DEC 1 7 I993 

Clinton Pattea, President 

Fort McDowell Mohave-Apache 

Indian Community 

P.O. Box 17779 

Fountain Hills, Arizona 85269 

Dear President Pattea: 

This letter responds to your request to review and approve the 

tribal gaming ordinance submitted on November 5, 1993, for the 

Fort McDowell Mohave-Apache Indian Community of Arizona (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 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 

inve~tiga~ions 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. § 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). 

-- 

-- 1850 M STREET. N W. SUITE 250 WASHINGTON. DC 20036 TEL.. 202.63~-7003 FAX 202.6:j2:-1.92666 - , 

I 
Thank you for submitting the ordinance of the Fort McDowell 

Mohave-Apache Indian Community of Arizona for review and 

approval. The NIGC staff and I look forward to working with 

youand the Community in implementing the IGRA. 

Sincerely yours, 

Anthony J. Hope 

Chairman 

cc: Dwayne Denny, Executive Director 

Fort McDowell Tribal Gaming Office 

P.O. Box 17387 

Fountain Hills, Arizona 85269 

Judith Morse, Esq. 

Gallagher & Kennedy 

2600 N. Central Ave. 

Phoenix, Arizona 85004 
m. Box 1m 

Fountain Hills, Arizona 852697779 

(602) 837-5121 

RESOLUTION NO. FT. MCD. 93-E 

WHEREAS, the Indian Gaming Regulatory Act of 1988 (25 

U.S.C. 12701 et seq.) requires an Indian tribe to adopt a gaming 

ordinance to enable the tribe to engage in Class I1 and Class I11 

gaming activities on the tribe's Indian lands; and 

WHEREAS, it is the objective of the Fort McDowell 

Mohave-Apache Indian Community to adopt a gaming ordinance to 

provide for the sound regulation of all Class I1 and Class I11 

gaming on the Indian lands of the Community to protect the public 

interest and the integrity of such gaming, to prevent improper or 

unlawful conduct in the course of such gaming, to strengthen 

tribal self-government and to promote the economic selfsufficiency of the Community; and 

WHEREAS, the aforementioned gaming ordinance is 

intended to supersede the Fort McDowell Gaming Code of 1992. 

NOW THEREFORE, BE IT RESOLVED, that the Fort McDowell 

Mohave-Apache Indian Community Council hereby adopts the Fort 

McDowell Mohave-Apache Indian Community Gaming Ordinance. 

CERTIFICATION 

Pursuant to the authority contained in Article IV, 

Sections 2(d), (e) and (h) of the Constitution and Bylaws of the 

Fort McDowell Mohave-Apache Indian Community, ratified by the 

Tribe on October 3, 1936, and approved by the Secretary of the 

Interior on November 24, 1936, the foregoing Resolution No. Fort 

McDoweAl 93-6r was adopted on this I* of hl0VW , 1993, at SYLI Community Council meeting held at Fort McDowell 

Moha e-Apache Indian Community, at which a quorum of 5 members 

were present and 0 were absent by a vote of Y for and 0 

opposed and O abstained. 
Date: ff/1/43 ~ 

attea: President 

Mohave-Apache co&unity Counci 1 

Mohave-Apache ~ommunity~ouncil 
FORT MCDOWELL MOHAVE-APACHE 

INDIAN COMMUNITY OF ARIZONA 

GAMING ORDINANCE 
TABLE OF CONTENTS 

SECTION 1 . STATEMENT OF POLICY ...................... 1 

SECTION 2 . 

SECTION 3 . 

SECTION 4 . 

a . 

b . 

SECTION 5 . 

SECTION 6 . 

SECTION 7 . 

SECTION 8 . 

SECTION 9 . 

SECTION 10 . 

a . 

b . 

C . 

d . 

e . 

SECTION 1 1 . 

DEFINITIONS .............................. 1 

ADOPTION OF COMPACT ..................... 12 

AUTHORIZATION FOR GAMING ACTIVITIES ........ 12 

Forms of Class 111 Gaming Authorized ............... 12 

Authority for Class I1 Gaming .................... 13 

COMPLIANCE WITH THE ACT AND FEDERAL 

REGULATIONS ............................ 13 

OWNERSHIP OF GAMING ACTIVITIES ............ 13 

APPLICATION OF NET REVENUES ............... 14 

ANNUAL AUDIT ........................... 14 

PROTECTION OF THE ENVIRONMENT AND PUBLIC 

HEALTH AND SAFETY ....................... 15 

TRIBAL GAMING OFFICE ..................... 15 

Establishment of a Tribal Gaming Office .............. 15 

Powers and Duties of Tribal Gaming Office ............ 16 

Chairman ................................. 23 

Executive Director ........................... 24 

Removal and Suspension of Tribal Gaming Office Member and 

Executive Direcor ............................. 24 

Procedures of the Tribal Gaming Office .............. 25 

LICENSING ............................... 29 
Persons and Entities Licensed ..................... 29 

1 . Gaming Facility Operator and Gaming Facility ...... 29 

. . 

11 . Key Employees. Primary Management Officials and 

Tribal Gaming Office Members and Employees ..... 29 

... 

111 . Other Employees ........................ 30 

iv . Management Contractors ................... 30 

v . Manufacturers and Suppliers of Gaming Devices and 

Gaming Services ........................ 30 

Applications for Licenses ....................... 31 

1 . Applicants ............................ 31 

. . 

