Martin J. Antone Sr., Chairman 

Ak-Chin Indian Community 

- 42507 W. Peters h Nall Road r Maricopa, Arizana 85239 

Dear Chairman Antone: 

This letter responds to your request to review and approve the 

tribal gaming ordinance submitted on September 7, 1993, and 

amended on November 30, 1993, for the Ak-Chin Indian Community 

(the Community). This letter constitutes such approval under the 

Indian Gaming Regulatory Act (IGRA). 

Under the IGRA and the regulations of the National Indian Gaming 

Commission (NIGC), the Chairman is directed to review ordinances 

with respect to the requirements of the IGRA and the implementing 

regulations. Thus, the scope of the Chairman's review and 

approval is limited to the requirements of the IGRA and the NIGC 

regulations. Provisions other than those required under the IGRA 

or the NIGC regulations that may be included in a tribal 

ordinance are not subject to review and approval. Also, such 

approval does not constitute approval of specific games. 

It is important to note that while we have approved the 

Community's gaming ordinance, the Community must still modify the 

description of procedures for conducting background 

investigations on key employees and primary management as 

discussed with the NIGC staff. Also, it is important to note 

that the gaming ordinance is approved for gaming only on Indian 

lands as defined in the IGRA. 

With the Chairman's approval of the community's gaming ordinance, 

the Community is now required to conduct background 

investigations on its key employees and primary management 

officials. The NIGC expects to receive a completed application 

for each key employee and primary management official.pursuant to 

25 C.F.R. 5 556.5(a) and an investigative report on each 

background investigation before issuing a license to a key 

employee or primary management official pursuant to 25 C.F.R. 

S 556.5(b). 
Thank you for submitting the ordinance of the Ak-Chin Indian 

Community for review and approval. The NIGC staff and I look 

forward to working with you and the Community in implementing the 

IGRA. 

Sincerely yours, 

Anthony J. Hope 

Anthony J. Hope 

Chairman 
*kit ' 

AX-CHIN COMMUNITY GAMING CODE 

stparmad* .d was* in It. ae1i-m- 8h4 

Ak-Bln 'dtt rhuQs OZdkYCI 

wtd m J-9 19, 1993. 

SECTION 1. ,cTATEMENT OF POLICY. It is the purpose of this 

Code to provide for the sound regulation a2 all ganing activities 

on lands within the jurisdiction of the Ak-Chin Indian Community, 

in order to protect the public interest in the integrity of such 

gaming activities, to prevent improper or unlawful conduct in the 

course of such gaming activities, to strengthen tribal selfgovernment and to promote the economic self-sufficiency of the AkChin Indian Community. This Code constitutes the ordinance of the 

Ak-chin Indian Community regulating Class TI and class 1x1 Gaming 

contemplated by section 11 (b) (2) and Section 11 (d) (1) (A) of the 

Indian Gaming Regulatory Act, Pub. La 100-497, 25 U.S.C. 2710(b) (2) 

and 2710 (d) (1) (A) . SECTION 2. DEFTNITTONS, For purpose of this Code: 

(a) llActtl means the Indian Gaming Regulatory Act, Pub. L, 

100-497, 25 U.S.C. 2701 et seq. and 18 U.S.C. 1166-1168, 

(b) "Agencyt1 means the Ak-Chin Indian Community Gaming 

Agency, established by Section 6 of this Code. 

I I 

(c) flChairmanv means the Chairman of rhe Agency. \I 

(d) 'TClass I Gamingtt means class 1 gaming as defined in 

Section 4 (6) of the Act, 25 U.S.C. 2703 (8) and the regulations 

promulgated thereunder, 

(e) "Class 11 gaming1' means Class XI gaming as defined in 

section 4(7) (A) of the Act, 25, U.S.C. 2703(7) (A) and the 

regulations promulgated thereunder. 

(f) **Class ZIT gamingt1 mzans all forms of gaming that are not 

Class I Gaming or Class I1 Gaming. 

(g) flCadaw means this Ak-Chin Community Gaming Code. 

(h)' nCommunitylt means the Ak-Chin Indian Community. 

(i) ftCompactN means the Tribal-State Compact between the Akchin Indian Ccmmunity and the State of Arizona, dated as of June 

24, 1993, as it may be amended from time to time. 

(j) "Distributortt means any parson, firm or corporation that 

distributes Gaming Devices, or component parts thereof, used or to 

be used in a Gaming Operation. 

(k) wElectronic Game of ChanceN means a microprocess~rcontrolled electronic device which allows a player to play games of 
chance, some of which are affected by skill, which device is 

activated by the insertion of a token, coin or currency, or by the 

use of a credit, and which awards game credits, cash, tokens, 

prizes of value or replays, or a written statement of tho player's 

accumulated credits, which written statements are redeemable for 

cash. Play of an Electronic Game of Chance may be displayed by: 

(i) video facsimile; or 

(ii) mechanical rotating reels whereby the software of 

the device predetermines the stop positions and the 

presence or lack of a winning cornbinat.ion and payout, if any. \I 

(1) "Executive DirectorH means the Execctive Director of the 

Agency appointed pursuant to Section 6(c) of this Code. 

(m) "Gaming" neans Class 11 Gaming and Class 1x1 Gaming. The 

term "Gaming," as used in this Code, does not include Class I 

Gaming. 

(n) "Gaming DeviceN means, collectively, any Electronic Game 

of Chance, Slot Machine or Video Game of Chance. 

