audit required by 

Section 22.506 of this Title, including, but 

not limited to management advisory letters, 

agreed upon procedure reviews, notices of 

non-compliance and reports on the Internal 

Control System; and 

10. Records of any proposed or adjusting entries 

made by an independent certified public 

accountant. 

C. A Gaming Enterprise shall create and maintain 

such records as required to accurately reflect 

gross gaming revenue and expenses relating solely 

to Gaming Activity, separate from any other 

revenue and expenses of the Gaming Enterprise. 

22.703 [deleted] 

22.704 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, this Title, the Compact, and the Act. Each 

Earning 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 Sys tern 

prior to its implementation by the Gaming Enterprise. 

22.705 [deleted] 
22.706 FINANCIAL SERVICES FOR CUSTOMERS 

A. A Gaming Enterprise may provide check cashing 

services, bankiny 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. 

8. 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 111 Gaming Activity. 

CHAPTER 8 - CLASS I GAMING 

22.801 CLASS I GAMING 

Until such time as the Community Council shall 

otherwise determine, the authority to control or regulate 

Class I Gaming activities shall remain with the Community 

Council . 

22.802 CLASS I GAMES EXEMPT FROM PROVISIONS OF THIS 

TITLE 

Notwithstanding the provisions of this Title, a 

nonprofit organization may conduct or operate small bingo 

games on the Reservation subject to the following 

restrictions: 
A. The nonprofit organization shall maintain its 

not-for-prof it status and no member, director, 

officer, employee or agent thereof may receive 

any direct or indirect pecuniary benefit other 

than the ability to participate in the games on a 

basis equal to all other participants. 

B. The nonprofit organization shall have been in 

existence continuously on the Reservation for at 

least a two (2) year period immediately prior to 

the conduct of a small bingo game. 

C. Nb person except a bona Side member of the 

nonprofit organization and an enrolled member In 

the Community or resident of the Reservation may 

participate directly or indirectly in the conduct 

or supervision of a Class L game. 

Except as otherwise provided by this Section a 

prize greater in amount or value than $1,000 

shall net be offered or given away in any single 

game of bingo and total prizes shall not exceed 

an amount or value greater than $3,000 for any 

occasion or the game shall be a Class IT game 

subject to authority of the Commission. Door 

prizes, discounts or other inducements with a 

value exceeding $50 per occasion shall not be 

given away. 

E. Upon special Application by the nonprofit 

organization to the Commission, the Commission 

may, in its discretion authorize one special 

bonus game to be played at weekly consecutive 

occasions with a quarterly prize limit of 

$12,000. A weekly consecutive occasion shall be 

an occasion played on the same day of each week 

during the quarter. The special bonus game may 

be played at each weekly consecutive occasion 

subject to rules to be promulgated by the 

Commission. The special bonus game is not 

subject to the prize limits set forth in Section 

22.802 (D) , above. 

F. A nonprofit organization shall not conduct or 

operate more than three (3) occasions of bingo 

during any calendar week. On any occasion at 
which bingo games are played they shall not 

exceed thirty-five (35) in number in any day. 

C*HAPYXR 9 - CRIMES AND LIABILITIES CONCERNING GAMING 

22.901 FRAUDULENT ACTS 

A. It shall be unlawful for any person: 

1. To alter or misrepresent the outcome of a 

game or other event an 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 acqlujsition 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 

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 fox 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. 

22.902 USE OF DEVICE FOR CALclXATING 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. In projecting the outcome of the game; 

B. In keeping track of the cards played; 

C. In analyzing the probability of the occurrence of 

an event relating to the game; er 

D. In analyzing the strategy for playing or betting 

to be used in the game. 

22.903 USE OF COUEJTERFEIT OR UNAPPROVED CHIPS OR TOKENS 

OR UNLAWFUL COINS OR DEXTCES; POSSESSION OF 

CERTAIN DEVICES, EQUIPMW, PRODUCTS OR MATERIALS 

A. It shall 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 or Tokens approved by the 
Commission or by lawful coin of the United 

States: 

1. To knowingly use Chips or Tokens 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 

2. To use any device or means to violate the 

provisions of the Compact or this Title. 

C. 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. 

D 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 ox 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. 

E. 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. 

F. 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. 
22.904 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. 

22.905 UNLAWFUL MANUFACTURE, SALE, DISTRIBUTION, 

MARKING, ALTERING OR MODIFICATION OF EQUIPMENT 

AND DEVTC'ES ASSOCIATED WITH GAMING; UNTAWFUL 

INSTRUCTION 

A. 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: 

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 

ox which determines the outcome of a game. 

C. 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. 

22.906 PENALTIES 

A. Any person who violates any provision of this 

Chapter shall be punished, for each such 

vialatian, 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(bJ License, or Casino Resort Permit. 

B. 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. 

22.907 PROVIDING FALSE INFOFWATIOR; OBSTRUCTION OF 

JUSTICE 

A. 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. 

B. 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. 

22.908 DETENTION AND QUESTIONING OF PERSONS SUSPECTED OF 

VIOLATING CHAPTER; LIMITATIONS ON LIABILITY; 

POSTING OF NOTICE 

A. Authorities who question any person suspected of 

violating any of the provisions of this Title, 

the Compact, or state ox 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 ar 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. 