11 . Notices on Application Forms ................ 31 

iii . Information Requested in the Application ......... 33 

iv . Licensing Fees ......................... 35 

Background Investigations of Applicants .............. 36 

Eligibility Determination ........................ 36 

Procedures for Background Investigations ............. 41 

Temporary Licensing .......................... 43 

Procedures for Forwarding Applications and Reports of Key 

Employees and Primary Management Officials to the National 

Indian Gaming Commission ...................... 44 

Granting a Gaming License to a Key Employee or Primary 

Management Official .......................... 46 

License Suspension for Key Employees and Primary 

Management Officials .......................... 47 

Notification to Applicants ....................... 48 
k . Revocation and Suspension of a License .............. 48 

1 . Duration and Renewal of a License ................. 49 

m . Identification Cards ........................... 49 

n . Summary Suspension of a License .................. 50 

o . Right of Appeal ............................. 50 

SECTION 12 . STANDARDS OF OPERATION AND MANAGEMENT ... 50 

a . Class I11 Gaming ............................ 50 

b . Class I1 Gaming ............................. 51 

SECTION 13 . PROHIBITED ACTS .......................... 51 

SECTION 14 . PENALTIES ............................... 54 

SECTION 15 . PROCEDURES FOR THE DISPOSITION OF TORT CLAIMS 

BROUGHTBYPATRONS ...................... 54 

a . Jurisdiction ................................. 54 

b . Procedures ................................ 55 

SECTION 16 . SOVEREIGN IMMUNITY ...................... 55 

SECTION 17 . RESOLUTION OF PATRON DISPUTES ............. 55 

SECTION 18 . AGENTS FOR SERVICE ....................... 56 

SECTION 19 . AMENDMENTS ............................. 56 

SECTION 20 . REPEAL ................................. 56 

CERTIFICATION ....................................... 57 
FORT McDOWELL GAMING ORDINANCE 

SECTION 1. STATEMENT OF POLICY. It is the purpose of this 

Ordinance to provide for the sound regulation of all Class I1 and 111 Gaming on lands 

within the jurisdiction of the Fort McDowell Mohave-Apache Indian Community, in 

order to protect the public interest in the integrity of such gaming, to prevent improper 

or unlawful conduct in the course of such gaming, to strengthen tribal self-government 

and to promote the economic self-sufficiency of the Fort McDowell Mohave-Apache 

Indian Community. 

SECTION 2. DEFINITIONS 

a. "Act" means the Indian Gaming Regulatory Act, Public Law 100-497, 25 

U.S.C. 88 2701-2721 and 18 U.S.C. $5 1166-1168. 

b. "Applicant" means any person who has applied for a license under the 

provisions of the Compact or this Ordinance or approval of any act or transaction for 

which approval is required or permitted under the provisions of the Compact or this 

Ordinance. 

c. "Application" means a request for the issuance of a license or for approval 

of any act or transaction for which approval is required or permitted under the provisions 

of the Compact or this Ordinance. 
d. "Chairman" means the Chairman of the Fort McDowell Tribal Gaming 

Office established by this Ordinance. 

e. "Class I1 Gaming" means: 

1. Bingo or lotto (whether or not electronic, computer, or other 

technologic aids are used) when players: 

(1) Play for prizes with cards bearing numbers or other 

designations; 

(2) Cover numbers or designations when objects, similarly 

numbered or designated, are drawn or electronically 

determined; and 

(3) Win the game by being the first person to cover a 

designated pattern on such cards; 

. . 

11. If played in the same location as bingo or lotto, pull-tabs, punch 

boards, tip jars, instant bingo and other games similar to bingo; 

and 
iii. Nonbanking card games that: 

(1) State law explicitly authorizes, or does not explicitly 

prohibit, and are played legally anywhere in the state; and 

(2) Players play in conformity with state laws and regulations 

concerning hours, periods of operation, and limitations on 

wagers and pot sizes. 

f. "Class I11 Gaming" means all forms of gaming that are not class I gaming 

or class I1 gaming, including but not limited to: 

1. Any house banking game, including but not limited to-- 

(1) Card games such as baccarat, chemin de fer, blackjack 

(21), and pai gow (if played as house banking games); 

(2) Casino games such as roulette, craps, and keno; 

. . 

11. Any slot machines as defined in 15 U.S.C. 8 1171(a)(l) and 

electronic or electromechanical facsimiles of any game of chance; 
. . . 

111. Any sports betting and parimutuel wagering including but not 

limited to wagering on horse racing, dog racing or jai alai; or 

iv. Lotteries. 

g. "Community" means the Fort McDowell Mohave- Apache Indian 

Community of Arizona, its authorized officials, agents and representatives. 

h. "Compact" means the contractual agreement entitled the "Fort McDowell 

Mohave-Apache Indian Community of Arizona - State of Arizona Gaming Compact" 

executed by the Community and the State on June 24, 1993. 

1. "Distributor" means a person who distributes Gaming Devices and/or 

component parts thereof. 

j. "Enrolled Tribal Member" means a person who has been enrolled in the 

Community and whose name appears on the Community's membership roll and who 

meets the written criteria for membership. 

k. "Executive Director" means the Executive Director of the Fort McDowell 

Tribal Gaming Office established pursuant to this Ordinance. 
1. "Gaming Activity" means all forms of Class I1 and Class I11 Gaming 

owned and operated by the Community and conducted within the Indian Lands of the 

Community. 

m. "Gaming Device" or "Electronic Game of Chance" means a 

microprocessor-controlled electronic device which allows a player to play games of 

chance, some of which are affected by skill, which device is activated by the insertion 

of a coin, currency, 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: 

1. Video Facsimile; or 

. . 