(0) 'IGarning Employeett means any person employed in the 

operation or management of any Gaming Operation, whether employed 

by or contracted to the Community, or by any person or entity 

providing on or off-site services to the Community within ox 

without any Gaming Facility, including, but not limited to, 

managers and assistant managers, accounting personnel, surveilLance 

personnel, securitypersonnel, cashiers, supervisors, shiftbosses, 

machine mechanics, gaming consultants, management companies and 

their principals, and any other natural person whose employment 

duties require or authorize access to restricted areas of any 

Gaming Facility not otherwise open to the public. 

(p) "Gaming Facilityn means any building, roan or rooms, or 

that portion of a room, in which Gaming is conducted on thc 

Reservation, 

(q) "caning Operaticlnrt means any enterprise on the 

Reservation for the conduct of Gaming. 

(r) ItGaming Servicet' means any goods, services or conc.essions 

provided by contzact to the Community or to a Manager in ccnnection 

with the operation of Gaming in an amount in excess on five 

thousand dollars ($5,000.00) in any calendar month, except for 

professional, legal or accounting services. No contract may be 

broken up into parts for the purpose of avoiding this definition 

and any requirement of licensure or certification contained under 

this Code or in the Compact. 
(s) "Key Emplope'' meana an employee of a Gaming Operation, 

whether or not a Gaming Employee, who performs one or mare of the 

following functions : 

(i) bingo caller, 

(ii) counting room supervisor, 

(iii) chief of security, 

(iv) custodian of gaming supplies or cash, 

(v) floor manager, 

(vi) pit boss, 

(vii) dealer, 

(viii) croupier, 

(ix) approver of credit, 

(x) custodian of Gaming Devices, including perrions with 

access to cash and accounting records within such 

devices, an 

(xi) if not otherwise included in clauses (i) through (x) of 

this definition, any other person whose tot51 cash 

compensation is in excess of $50,000 per year or, if not 

otherwise included, the four most highly compensated 

persons in any Gaming Operation. 

(t) tlManagenent Contract" meax a contract between the 

Coinmunity and a Manger for the Management of a Gaming Oparation, 

including any related subcontracts and collateral agreements, 

(u) "Managert1 means a person, firm or corporation with whom 

the ~ommunity enters into a Management Contract, 

(v) "Manufacturerf1 means a person, firm or corporation that 

manufactures Gaming Devices, or component parts thereof, used or to 

be used in a Gaming Operation. 

(w) "National Indian Caning Commissionfl means the National 

Indian Gaming Commission established pursuant to Section 5 of the 

Act, 25 U.S.C. 2704. 

(x) Wet RevenuesH of any Gaming Operation means the gross 

revenues of such Gaming Operation less %mounts paid out as, or paid 

for, prizes and less total operating expenses, determined in 

accordance with generally accepted accounting principles, but 

excluding management fees paid to a Manager within the meaning of 
Section 12(c) of the Act, 25 U.S.C. 2711(c). 

(y) "Primary Management Officialm means: 

(i) the person having management responsibility for a 

management contract; 

(ii) any person who has authority: 

(1) to hire and fire employees; or 

(2) to set up working policy for the sarnincj operation; or 

(iii) the chief financial officer or other person who has 

financial management responsibility. 

(2) tlPrincipalw neans : 

(i), any natural person having an interest in the contract in 

question, 

(ii) with respect to a trust, any beneficiary or trustee, 

(iii) with respect to a partnership, any partner, 

(iv) with respect to a corporation, any person who (a) is a 

director thereof or (b) is one of the ten largest holders 

of the issued and outstanding stock thereof, alone or in 

combination with any other stockholder who is such 

person's spouse, parent, child or sibling, 

(v) with respect to any entity other than a natural person 

that has an interest in a trust, partnership or 

corporation, all parties of that entity, and 

(vi) with respect to any entity, any person, firm or 

corporation (other than a federally regulated financial 

institution) that has provided more than ten percent of 

the outstanding financing of such entity. 

(aa) "ReservationI1 means, for the purpose of this Code: 

(i) all land within the exterior boundaries of the Ak-Chin 

Indian Reservation, as recognized by the United States 

Secretary of the Interior as of October 17, 1988, and 

(ii) all lands title to which is either held in trust by the 

United States for the benefit of the Community, or held 

by the Community subject to restriction by the United 

States against alienation, and was so held on October 17, 

1988, and 
(iii) any lands title to which io either held in trust by the 

United States for the benefit of the Cornunity and which 

are described in Section 20 (a) (1) or Section 20 (b) (I) of . the Act, 25 U.S.C. 2719(a) (1) or 2719(b) (1). 

(bb) Itslot Machine" means any mechanical ar electronic device 

into which a player deposits coins, currency or tokens and from 

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

randomly determined configuration of symbols appears on the reels 

or screen of the device. 

(cc) "Statett mean6 the State of Arizona, its authorized 

officials, agents and representatives. 

(dd) "State Gaming Agencyw means the agency of the State as 

the Governor of the State may fr~m time to time designate by 

written notice to the Community as the state agency primarily 

responsible for oversight of the Class 111 Gaming as authorized by 

the Compact. 

(ee) "Technical Standardstt means t.he operational standards for 

Gaming Devices set forth in the Compact, 

(ff) "Video Game of Chanceq9 mean6 a game of chance played on 

microprocessor-controlled devices that simulate games commonly 

referred to as poker, blackjack, craps, hi-lo, keno, roulette, 

line-up-symbols and numbers, or other common gaming forms, which 

are activated by the insertion of a coin, token or currency and 

which award coins, tokens, currency, additional pleys or a written 

or displayed statement of the amount of a prize which is redeemable 

for cash and/or contains a meter or device to record unplayed 

credits or replays. 

SECTION 3. AUTHOR IZATION OF GAMING ACTJVITIES. 

(a) Class I Gaminq, The conduct of Ciass 1: Gaming on the 

Reservation is not governed by this Code. 