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: 

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 

- , Chapter Nine prohibiting cheating in gaming 

and other offenses may detain that person. 

22.909 DISPOSITION OF EVIDENCE SEIZED BY AGENT OF THE 

TRIBAL GAMINE 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: 

I. 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 

f iLe 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 evidence, subject to 

approval of the Commission; 

b. The claimants may agree to submit the 

matter to binding arbitration or any 

claimant may institute 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. Tf no claim is submitted, the Comisaion shall 

deposit all 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 fox 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. 
CHAPTER 10 - JURISDICTION; STANDARD OF REVIEW 

2 2. L 0 0 2 JURISDICTION IN THE COMMUNITY COURT 

A. 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 ($500) 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. 

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. 

B. 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. 

C. I 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. 

22.1002 COMMDTJITY 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 hereundex, 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 non-Indians to the extent 

allowed by any applicable present or future Act 

of Congress or any applicable federal court 

decision. 

22.1003 VIOLATIONS; JURISDICTION; ENFORCEPIm OF 

SUBPOENAS 

A. 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. 

B. 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. 

22.1004 ENFORCEMENT OF COMMISSION SUBPOENAS 

A. 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. 

B. No person shall be excused fxom testifying or 

producing any book, account, records or other 

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 foxfeiture 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. 

22.1005 PATRON DISPUTES 

A. 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 Earning Enterprise and 

the Patron are unable to resolve the dispute to 

the satisfaction of the Patron and the dispute 

involves : 

I. At least five hundred dollars ($5001, 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. 

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 (3 0) 

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 ox 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 wxitten 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 Commissionr s review 

as authorized in Section 22.1005 (D) (1) . The 

Community Court's review of a Commission 

decision issued under Section 22.10[35{D)(1) 

shall be subject to the limitations of 

Section 22.1001 (A) (1) . 

22.1006 PATRON TORT DISPUTES PROCEDURES 

A. 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 inviteefs 

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 thci clerk of the 

Community Court. 

2. The Gaming Enterprise shall maintain one or 

more policies of commercial general 

liability insuxance with a combined single 
limit for personal injury and property 

damage in the amount of at least two million 

dollars ($2,000,000) 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. 

CHAPTER 11 - CASINO RESORT PERHITTING PROCEDURES 

1101 PERMITTING REQUIREMENTS, GENERKLLY 

A. 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. 

B, 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 fox a Casino Resort Permit unless the 

Application demonstrates on its face grounds to 

disqualify the Applicant. 

C. 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. 
D 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. 

00.1102 PERMIT APPLICATION 

A. Each Applicant for a Casino Resort Permit shll 

receive from the Casino Resort Employer a written 

~pplication 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 

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 Employex for such purpose. 

C. Each ~pplicant for a Casino Resort Permit shall 

personally deliver the completed Application to 

the Commission. 

Upon receipt of the completed Application for a 

Casino Resort Pemit, 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 Pemit 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 Escecutive 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 

Applications shall apply to the Application for a 

Casino Resort Permit. 

H. 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. 

22.1103 APPLICATIONS FOR EMPLOYMENT AFTER RENOCATION 

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 Commissionts 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, ox 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 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. 

BACKGRQrn 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 person interviewed in the course 

of the investigation. 

Information provided pursuant to Section 22.1102 

and information from other sources shall be used 

by the Commission, or the Executive Director ox 

his/her delegate, if delegated authority by the 

Commission pursuant to Regulation, to conduct 

background investigations of every Casino Resort 

Employee. 

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 te 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 conducted 

background investigations; 

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 my include, but shall not be 

limited to, the investigative procedures set 

forth in Section 22.412 (8) (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 (5') (5) . 

22.1106 CASINO RESORT PERMIT SUSPENSION ANE REVOCATION 

The provisions or requirements of Sections 22.414 - 

22.432 regarding Licenses and Licensees shall apply to 

Casino Resort Permits and Casino Resort Permittees, 

respectively. In addition, the provisions of Sections 

22.414 - 22.432 relating to the due process rights afforded 

to Licensees shall apply to Casino Resort Permittees. 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. 

CHAPTER 12 - CASINO RESORT EMPLOYERS 

22.3201 MAINTENANCE OF BOOKS AND RECORDS; COMMISSION 

ACCESS 

A. Each Casino Resort Employer 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 Generally 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 (3) year following the termination of its 

business operation at a Casino Resort. 

5. 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 9s 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 Commission within one hundred twenty 

(120) days after the close of the Casino Resort Employery s 

fiscal year. 

22.1203 STANDARD OPJZRATIEJG 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 £om 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. any other information the Commission deems 

relevant. 

22.3205 APPLICABILITY TO GAMINE ENTERPRISE 

A Gaming Enterprise shall comply with the provisions 

under Chapters 5 and 3 of this Title, rather than with the 

provisions of Sections 22.1201, 22.1202 and 22.1203.