11. 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. 

n. "Gaming Facility" means the buildings or structures in which Class I1 or 

Class I11 Gaming, as authorized by the Compact and this Ordinance, is conducted. 

0. "Gaming Facility Operator" means the Community, an enterprise owned 

by the Community, or such other entity of the Community as the Community may from 
time to time designate as the wholly-owned tribal entity having full authority and 

responsibility for the operation and management of Class I1 and Class 111 Gaming 

Activities. 

P. "Gaming Operation" means any Gaming Activity conducted within any 

Gaming Facility. 

9. "Gaming Ordinance" means this duly enacted Ordinance of the Community 

which governs the conduct of Gaming Activities within the Community, all amendments 

hereto, and all regulations promulgated hereunder. 

r. "Gaming Services" means the providing of any goods or services, except 

for professional accounting and legal services, in connection with the operation of Class 

I1 and Class I11 Gaming in a Gaming Facility, including but not limited to equipment, 

transportation, food, linens, janitorial supplies, maintenance, or security services for the 

Gaming Facility, in an amount in excess of $10,000 in any single month. No contract 

may be broken up into parts for the purpose of avoiding this definition or any licensing 

or certification requirement contained in the Compact or this Ordinance. 

s. "Indian Lands" means: 

1. Land within the limits of an Indian reservation; or 
. . 

11. Land over which an Indian tribe exercises governmental power and 

that is either-- 

(1) Held in trust by the United States for the benefit of an 

Indian tribe or individual; or 

(2) Held by an Indian tribe or individual subject to restriction 

by the United States against alienation. 

t. "Keno" means a house banking game in which a player selects from one 

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

randomly draws twenty numbers; players win if the numbers they selected correspond 

to the numbers drawn by the house, and the house pays all winners, if any, and collects 

from dl losers. 

11. "Key Employee" means any person employed in the operation or 

management of a Gaming Operation, including, but not limited to, any person whose 

employment duties require or authorize access to restricted areas of a Gaming Facility 

not otherwise open to the public. Without limiting the above definition, any person who 

performs one or more of the following functions is a Key Employee: 

1. Counting room supervisor; 
. . 

11. Chief of security; 

iii. Custodian of gaming supplies or cash; 

iv. Floor manager; 

v. Custodian of Gaming Devices, including persons with access to 

cash and accounting records within such devices; 

vi. Bingo caller; 

vii. Pit boss; 

viii. Dealer; 

ix. Croupier; or 

x. Approver of credit; or 

if not otherwise included, any other person whose totaI cash compensation is in excess 

of $50,000 per year; or, if not otherwise included, the four most highly compensated 

persons in the Gaming Operation. 
v. "License" means an approval issued to any natural person or entity to be I 

involved in the Gaming Operation or in the providing of Gaming Services to the 

Community. 

w. "Licensee" means any natural person or entity who has been licensed to 

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

Community. 

x. "Management Contract" means any contract, subcontract, or collateral 

agreement between the Community and a contractor or between a contractor and a 

subcontractor if such contract or agreement provides for the management of all or part 

of a Gaming Operation. 

Y - "Management Contractor" means a natural person or entity that has 

entered into a Management Contract with the Community or a Gaming Facility Operator 

which has been approved pursuant to 25 U.S.C. 55 2710(d)(9) and 271 1. 

z. "Manufacturer" means a natural person or entity that manufactures Gaming 

Devices and/or component parts thereof for use or play in the Gaming Facilities. 

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

Commission established pursuant to 25 U.S.C. 5 2704. 
bb. "Net Revenues" means the gross revenues of the Gaming Activities less 

(i) amounts paid out as, or paid for, prizes; and (ii) total operating expenses, excluding 

management fees paid to a Management Contractor. 

CC. "Person" includes a corporation, company, partnership, firm, association 

or society, as well as a natural person. When "person" is used to designate the violator 

or offender of any law, it includes a corporation, partnership or any association of 

persons. 

dd. "Primary Management Official" means the person having management 

responsibilities under a Management Contract; or any person who has authority to hire 

and fire employees or to set up working policy for a Gaming Operation; or the financial 

controller or other person who has financial management responsibility for a Gaming 

Operation. 

ee. "Principal" means with respect to any Person: 

1. Each of its officers and directors; 

. . 

11. Each of its principal management employees, including any chief 

executive officer, chief financial officer, chief operating officer or 

general manager; 
iii. , Each of its owners or partners, if an unincorporated business; 

iv. Each of its shareholders who own more than ten (10) percent of 

the shares of the corporation, if a corporation; 

v. Each person other than a banking institution who has provided 

financing for the person constituting more than ten (10) percent of 

the total financing of the entity, and 

vi. Each of the beneficiaries, or trustees of a trust. 

ff. "State" means the State of Arizona, its authorized officials, agents and 

representatives. 

gg. "State Certification" means the process utilized by the State Gaming 

Agency to ensure that all persons required to be certified are qualified to hold such 

certification in accordance with the provisions of the Compact. 

hh. "State Gaming Agency" means the agency of the State which the Governor 

of the State may from time to time designate by written notice to the Community as the 

single state agency which shall act on behalf of the State under the Compact. 
. . 

11. "Tribal Gaming Office" means the department, agency or commission 

designated by action of the Community Council as the entity which shall exercise the 

civil regulatory authority of the Community over Class I1 and Class I11 Gaming Activities 

within the Community. 

. . 