(b) class Uinq. The Community is hereby authorized to 

conduct any and all forms of Class I1 Gaming on the Reservation, 

(c) -. The Co,munity is hereby authorized to 

conduct any and all forms of Class 111 Gaming on the Reservation 

that are authorized to be conducted under the Compact. 

SECTION 4. mLIANCE WITH THE ACT AND COMPACT. 

(a) Com~l.iance with the Act. This Code shall be construed in 

a manner that conforms to the Act in all respects. If this Code is 

inconsistent with the Act in any manner the provisions of the Act 

shall govern. 
(b) corn-! conmpact. With respect to the conduct 

and regulation of Class I11 Gaming, this Code shall be construed in 

a manner that conforms to the Compact in all respects. rf this 

Code is inconsistent with the Compact in any manner the provisions 

of the Compact shall govern. 

SECTION 5. GENERAT, PRO-NNS GOVgRNINGTHE CONDUCT Or" 

CLASS 11 &ID CLASS PI Gm. 

(a) 0wnersh.i~. As required by Section ll(b) (2) (A) of the 

A&, 25 U.S.C. 2710(b) (2j(A), the Community shall have the sole 

responsibility for the conduct of all Gaming cn the Reservation and 

the sole proprietary interest in any Gaming Operation. Nothing i? 

this Code shall: 

(i) preclude the Community from entering into a Management 

Contract as authorized under Section 12 of the Act, 25 

U.S.C. 2711, or 

restrict the exercise by any secured party of its rights 

under any collateral lease, security interest or other 

financing agreement to enforce a lien on or security 

interest in any personal property encumbered thereby, or 

to enforce its rights against revenues derived by the 

Community from Gaming for the purpose of repayment cf 

debt obligation6 of the Community to such secured party 

in accordance with the provisions of such obligations, 

provided that no entity or person other than the 

Community shall. have any proprietary interest in any 

Gaming Operation. 

(b) Amlication of net rave-. In compliance with Section 

1l(b) (2) and (3) of the Act, 25 U.S.C. 2710(b)(2) and (3, Net 

Revenues from Gaming shall be used only for the following purposes, 

.as more particularly determined by the --Chin Community Council: 

(f) to fund Community government operations or programs; 

(ii) to provide for the general welfare of the Community 

and its members; 

(iii) to promote the Comiunityrs economic development; 

(iv) to donate to charitable organizations; 

(v) to help fund operations of local government agencies, or 

(vi) any other purposes permitted under the Act. 

(c) public Safetv Standards. In compliance with Section 

11 (b) (2) (E) of the Act, 25 U.S.C. 2710 (b) (2) (E) , the construction 

and maintenance of any Gaming Facilities, and the operation of all 
gaming, shall be conducted in a manner which adequately protects 

the environment and the public health and safety, For this 

purpose, a11 requirements of the Compact and all health, safety and 

environmental standards enacted by the Community shall apply to all 

Gaming ~acilities. 

SECTION 6. AX-CHIN aY COMMUNITY GAMING AGEHCY 

(a) ~stauent.. The Ak-Chin Indian Community Gaming 

Agency is hereby established. 

(b) Membership. The membership of the Agency shall consist 

of a Chairman and four other members, each of whom shall be 

appointed by the Cornunity Council. At least three members of the 

Agency shall be members of the Community; no member of tho Agency 

shall be an employee of any Gaming Operation. Two of the initial 

members of the Agency shall serve for terms ending on January 15, 

1995, and three of the initial members, including the initial 

Chairman, shall serve for terms ending on January 15, 1996, 

Thereafter, members shall serve for two-year terms. Vacancies in 

the Agency shall be filled by appointment by the Comnunity Council, 

and members may be appointed to successive terms. The meinbers of 

the Agency shall serve on a part time basis and the compensation of 

the members shall be established by the Community Council. Members 

of the Agency may be removed far cause by the vote of a majority of 

the members of the community council then in offic2. 

(c) Executive Director, The Agency shall enploy an 

individual to serve as Executive Director of the Agency to 

administer its responsibilities as necessary and to oversee 

inspectors appointed by the Agency as well as such other staff as 

the Agency may from time to time employ. The Executive Director 

shall serve at the pleasure af the Agency and may be remcrved at any 

tine, with or without cause, by the vote of a majority of the 

members of the Agency then in office. The Executive Director shall 

have the power, in the name of the Agency, to conduct any Bearing, 

investigation or inquiry, to compel the production of any 

information or documents, and otherwise to exercise all 

investigatory powers of the Agency under this Code. The Executive 

Director shall be responsible for coordination of the functions of 

render a recommendation to the Agency with respect to the grant or 

denial of any license, the imposition of any penalty, the 

investigation of any complaint, or any other action wi.thin the 

jurisdiction of the Agency under this Code. 

(d) -era and duties of Aaencv. The Agency shall hava tfie 
following powers and duties: 

(i) The Agency shall have primary responsibility fcr 

oversight of all Gaming in order to ensure the integrity 

- thereof. For that purpose, the Agency shall employ 

A.gency inspectors under Section 7 of this Code, 

(ii) The Agency may, on its own initiative, investigate any 

aspect of any Gaming Operation in order to protect the 

public interest in the integrity of Gaming and to prevent 

improper or unlawful conduct. The Agency shall 

investigate any report of a fail~re of any Gaming 

Operation to comply with the provisions of the tempact or 

this Code. The Agency may require any Gaming Operation 

to take any corrective action deemed necessary by the 

Agency upon such terms and conditions as the Agency may 

determine appropriate. 