JJ - "Tribal Police Department" means the police force of the Community 

established, maintained or contracted for by the Community pursuant to the Community's 

powers of self-government to carry out law enforcement within the Community. 

SECTION 3. ADOPTION OF COMPACT. The Compact is hereby 

incorporated within and enacted as an integral part of this Ordinance with respect to all 

forms of Class I11 Gaming, and the Compact, including the Appendices thereto, is 

incorporated and made a part of this Ordinance as if set forth in full herein; provided, 

however, that nothing in the adoption of the Compact herein shall be deemed to affect 

the operation by the Community of any Class I1 Gaming, whether conducted within or 

without the Gaming Facilities, or to confer upon the State any jurisdiction over such 

Class 11 Gaming conducted by the Community on its Indian Lands. 

SECTION 4. AUTHORIZATION FOR GAMING ACTIVITIES. 

a. Forms of Class I11 Gaming Authorized. The Community may conduct or 

operate all forms of Class I11 Gaming authorized under the Compact. 
b. Authoritv for Class I1 Gaming. In addition to the forms of Class I11 

Gaming authorized pursuant to Section 4(a) hereof, the Community shall be authorized 

to conduct all forms of Class I1 Gaming. 

SECTION 5. COMPLIANCE WITH THE ACT AND FEDERAL 

REGULATIONS. This Ordinance shall be construed in a manner which conforms to the 

Act and to all federal regulations applicable to the Gaming Activities authorized by the 

Compact and this Ordinance in all respects, and if inconsistent with the Act or such 

federal regulations in any manner the provisions of the Act or such federal regulations 

shall govern. 

SECTION 6. OWNERSHIP OF GAMING ACTIVITIES. In compliance 

with 25 U.S.C. 8 2710@)(2)(A), the Community shall have the sole proprietary interest 

in and responsibility for the conduct of any Gaming Activity on its Indian Lands; 

provided, however, that nothing herein shall (i) preclude the Community from entering 

into a Management Contract as authorized under 25 U.S.C. 5 271 1; or (ii) interfere with 

the exercise by any secured party of its rights under any collateral lease, leasehold 

mortgage or other financing agreement with the Community to enforce its security 

interests in the premises on which such Gaming Activities may be conducted, or to 

enforce its rights against revenues of the Community from its Gaming Activities for the 

purpose of repayment of the debt obligations of the Community to such secured party in 

accordance with the provisions of such agreements. 
SECTION 7. APPLICATION OF NET REVENUES. In compliance with 

25 U.S.C. 5 2710@)(2)(B) and (3), Net Revenues from any Gaming Activity are not to 

be used for purposes other than: 

1. funding tribal government operations or programs; 

. . 

11. providing for the general welfare of the Community and its 

members; 

... 

111. promoting tribal economic development; 

iv. donating to charitable organizations; 

v. helping fund operations of local government agencies; and 

vi. making per capita distributions to eligible members of the 

Community. Per capita distributions shall only be made pursuant 

to a Revenue Allocation Plan approved by the Secretary of the 

Interior in accordance with 25 U.S.C. 5 2710@)(3). 

SECTION 8. ANNUAL AUDIT. In compliance with 25 U.S.C. $5 

2710@)(2)(C) and (D), the Gaming Operation shall be subject to an audit by an 
independent certified public accountant licensed by the State not less than annually. 

Copies of the annual audit shall be provided to the National Indian Gaming 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 Class I1 or Class 111 Gaming shall be subject to such audits. 

SECTION 9. PROTECTION OF THE ENVIRONMENT AND PUBLIC 

HEALTH AND SAFETY. In compliance with 25 U.S.C. 5 2710@)(2)(E), the 

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

Activities, shall be conducted in a manner which adequately protects the environment and 

the public health and safety and, for this purpose, shall comply with the requirements of 

the Compact and this Ordinance and all other applicable health, safety and environmental 

standards enacted by the Community. 

SECTION 10. TRIBAL GAMING OFFICE. 

a. Establishment of a Tribal Gaming Office. There shall be established a 

Fort McDowell Tribal Gaming Office consisting of a chairman and at least four other 

members who shall be appointed by the Community Council. Prior to appointing a 

permanent member, the Community shall conduct or cause to be conducted a background 

investigation of the person in accordance with the provisions of Section 11 of this 

Ordinance. At least three of the members, including the Chairman, shall be enrolled 
members of the Community. The Community may appoint a Bureau of Indian Affairs' 

official as an ex-officio member of the Tribal Gaming Office. Such ex-officio member 

shall not be subject to the background investigation procedures. None of the members 

shall be employees of the Gaming Operation or Gaming Facility Operator or elected 

officials of the Community. Each member shall serve for a term of three years 

commencing on the date of his or her appointment; provided, that the initial members 

so appointed shall serve for terms deemed to commence on September 1, 1993, and two 

of the initial members appointed shall be designated to serve for an initial term of one 

year and three of the initial members appointed shall be designated to serve for an initial 

term of two years. The compensation of members of the Tribal Gaming Office shall be 

established by the Community Council. No member or employee of the Tribal Gaming 

Office shall participate as a player in any Class I1 or Class I11 Gaming Activity conducted 

by the Community. 

b. Powers and Duties of Tribal Gaming Office. The Tribal Gaming Office 

shall have the following powers and duties: 

1. The Tribal Gaming Office shall have the right to inspect any 

Gaming Facility at any time and shall have immediate access to 

any and all areas of a Gaming Facility for the purpose of ensuring 

compliance with the provisions of the Compact and this Ordinance. 
. . 