(iii) The Agency shall carry out each of the responsibilities 

and duties set forth for the Agency in the Compact, and 

shall adopt procedural resolutions in accordance with 

section 6(e) of this Code, 

(iv) The Agency shall issue and revoke licenses in accordance 

with Section 8 of this Code, 

(v). The Agency shall require each Manger to prepare a plan 

for the protection of public safety and the physical 

security of patrons of Gaming Facilities, setting forth 

the respective responsibilities of the Agency, the 

aecurity departments of the Gaming Operations, any 

Community police agency, and, if appropriate, any State 

or local police agency. Such plan, and any subseq-dent 

modifications thereof, shall be submitted ro and reviewed 

by the Agency and, after such review, shall be adopted 

with such modifications as the Agency shall deem proper. 

(vi) The Agency shall review and approva floor plans and 

surveilla~ce systems for each Gaming Facility and may 

confer with the State Gaming Ageccy or other 

organizations ragarding the adequacy of such plans and 

systems. 

(vii) The Agency may promulgate, review, and revise as 

necessary, regulations to govern the operation and 

management of any and all Gaming. 

(viii) The Agency shall establish a list of persons barred from 

the Gaming Facilities because their criminal history or 

association with career offenders or career offender 

organizations poses a threat to the integrity of Gaming. 
(ix) The Agency shall review the Technical Standards and rules 

of each ~aming ~evics operated by any Gaming Operation, 

shall ensure that such Gaming Devices conform to the 

~echnical Standards and rules, and shall, in accordance 

with the Compact, propose to the State Gaming Agency any 

changes to such Technical Standards ar,d rules as the 

Agency deems appropriate. 

(x) The Agency shall enforce all Community health and safety 

standards applicable to Gaming Facilities. The Agency 

shall issue a certificate of compliance to each Gaming 

Operation upon a determination that the Gaming Facility 

complies with such standards, 

(xi) The Agency may impose penalties for violati.ons of this 

Code or the Compact in accordance with Section 10 of this 

Code. 

(xii) The Agency may, in the name of the Comnunity, bring any 

civil action or criminal complaint in the courts of the 

Community, the State or the United States to enforce the 

provisions of this Code, the Act or the Ccmpact or to 

enjoin or otherwise prevent any violation of this Code, 

the Act or the Compact. 

(xiii) The Agency may receive any complaint from any persor;, 

including the gaming public or any employee of any Gaming 

Operation, who is or who claims to be adversely affectee 

by any act or omiasian of a Gaming Operation or any 

employee thereof and which is asserted to violate this 

Code, the Compact or the Act, and may impose such 

remedial action as it: deems appropriate to bring the 

Gaming operation into compliance with such provisions. 

The Agency may Ear this purpose, in its sole discretion, 

conduct a hearing and receive evidence with regard to 

such complaint if it deems an evidentiary proceeding 

uszful in the resolution of 6uCh complaint. 

(xiv) The Agency shall adopt an annual operating budget which 

shall be subject to the approval of the Community 

Council. 

(XV) The Agency may employ such staff from time to time as it 

deems; necessary to fulfill its responsibilities under 

this Code and the Compact, and may retain legal counsel, 

consultants and other praiessional services, including 

investigative services, to assist it with respect to any 

of the issues over which the Agency exercises 

jurisdiction. The expenses of the Agency shall. be 

assessed against the ~aming Operations in accordance with 

an allocation formula adopted by the Agency, and the 

Gaming Operations shall pay such assessments to the 
Community. 

(xvi) The Agency may compel any licensee, any perscn employsd 

by a Gaming Operation and any person doing business with 

a Gaming Operation to appear before it and to provl.de 

such information, documents or other materials as may he 

in their possession to assist in any inveskigatior? 

conducted by the Agency. 

(xvii) The Agency shall establish a schedule of fees and charges 

for the issuance of licenses, including application fees 

and annual renewal fees. In addition, the Agency may 

impose such fees an licensees as are reasonably related 

to the making of background investigations and the costa 

of enforcement of this Code and of the licenses issued 

hereunder. 

(xviii) The Agency shall require each Distributor and 

Manufacturer to verify under oath, on forms prescribed by 

the Agency, that the Gaming Devices distributed or 

manufactured by them for use at any Gaming Facility 

comply with the Technical Standards and all requirements 

of this Code and the Compact. The Agency may require the 

testing of any Gaming Device, at the expense of the 

Distributor or Manufacturer thereof, to ensure such 

compliance, 

(6) procedures of the Aaencv. The Ageacy shall conduct its 

operations in accordance with procedural resolutions adapted in 

accordance with Section 6(d) of this Code. Such resolutions shall 

include the following provisions: 

(i) Regular meetings of the Agency may be held upcn such 

notice, or without notice, and at such time and place as 

shall from time to time be fixed by the Agency. Unless 

otherwise specified by the Agency, no notice of such 

regular meetings shall be necessary. 

(ii) Special meetings of the Agancy may be called by the 

Chairman ox the Executive Director upon such notice as 

the Agency shall provide. The person calling the special 

meeting shall fix the time and place thereof. Neither 

the business to be transacted at, not the purpose of, any 

special meeting of the Agency need 20 be specific in the 

notice of the meeting. 

(iii) At any meeting of the Agency, a majority of the members 

then in office shall constitute a quorum for the 

transaction of business. The vote of a majority of the 

members present at a meeting at which a quorum is present 

shall be the act of the Agency, except where this Code 

otherwise requires an action to be taken by the vote sf 
a majority of the members of the Agency then in office. 

The Chairman shall preside at all meetings of the Agency, 

unless the Chairman designates another member to presids 

in his absence. The Chairman or other presider shall. 

have a vote on all matters. 

(iv) Any action required or permitted to be taken at a meeting 

of the Agency may be taken without a meeting if all of 

the members of the Agency sign written consents setting 

forth the action taken or to be taken, at any time before 

or after the intended effective date of such action. 

Such consents shall be filed with the minutes a9 the 

Agency, and shall have the same effect a3 a unanimous 

vote of the Agency at a legal meeting thereof. 

(v) Members of tho Agency may participate in a meeting of the 

Agency by means of conference telephone or similar 

communications equipment by means of which all personc 

participating in the meeting can hear each other. 

Participation in a meeting in such manner by any nenber 

who does not object at the beginning of such meeting to 

the holding thereof in such manner shall constitute 

presence in person at such meeting. 

(vi) Any hearing condzlcted by the Agency under this Code xay, 

at the direction of the Agency, be conducted by the 

Executive Director or by one or more members of the 

. Agency designated by the Agency for that purpose. 

(vii) The Agency may adopt such additional procedures and rules 

as it deems necessary ar convenient to govern its affairs 

and which are consistent with this Code and the Compact. 

(f) Tem~orxv Ordew. The Chairman, or any other member of 

the Agency acting in the absence of the Chairman, may, whenever he 

deems it necessary to protect the public interest in the integrity 

of Gaming, issue temporarily in the name of the Agency any order 

that the Agency has the power to issue to a Gaming Operation, to a 

Gaming Employee or to any employee or contractor of a Gaming 

Operation or to any other person within the jurisdiction of the 

Community, to take any action or to cease and desist from any 

action as may be required to protect the public intarest. Any such 

temporary order shall be subject to review by the Agency at its 

earliest opportunity and, if not confirmed by the Agency within 72 

hours from its initial issuance, shall expire. 

(g) prohibition. No member or employee of the Agency shall 

participate as a player in any Gaming activity conducted on the 

Reservation. 

SECTION 7. BGENCY INSPECTORS. For the purpose of ensuring 

the integrity of all Gaming, the Agency shall employ non-uniformed 
inspectors who shall report directly to and be under the sole 

supervision of the Agency and not under the supervision of any 

Manager or any Gaming Operation. Agency inspectors shall have 

unfettered access to all facilities of a11 Gaming Operations at all 

times, including all Gaming Facilities and all other locations 

where any equipment, goods, supplies, books, records or other 

material relating to Gaming is kept or stared; for such purposes, 

personnel enployed by any Gaming Operation shall provide Agency 

inspectors access to locked and secure areas of the Gaming 

Facilities or such other locations without restraint. Agency 

inspectors shall report to the Agency regarding any failure by a 

Gaming Operation to comply with any of the provisions of the 

Compact or this Code or any other applicable Comqunity laws and 

ordinances. Agency inspectors may also receive customer complaints 

with respect to any Gaming Operation and shall assist in seeking 

voluntary resolution of such complaints. Agency inspectore shall 

be licensed as Gaming Employees in accordance with Section 8 of 

this Code. 

SECTION 8. 

(a) Burden of Proof, It is the determination of the 

Community that the Public Interest in the integrity of Gaming is 

such that the burden of proof to establish fitness to obtain or 

maintain a license under this Code shall he upon the applicant or 

licensee, as the case may be. 

(b) License Reuuirements. In compliance with Section 

11(b) (2) (F) of the Act, 25 U,S,C, 271C(b) (2) (F) , the following 

individuals and entities shall be subject to the background 

investigation and licensing requirements of this Code and, in the 

case of any person, firm or corporation involved in the conduct of 

Class III Gaming the Compact: 

(i) each Gaming Employee, 

(ii) each Key Employee, 

(iii) each Primary Management Official 

(iv) each Gaming Operation and Manager and each Principal 

thereof, 

(v) each Distributor and Manufacturer, 

(vi) each Gaming Facility, 

(vii) each provider of a Gaming Service, and 

('viii) each person, firm or corporation providing financing for 

any Gaming Operation, Gaming Facility or any part thereof 

(other than an agency of the Uriitsd States, a member 
institution of the Federal Deposit Insurance Corporation 

or an institution regulated by the Comptroller of the 

currency). 

The community shall notify the State Gaming Agzncy and the 

National Indian Gaming ~omz'nission of the results af any licensing 

process in accordance with the Compact and such regulations or 

procedures as the National Indian Caning Commission may establish. 

(c) Application Forms, 

(i) The following notices shall be placed or. the applicatior: 

form for an license before that form is filled out by an 

applicant for a license for a Primary Management Official 

or a Key Employee: 

t9Tn compliance with the Privacy Act of 1974, the 

foliowing information is provided: Solicitation of the 

information on this form is authorized by 25 U.S.C. 2703 

et seq. The purpose of the requested information is te 

determine the eligibility of individuals to be employed 

in a gaming aperation, The information will be used by 

National Indian Gaming Coinmission members and staff who 

have need for the information in the performance of their 

official duties. The infcrmation may be discZosad to 

appropriate Federal, Tribal, State, local. or foreign law 

enforcement and regulatory agencies when relevant to 

civil, criminal or regulatory investigations or 

prosecutions or when pursuant to a requirement by a tribe 

or the National Indian Gaming Commission in connection 

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

revocation of a gaming license, or invastigationfi of 

activities while associated with a tribe or a gaming 

operation. Failure to consent to the disclosures 

indicated in this notice will rosdlt in a tribe's being 

unable to hire you in a primary management official sr 

key employee position. 

The disclosure of your Social Security Number (SSN; ia 

voluntary. However, failure to supply a SSN may result 

in errors in processing your application. 

A false statement on any part or your application nay be 

grounds fcr not hiring you, or for firing you after you 

begin work. Also, you may be punished by fine or 

imprisonment. (U. S, Code, Title 18, Section lOGl. ) fl 

(ii) Holders of existing licenses by Primary Management 

Officials or Xey Employees shall be notified in writifig 

that they shall either: 

(a) complete a new application form that contains the 
notice set forth in Section 8 (c) (i) ; ar 

(b) sign a statement that contains the notices set 

forth in Section 8(c) (i) and consent to the routine 

usea described in those notices. 