11. The Tribal Gaming Office shall employ non-uniformed inspectors 

who shall be present in all Gaming Facilities during all hours of 

operation and who shall act under the sole authority of the Tribal 

Gaming Office and not under the authority of any management 

employees of the Gaming Operation or Management Contractor. 

Such inspectors shall have unfettered immediate access to all areas 

of the Gaming Facilities at all times, and personnel employed by 

the Gaming Operation shall, for such purposes, provide such 

inspectors access to locked and secure areas of the Gaming 

Facilities in accordance with the standards of operation and 

management promulgated pursuant to the Compact. Such 

inspectors shall report to the Tribal Gaming Office regarding any 

unusual occurrences or any failure or suspected failure by the 

Gaming Facility Operator, its employees or agents, or any person 

on the premises whether or not associated with the Gaming 

Activities to comply with any of the provisions of the Compact or 

this Ordinance or any other applicable laws and regulations. The 

Tribal Gaming Office shall make a written record of such report 

in accordance with Section 6(g) of the Compact. Inspectors 

assigned by the Tribal Gaming Office may also receive consumer 

complaints within the Gaming Facilities and shall assist in seeking 

voluntary resolution of such complaints. Inspectors appointed by 
the Tribal Gaming Office shall be licensed as Gaming Employees 

in accordance with Section 11 of this Ordinance. 

iii. The Tribal Gaming Office shall investigate any reported violation 

of the provisions of the Compact or this Ordinance and shall 

recommend that the Gaming Facility Operator correct the violation 

upon such terms and conditions as the Tribal Gaming Office may 

deem appropriate. The Tribal Gaming Office may compel any 

licensee or person employed by or doing business with the Gaming 

Operation to appear before it and to provide such information, 

documents or other materials as may be in their possession to 

assist in any such investigation. 

iv. The Tribal Gaming Office shall prepare a plan for the protection 

of public safety and the physical security of patrons in the Gaming 

Facilities, setting forth the respective responsibilities of the Tribal 

Gaming Office, the security department of the Gaming Operation, 

any Tribal Police Department, and if appropriate, any State or 

local police agency. 

v. The Tribal Gaming Office shall require the Gaming Facility 

Operator to establish, consistent with the provisions of Appendix C 
to the Compact, a closed-circuit television surveillance system 

capable of recording and preserving on videotape all areas of the 

Gaming Facilities required by the Community Council, the 

Compact, or federal regulations to be under surveillance. 

vi. The Tribal Gaming Office shall review and approve floor plans 

and surveillance systems for each Gaming Facility and may confer 

with the State Gaming Agency or other organizations regarding the 

adequacy of such plans and systems. 

vii. The Tribal Gaming Office may promulgate, review and revise (as 

necessary) regulations to govern the operation and management of 

the Gaming Operation in accordance with the Compact, such 

regulations being subject to final approval by the Community 

Council. 

viii. The Tribal Gaming Office may take appropriate actions with 

respect to the issuance, denial, revocation and suspension of 

licenses and work permits, including conducting appropriate 

background investigations in accordance with Section 11 of this 

Ordinance. 
ix. The Tribal Gaming Office 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 the Gaming Activities of the 

Community. The Tribal Gaming Office shall employ its best 

efforts to exclude persons on such list from entry into the Gaming 

Facilities. The Tribal Gaming Office shall send a copy of its list 

on a monthly basis to the State Gaming Agency. 

x. The Tribal Gaming Office shall promulgate, review and revise (as 

necessary) the Technical Standards and rules of each game of 

chance operated by the Community pursuant to the Compact and 

shall in accordance with the provisions of the Compact notify the 

State Gaming Agency of such rules and of any change in such 

rules. The Tribal Gaming Office shall confiscate or shut down any 

game of chance or gaming supplies that fail to conform to any 

required standards. 

xi. The Tribal Gaming Office shall enforce the health and safety 

standards applicable to the Gaming Facilities in accordance with 

Section 13 of the Compact. The Tribal Gaming Office shall issue 
a certificate of compliance to a Gaming Facility which satisfies the 

standards set forth in Section 13 of the Compact. 

xii. The Tribal Gaming Office may impose civil penalties for violations 

of the provisions of this Ordinance or the Compact in accordance 

with Section 14 of this Ordinance. 

xiii. Subject to the approval of the Community Council, the Tribal 

Gaming Office may, in the name of the Community, bring any 

civil action in the appropriate court(s) of the Community, State or 

the United States to enforce the provisions of this Ordinance, the 

Act, any applicable federal regulations or the Compact or to enjoin 

or otherwise prevent any violation of this Ordinance, the Act, the 

federal regulations or the Compact, occumng on the Indian Lands 

of the Community. 

xiv. The Tribal Gaming Office may receive any complaint from an 

employee of the Gaming Operation or any member of the public 

who is or claims to be adversely affected by an act or omission of 

the Gaming Operation or any employee thereof which is asserted 

to violate this Ordinance or the Compact. The Tribal Gaming 

Office may for this purpose, in its sole discretion, conduct a 
hearing and receive evidence with regard to such complaint if it 

deems an evidentiary proceeding useful in the resolution of such 

complaint. The Tribal Gaming Office shall investigate and resolve 

patron disputes in accordance with Section 14 of the Compact. 