(d). General Provision of Licenses. 

(i) Each license issued by the Agency shall expire (subject 

to renewal) not later than one year after the date of its 

issuance. 

(ii) If, under the Conpact, a Stat2 certificate is required by 

a prospective licensee, no license shall be issued by the 

Agency to such prospective licensee until such State 

certificate is issued, 

(iii) After a license has bean issued, the Agency may, at any 

tine, at the expense of the Zicens~e, conduct such 

background or other investigation 2s it may deem 

appropriate with respecat to the licensee, If such 

subsequentinver;tigation discloses information that would 

have made the licensee ineligible for the licanse if such 

information had been known prior to the issuance of the 

license, the Agency shall revoke the license in 

accordance with this Section 8. 

(iv) If, after the issuance of a license, an event occurs that 

would have made the licensee ineligible for the license 

if such event had occurred prior to the issuance of the 

license, the Agency shall revoke the license in 

accordance with this Section 8. 

(v) If, after the issuance of a license to a licensee who is 

obligated to obtain a State certificate under the 

compact, the State certificnre is revoked, the Agency 

shall revoke the license in accordance with this Section 

€4, 

(e) Backaround fnvestiqations, The AQenCy shall conduct, or 

cause to be conducted, background investigations of all licente 

applicants and shall deny or revoke such licenses for any applicant 

whose prior activities, criminal record, if any, or reputation, 

habits and associations, or the prior activities, criminal record, 

if any, or reputation, habits and associations of the Frincipals 

thereof, pose a threat to ths public interest or to the effective 

regulation of Gaming, or create or enhance the dangers of 

unsuitable, unfair, or illegal practices and methods and ac.tLvities 

in the conduct of Gaming. 

The Agency shall request all of the followirig information from 

each license applicant: 
1. full name, other names used (oral or written j , social 

security nurnber(s), birth date, place of birth, 

citizenship, gender, all languages (spoken or writte~;); 

2. currently and for th+ previous five years: business and 

employment positions held, ownership interests in those 

businesses, business residence addresses, and drivers 

license numbers; 

3. the names and currentaaddresses of at least three 

personal refarences, including one personal reference kiho 

was acquainted with the applicant during each period of 

residence listed under the foregoing clause (2); 

4. . current business and residence telephone numbers; 

5. a deecription of any existing and previous business 

relationships with Indian tribes, including ownership 

interests in those businesses; 

6. a description of any existing and previous business 

relationships with the gaming industry generally, 

including ownership interests in those businesses; 

7. the name and address of any iicensing or requlatory 

agency with which the person has filed an application f~r 

a license or permit related t3 gaming, wherher or not 

such license or permit was granted; 

8. for each felony for which there in an ongoing prosection 

or a conviction, the charge, the name and address of the 

court involved, and the date and disposition, if any; 

9, far each misdeneanor conviction or ongoing nigdzmeanor 

prosection (excluding minor traffic chargesj, within ten 

years of the date of the application, the name ar,d . address of the court involved and the date and 

disposition; 

10. for each criminal charge (excluding minor traffic 

charges), whether or not there is a conviction, if such 

criminal charge is within ten yeare of the date of the 

application and is not otherwise listed pursuant to 

clause (8) or (91, the criminal charge, the name and 

address of the court involved and the date and 

disposition; 

11. the name and address of any licensing or regulatory 

agency with which the person has filed an application for 

an occupaticnal license or permit:, whether or not such 

license or permit was granted; 
12. a current photograph; 

13. any other information the Agency desms relevant; and 

14. fingerprints consistent with prccedures adosted by the 

Agency according to 25 C.FbRb S 522.2(h) 

In conducting a background investigation, the Agency shall keep 

confidential the identity of each person interviewed the course 

of the investigation, 

Before issuing a permanent license to a Gaming nnployse, a ~sy 

Employee, a Primary Management Official, Manager or a Principal 05 

a Manager, the Agency shall farward the results of the backgr~und 

investigation to the National Indian Gaming Corniiission in such form 

as shall be required by the National Indian Gaming C~~missicn, in 

accordance with such regulations or procedures as the National 

Indian Gaming Comission may establish, The Agency shall consider 

any objections of the National Indian Gaming Casnmission in 

determining whether to issue the requestad 1: cenee. 

If the Agency determines, on the basis of the background 

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

applicant is qualifier?, for a license, the Agericy may, but stall, not 

be required to, issue such license. The Agency, at its sole 

discretion, may impose any qualifications to such license it deems 

appropriate, or may refuse to issue ouch license despite ar. 

applicant's qualificatieqs. 

(f) &,ure of Gamina Facilitiag. No Gaming shall take 

place at any Gaming Facility unless such Gaming Facility has a 

current license issued Sy the Agency for the cond~ct of such Gaming 

at such Gaming Facility. A separate license shall be issued for 

each Gaming Facility; such license shall specify whether Class II 

Gaming, Class 111 Gaming or both is psrmitted to be zonducted 

therein. 

No license shall be issued to any Gaming Facility unless: 

(i) the floor plans and surveillants systems for such Garnfnq 

Facility have beexr reviewed and approved by the Ager?cy as 

recpired by Section 6 (d) (vi) of thf s C~de, and 

(ii) the Agency has issued a certificate of co~~plia9ce with 

respect: to such Gaming Facility as required by SectLm 

6 (8) (x) of this Code, 

(g) ticensure of Garnim~.ees, Kev ars-arv 

wement OffCcials, No person shall be employed as a Gaming 

Employee, a Key Employee or a Primary Management Or'ficial unless 

such person has a current license issued by the Agency. 
(h) Licensure of Gamina O~aration. No Gaming Operati~n shall 

be conducted unless such Gaming Operation has a current license 

issued by the Agency. 

(i) &&censure of Manaaerq. No person, firm or corporation 

shall act as a Manager unless such Manager has s current license 

issued by the Agency. 

( j ) Lic*nsure of Distributors. No person, firm or 

corporation shall distribute Gaming Devices, or component parts 

thereof, used or to be used in a Gaming Operation unless such 

Distri5utor has a current license issued by thz Agency. 

(k) Wure ?f Manufacturers, NG person, firm or 

corporation shall use any Gaming Device, or componer~t part thereof, 

in a Gaming Operation unless the Ma~ufacturer of such Gaming 

Device, or component part, had a current lxcense issued by the 

Agency at the time of the installation of such Gaming Device, or 

component part. 

(1) Licensui Providers of Gag ,Services. No person, 

firm or corporatio~, shall purchase any ~anir-g Service, or enter 

into a contract for the purchase of any Gaming Service, unless the 

provider of such Gaming Service has a current license issued by the 

Agency. 

(m) Licensure of ~inanciers. No person, firin or corporation 

shall accept financing with respect: to any Gaming Operation, Gaming 

Facility or part thereof (other than from an agency of the United 

States, 'a member institution of the Federal Deposit Insurance 

Corporation or an institution regulated by tke Comptroller of the 

Currency) unless each person, firm or corporation providing any 

part of such financing has a current license issued by the Agency. 

(n) m-Gamina Em~loyees, All persons who are not Gaming 

'Employees but work at any facility where Gaming occurs or is 

supervised or administered, must obtain a nongaming work permit 

from the Agency before commencing employment. Such work permits 

may be issued upon a determination by the Agency that the employee 

is not a threat to the effective regulation of Gaming and creates 

no risk or enhances no danger of unfair r illegal practices, 

methods or activities in the conduct of Gaming. All applicants for 

work permits shall provide such information as the Agency shall. 

require. 

(a) Notice of Concern. In the event that the Agency 0btaj.n~ 

inf orlaation that a licensee may have breached any provision of this 

Code, the Compact or the license, the Agency shall issue a Notice 

of Concern to the licensee. The Notice of Concern shall describe 

the alleged breach, shall describe the steps necessary to effect a 

cure and shall provide the licensee with an opportunity to meet 

with the Agency to discuss the Ratter. The discontinuance or 
correction of the Alleged breach shall constitute a cure thereof. 

(p) Revocatj-on 03 Licenses. Any license issued by the Agency 

under this Code shall constitute a p1:ivilege to conduct: the 

licensed activity and shall not create a right in the licensee to 

the conduct of that activity. Any such license may be revoked by 

the Agency for the breach of any of the provisions of this Code, of 

the Compact or of the license, upon hearing before the Agency aft*r. 

ten days0 notice to the licensee. Prior to the initiation of any 

revocation proceeding, the Agency shall issue a Notice of Concern 

to the licensee in accordance with clause (o) and shall afford the 

licensee ample time to effect a cure of the alleged breach. The 

licensee, his or its attorney and any person affected by the 

license shall have the right to be present at any hearing conducted 

in accordance with this clause (p) and to offer sworn oral or 

documentary evidence relevant to the breach charged, Subject to 

review by the Tribal Court of .the Community, a license may be 

suspended during such ten-day period by the vote of a majority of 

the members of the Agency then in office where such extraordinary 

action is essential to protect the public safety or the integrity 

of Gaming; a license shall be suspended during such period as 

required under TGRA if the cancellation hearing arises as a result 

of notice from the National Indian ~aming Commission. 

(q) Hear aria u~on Adverse Action. Ariy persor, or entity who is 

affected by an adverse determination by the Agency in connection 

with a license or work permit request may request a hearing before 

the Agency by written request submitted within 30 days following 

receipt of notice of the action of the Agency. Thereupon, the 

Agency shall afford such person or entity an opportunity to appear 

and be heard before the Agency, either in person or through a 

representative or legal counsel, and to submit such evidence as 

such person or entity deems relevant to the matter at iss~e. 

Thereafter, the Agency shall either affirm or reconsider its 

decision. 

(r)' ADD^^ to Communitv Counci&, Subject to the burden cf 

proof set forth in Section 8 (a) of this Code, decisions of the 

Agency to deny, suspend, or revoke a license pursuant to this 

Section 8 may be appealed to the Cornunity Council, by the aggrieved 

person. Within 30 days following the receipt of any such appeal, 

the Community Council shall afford the aggrieved person an 

evident iary hearing. Where any denial ,, suspensicn or revocation of 

a license is based upon confidential Information furnished to the 

Agency which may not, as a matter of law, be disclosed to the 

aggrieved person by the Agency, such circumstances shall not be 

grounds for reversal of the decision to deny, suspend or revoke the 

license. 

(s) Ameal to Tribal Court. Subject to the burden of proof 

set forth in section 8(a) of this Code, decisions of the Community 

Council to affirm the denial, suspension or revocation cf a license 
pursuant to this Section 8 may be appealed to the Tribal Court of 

the community by the aggrieved person. In ail appeals before the 

Tribal Court, there shall be deference given by the Tribal Court to 

the determination of the Agency 8s the agency charged with the 

responsibility of interpreting its own regulations. Findings of 

fact and conclusions of law made by the Agency may be reviewed de 

novo by the Tribal Court. In all cases, the standard on review 

shall be a preponderance of evidence. The decision of the Tribal 

Court shall be final. 