xv. The Tribal Gaming Office shall adopt an annual operating budget 

which shall be subject to the approval of the Community Council 

and may in accordance with said budget employ such staff from 

time to time as it deems necessary to fulfill its responsibilities 

under this Ordinance and the Compact, and may retain consultants 

and investigative services to assist the Tribal Gaming Office with 

respect to any of the issues over which the Tribal Gaming Office 

exercises jurisdiction. The expenses of the Tribal Gaming Office 

in accordance with such budget shall be assessed against the 

Gaming Operation and the Gaming Operation shall pay such 

assessments to the Community. The Tribal Gaming Office shall 

report the amount of money it has collected in fees pursuant to 

Section 1 l(b)(iv) of this Ordinance to the Community Council in 

order to assist the Community Council in determining the amount 

of money it should offset from the Tribal Gaming Office's budget 

request. 
xvi. The Tribal Gaming Office shall approve an internal control system 

for the Gaming Operation in accordance with Section 1 I@) of the 

Compact. 

xvii. The Tribal Gaming Office shall perform any and all additional 

functions specifically set forth in this Ordinance, the Compact, the 

Appendices thereto, or as directed by the Community Council. 

Any duties and powers not expressly granted to the Tribal Gaming 

Office in this Ordinance, the Compact, the Appendices thereto, or 

as directed by the Community Council are reserved for the 

Community Council. 

c. Chairman. The Chairman of the Tribal Gaming Office or any other 

member of the Tribal Gaming Office acting in the absence of the Chairman may, 

whenever he or she deems it necessary to protect the public interest in the integrity of 

Tribal Gaming Operations, issue in the name of the Tribal Gaming Office any order or 

recommendation which the Tribal Gaming Office has the power to issue, to the Gaming 

Operation or to any employee or contractor of the Gaming Operation or to any other 

person within the jurisdiction of the Community, to take any action or cease and desist 

from any action as may be required to protect the public interest; provided, that such 

order shall be subject to review by the Tribal Gaming Office at its earliest opportunity, 

whereupon it may be confirmed or vacated by the Tribal Gaming Office. 
d. Exkutive Director. The Community Council shall designate an individual 

to serve as Executive Director of the Tribal Gaming Office to administer its 

responsibilities as directed by the Tribal Gaming Office and to oversee inspectors 

appointed by the Tribal Gaming Office as well as such other staff as the Tribal Gaming 

Office may from time to time employ. The Executive Director shall be responsible for 

coordination of the functions of the Tribal Gaming Office with the State Gaming Agency 

and other federal, state and local agencies as directed by the Tribal Gaming Office and 

shall serve as the formal liaison to the person holding a similarly titled position with the 

State Gaming Agency. The Chairman may direct the Executive Director to conduct a 

preliminary investigation and render a recommendation to the Tribal Gaming Office with 

respect to the grant or denial of any license which the Tribal Gaming Office is authorized 

to issue, the imposition of any penalty, the investigation of any complaint, or any other 

action within the jurisdiction of the Tribal Gaming Office. As directed by the Tribal 

Gaming Office, the Executive Director may be required, in the name of the Tribal 

Gaming Office, to conduct any hearing, investigation or inquiry, compel the production 

of any information or documents, and otherwise exercise the investigatory powers of the 

Tribal Gaming Office, which the Tribal Gaming Office may exercise under this 

Ordinance. 

e. Removal and Suspension of Tribal Gamine Office Member and Executive 

Director. Members of the Tribal Gaming Office and the Executive Director may be 

removed or suspended for cause by a majority vote of the Community Council then in 

office. The Community Council may fill vacancies in the membership of the Tribal 
Gaming Office by appointment and may also appoint a new Executive Director. Prior 

to removing or suspending a member of the Tribal Gaming Office or the Executive 

Director, the Community Council shall afford the affected person seven (7) days notice 

of its intended action and an opportunity to be heard before the Community Council, 

either in person or through a representative or legal counsel. At such hearing, the 

affected person shall be entitled to submit such evidence as the Community Council 

deems relevant to the matter at issue. If the Community Council deems it necessary to 

protect the public interest and the integrity of the Gaming Activities, the Community 

Council may remove or suspend a Tribal Gaming Office member or the Executive 

Director immediately, and shall then provide notice and an opportunity to be heard to the 

affected person as soon as is reasonably practicable following such action. The 

Community Council shall render its decision within five (5) days after the hearing. The 

decision of the Community Council shall be final and binding. 

f. Procedures of the Tribal Gaming Office. 

1. Regular meetings of the Tribal Gaming Office may be held upon 

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

from time to time be fixed by the Tribal Gaming Office. Unless 

otherwise specified by the Tribal Gaming Office, no notice of such 

regular meetings shall be necessary. 
. . 

11. Special meetings of the Tribal Gaming Office may be called by the 

Chairman or any three members of the Tribal Gaming Office. The 

person or persons calling the special meeting shall fix the time and 

place thereof and shall notify all members of the Tribal Gaming 

Office of the special meeting at least twenty-four (24) hours in 

advance of the meeting. Neither the business to be transacted at, 

nor the purpose of, any regular or special meeting of the Tribal 

Gaming Office needs to be specified in the notice of the meeting. 

iii. At any meeting of the Tribal Gaming Office, 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 Tribal Gaming Office. The Chairman shall preside at all 

meetings of the Tribal Gaming Office unless the Chairman 

designates another member to preside in his or her absence. 

iv. Any action required or permitted to be taken at a meeting of the 

Tribal Gaming Office may be taken without a meeting if all of the 

members 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 contents shall be filed with the minutes of the 
Tribal Gaming Office, and shall have the same effect as a 

unanimous vote or resolution of the Tribal Gaming Office at a 

legal meeting thereof. 