(t) Stav Pendina Review. The effectiveness of any action to 

suspend or revoke an existing license ur~der this Section 8 snali be 

stayed during any period of appeal or review under clauses (r) or 

(8) 

SECT1 ON 8. STANDARDS. OF OPSRATIOl? PJ-GEMEEJT. 

(a) ,Class 11 Gaminq. The Agency shall adopt minimum 

standards for internal controls and rules of play for Class 11 

Gaming. pending such adoption, the Agency may direct any Gaming 

Operatiqn that conducts Class I1 Gaming to comply with such 

standards as the Agency may determine necessary to protect the 

integrity of such Gaming. 

(b) Class 111 Gaminq. The Agency shall adopt minimum 

standards for internal controls and rules of play for Class 111 

Gaming. The initial technical standards for Electronic Ga.xes of 

Chance shall be those set forth as Appendix "Au of the Compact. 

(c) aual Audit. In compliance with Section 11 (b) (2) (C) and 

(D) of the Act, 25 U.S.C. 2710(b) (2) (C) and (D), each Gaming 

operation shall be subject to an audit by independent certified 

public accountants, not less than annually, and copies of the 

annual audit shall be provided to the State Gaming Agency and to 

the National Indian ~aming Commission. All contracts for supplies, 

.services, or concessions for a contract amount in excess of $25,000 

annually (except contracts for professional legal or accounting 

services) relating to Gaming shall be subject to such audits. 

SECTION 9* PROBXBITED ACTS. 

It shall be a violation of this Code for any person to: 

(a)' conduct or participate in any Gaming on the Reservation 

other than at a Gaming Facility; 

(b) receive, distribute, appiy or divert any property, funds, 

proceeds or other assets of a Gaming Operation to the benefit cf 

any individual or any other person except as authorized by this 

Code, the Compact or the Act; 

(c) tamper with any equipment used in the conduct of Gaming 
with the intent to cause any person to win or lose ally wager other 

than in accordance with the publicly announced rules of the Gaming 

operation; 

(d) do any other act in connection with the condzct of Gaming 

with the intent to affect the outcome of any wage2 other than in 

accordance with the publicly announced rules of the Gaming 

Operation; 

(e) alter or misrepresent the outcome or other event on which 

wagers have been made after the outcome is made sure but before it 

is revealed to the players; 

(f) place, increase or decrease a bet or aeternine 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 bst, or aid anyone in 

acquiring such knowledge for the purpose of placing, increasing or 

decreasing a bet of determining the course ol play contingent upm 

that event or outcome; 

(g) claim, collect or take, or attempt to claim, collect or 

take, money or anything of value mads in cr from a Gaming Device, 

with intent to defraud, without having mads a wagar: thereon, or to 

claim, collect or take an amount greater than the amount won; 

(h) place or imrease a bet after acquiring knowledge of the 

outcome of the game or cther event which is the subject of the bet, 

including past-po6ting and pressing bets; 

(i) reduce the amount wagered or cancel the bet after 

acquiring knowledge of the outcome of the game or other event which 

is the subject of the bet, including pinching bets; 

(j) manipulate, with the intent to cheat, any compcnent of 

any Gaming Device in a manner contrary to the designed and norsal 

operational purpose for the component, including, but not limited 

to manipulating a Gaming Device, with knowledge that the 

manipulation affects the outcome of the game or with knowledge of 

any event that affects the outcome of the game; 

(k) use tokens other than those approved by the Agency or 

coin other than lawful, legal tender of the United, States of 

America, or use a coin not of the same denomination as the coin 

intended to be used in the Gaming Device; 

(1) possess, with the intent to use, any device to assist in 

projecting the outcome of the game, in keeping track of the cards 

played, in analyzing the probability of the occurrence of an event 

relating to the game, or in analyzing the strategy for playing or 

betting to be used in the game; 
(m) use any device or means to cheat, or possess any such 

device at a Gaming Facility; or 

(n) entice or induce another to go to any place on the 

Reservation where Gaming is being conducted or operated in 

violation of the provisions of the Compact or this Code, with the 

intent that the other person play or participate in that Gaming. 

SECTION 10. WALTIES. Any individual who violates any 

provision of this Code, including the provisions of the Compact 

incorporated herein, shall be subject to civil penalties including 

exclusion from employmen't by any Gaming Operation, denial or 

revocation of a license, exclusion from attendance at any Gaming 

Facility, exclusion from the Reservation if a non-member of the 

Community, or, with respect to any person subject to the 

jurisdiction of the Community to impose such fines, a fine of not 

more than $5,000.00 for each such violation. The Agency shall have 

the jurisdiction to impose any such penalties on any person within 

the jurisdiction of the Community to impose such penalties. 

No action of the Agency to impose a penalty pursuant to this 

Section 10 shall be valid unless the person or enti-ty affected is 

given at least seven days' notice of the proposed action and the 

opportunity to appear and be heard before the Agency, either in 

person or through a representative or legal counsel, and to submit 

such evidence as the Agency deems relevant to the matter at issue. 

Notwithstanding the foregoing, if the Agency deems it necessary to 

protect the public interest in the integrity of Gaming, the Agency 

may take such action with immediate effect as it deems required, 

and shall thereupon provide notice and an opportunity to be heard 

to the affected person or entity as soon as is reasonably 

practicable following such action. 

CERTIBICATION 

The foregoing Ak-Chin Community Gaming Code, duly adopted by 

the AJc-Chin Community Council on the 15th day of September, 1993, 

was amended at meeting of the Ak-Chin Community Council held on 

this 30 day of November, 1993, at which _3 members were present 

constitutin the requi for, 0 

against, aboenf.. 

+ 

h 

Ak-Chin 1ndian Cornunity Council 

Attest: 

Delia Carlyle, Secretary 

'Ak-chin fndian community council