v. Members of the Tribal Gaming Office may participate in a meeting 

of the Tribal Gaming Office by means of conference telephone or 

similar communications equipment by means of which all persons 

participating in the meeting can hear each other, and participation 

in a meeting in such manner by any member 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. No action of the Tribal Gaming Office to impose a penalty 

pursuant to Section 14 of this Ordinance, or to suspend or revoke 

a license previously issued by the Tribal Gaming Office in 

accordance with Section ll(k) of this Ordinance, shall be valid 

unless the person affected is given at least seven (7) days notice of 

the proposed action and the opportunity to appear and be heard 

before the Tribal Gaming Office, either in person or through a 

representative or legal counsel, and to submit such evidence as the 

Tribal Gaming Office deems relevant to the matter at issue; 

provided, that if the Tribal Gaming Office deems it necessary to 
protect the public interest in the integrity of the Gaming Activities, 

the Tribal Gaming Office 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 as soon as is 

reasonably practicable following such action. Any person who is 

denied an initial license or who is barred from the Gaming 

Facilities by action of the Tribal Gaming Office may request a 

hearing before the Tribal Gaming Office by written request 

submitted within thirty (30) days following receipt of notice of the 

action of the Tribal Gaming Office, and the Tribal Gaming Office 

shall thereupon afford the person an opportunity to appear and be 

heard before the Tribal Gaming Office, either in person or through 

a representative or legal counsel, and to submit such evidence as 

the Tribal Gaming Office deems relevant to the matter at issue and 

thereafter the Tribal Gaming Office shall either affirm or 

reconsider its decision. Any hearing conducted under this 

subsection may, at the direction of the Tribal Gaming Office, be 

conducted by the Executive Director or by one or more members 

of the Tribal Gaming Office designated by the Tribal Gaming 

Office for that purpose. 
vii. The Tribal Gaming Office may adopt such additional procedures 

and rules as it deems necessary or convenient to govern its affairs 

and which are consistent with this Ordinance and the Compact. 

SECTION 1 1. LICENSING. 

a. Persons and Entities Licensed 

1. Gaming Facilitv Operator and Gamine Facility. The Gaming 

Facility Operator, and all Gaming Facilities authorized by the Compact and this 

Ordinance, shall be licensed by the Community in conformance with the requirements 

of the Compact and this Ordinance prior to commencement of operation, and annually 

thereafter. The license shall be placed in a visible location inside the Gaming Facility. 

. . 

11. Kev Emplovees. Primarv Management Officials and Tribal Gaming 

Office Members and Emplovees. Every Key Employee and Primary Management 

Official shall be licensed by the Tribal Gaming Office and every Tribal Gaming Office 

member and employee shall be licensed by the Community. No person shall be 

employed as a Key Employee, Primary Management Official or Tribal Gaming Office 

member or employee unless he or she is licensed. The issuance of a license does not 

create or imply a right to employment or continued employment. 
iii. Other Em~lovees. All persons who are not licensed pursuant to 

subsection (a)(ii) above who work at any Gaming Facility where authorized gaming 

occurs or is supervised or administered must obtain a non-gaming work permit. Such 

work permit may be issued upon determining that the employee is not a threat to the 

effective regulation of gaming and creates no risk or enhances no danger of unfair or 

illegal practices, methods or activities in the conduct of Gaming Activities on the Indian 

Lands of the Community. All Applicants for work permits shall provide the information 

required by subsection (b)(iii)(l)-(13) of this Section. Applicants for work permits are 

not subject to the procedures set forth in subsections (c)-(i) of this Section. 

iv. Management Contractors. Any Management Contractor, including 

its Principals, engaged by the Community to assist in the management or operation of 

the Gaming Facilities or any Class I1 or Class I11 Gaming Activities shall be licensed by 

the Tribal Gaming Office. The licensing of Management Contractors shall include the 

licensing of new Principals which shall satisfy the provisions of Section 5(e) of the 

Compact. 

v. Manufacturers and Su~~liers of Gaming Devices and Gaming 

Services. Each Manufacturer and Supplier of Gaming Devices, each person providing 

Gaming Services, within or without the Gaming Facility, and their Principals shall be 

licensed by the Tribal Gaming Office. The licensing provided for in this subsection shall 
include the licensing of new Principals which shall satisfy the provisions of Section 5(e) 

of the Compact. 

b. Ap~lications for Licenses. 

1. Applicants. Every person or entity required to be licensed pursuant 

to Section 1 l(a)(ii)-(v) of this Ordinance shall submit the completed Application, along 

with any requested information and fees, to the licensing entity. 

. . 

11. Notices on Ap~lication Forms. 

1. The following notice shall be placed on the Application form for 

the persons or entities set forth in Section 1 l(a)(ii)-(v) of this Ordinance before that form 

is filled out by an Applicant: 

In compliance with the Privacy Act of 1974, the following 

information is provided: Solicitation of the information on 

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

purpose of the requested information is to determine the 

eligibility of individuals to be employed in a gaming 

operation. The information will be used by National Indian 

Gaming Commission members and staff who have need for 

the information in the performance of their official duties. 

The information may be disclosed to appropriate Federal, 

Tribal, State, local, or foreign law enforcement and 

regulatory agencies when relevant to civil, criminal or 

regulatory investigations or prosecutions or when pursuant 

to a requirement by a tribe or the National Indian Gaming 

Commission 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 tribe 

or a gaming operation. Failure to consent to the 

disclosures indicated in this notice will result in a tribe's 

being unable to hire or license you. 

The disclosure of your Social Security Number (SSN) is 

voluntary. However, failure to supply a SSN may result in 

errors in processing your application. 

2. Existing licensees shall be notified in writing that they shall either: 

A. Complete a new Application form that contains a 

Privacy Act notice; or 

B. Sign a statement that contains the Privacy Act notice and consent 

to the routine uses described in that notice. 

3. The following notice shall be placed on the Application form for 

the persons or entities set forth in Section 1 l(a)(ii)-(v) of this Ordinance before that form 

is filled out by an Applicant. 

A false statement on any part of your application may be 

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

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

imprison men t. 

(U.S. Code, Title 18, Section 1001.) 

4. Existing licensees shall be notified in writing that they shall either: 
A. Complete a new Application form that contains a notice regarding 

false statements; or 

B. Sign a statement that contains the notice regarding false statements. 

. . . 

111. Information Requested in the A~~lication. 

The Application shall request from each person or entity set forth 

in Section 1 l(a)(ii)-(v) of this Ordinance, at a minimum, all of the following information: 

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

numbers(s), birth date, place of birth, citizenship, gender, all 

languages (spoken or written); 

2. Currently, and for the previous 5 years: business and employment 

positions held, ownership interests in those businesses, business 

and residence addresses, and drivers license numbers; 

3. The names and current addresses of at least three personal 

references, including one personal reference who was acquainted 

with the Applicant during each period of residence listed under 

paragraph (iii)(2) of this subsection; 
4. Current business and residence telephone numbers; 

5. A description of any existing and previous business relationships 

with Indian tribes, including ownership interests in those 

businesses; 

6. A description of any existing and previous business relationships 

with the gaming industry generally, including ownership interests 

in those businesses; 

7. The name and address of any licensing or regulatory agency with 

which the person has filed an application for a license or permit 

related to gaming, whether or not such license or permit was 

granted; 

8. For each felony for which there is an ongoing prosecution or a 

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

involved, and the date and disposition, if any; 

9. For each misdemeanor conviction or ongoing misdemeanor 

prosecution (excluding minor traffic violations), occurring within 
10 years of the date of the Application, the name and address of 

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

10. For each criminal charge (excluding minor traffic charges), 

whether or not there is a conviction, if such criminal charge is 

within 10 years of the date of the Application and is not otherwise 

listed pursuant to paragraph (iii)(8) or (9) of this subsection, 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 occupational 

license or permit, whether or not such license or permit was 

granted; 

12. A current passport-size photograph; and 

13. Fingerprints. 

iv. Licensing Fees. The fees for licensing shall be determined and set 

by the licensing entity and shall be submitted to the licensing entity with the completed 

Application. In the event actual costs incurred to investigate the background of an 
Applicant exceed the designated fees, those costs shall be assessed to the Applicant 

during the investigation process. Payment in full shall be required prior to the issuance 

of a license. Manufacturers, suppliers, Management Contractors and financiers applying 

for a license may be required to post a bond sufficient to cover the actual costs that the 

licensing entity anticipates will be incurred in conducting a background investigation of 

the Manufacturer, supplier, Management Contractor or financier. 

c. Background Investigations of Applicants. Upon receipt of a completed 

Application and the required fee, the licensing entity shall conduct or cause to be 

conducted a background investigation sufficient to make a determination under subsection 

(d) below to ensure that the Applicant is qualified for licensing. In conducting a 

background investigation, the licensing entity or its agents shall promise to keep 

confidential the identity of each person interviewed in the course of the investigation. 

The licensing entity shall retain the right to conduct additional background investigations 

of any person or entity required to be licensed at any time, while the license remains 

valid. 

d. Eligibility Determination. Eligibility determinations shall be made by the 

appropriate licensing entity. Subject to the provisions of subsections (g) and (h) of this 

Section, the licensing entity shall, upon completion of the background investigation and 

eligibility determination, either issue a license or deny the Application. 
1. No license shall be issued to an Applicant if it is determined that 

the Applicant: 

(1) Has knowingly and willfully provided materially important 

false statements or information or omitted materially 

important information on the Application; or 

(2) Is a person whose prior activities, criminal record, if any, 

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

public interest or to the effective regulation and control of 

gaming, or create or enhance the dangers of unsuitable, 

unfair, or illegal practices, and methods, and activities in 

the conduct of gaming or the carrying on of the business 

and financial arrangements incidental thereto. 

. . 

11. In making the determination required by subsection (d)(i)(2) above, 

the licensing entity may consider whether the Applicant: 

(1) has violated, failed or refused to comply with the 

provisions, requirements, conditions, limitations or duties 

imposed by any provision of the Compact or this 

Ordinance, or possesses knowledge that such violation has 

occurred upon any premises occupied or operated by any 
such person or over which he or she has substantial 

control; 

(2) knowingly causes, aids, abets, or conspires with another to 

cause any person or entity to violate any of the laws of the 

State of Arizona or the provisions of the Compact or this 

Ordinance; 

(3) has obtained a tribal license by fraud, misrepresentation, 

concealment or through inadvertence or mistake; 

(4) Has been convicted of, or forfeited bond upon a charge of, 

or pleaded guilty to, forgery, larceny, extortion, 

embezzlement, conspiracy to defraud, willful failure to 

make required payment or reports to any tribal, state or 

United States governmental agency at any level, or filing 

false reports therewith, or of any similar offense or 

offenses, in any court, including tribal court, or of bribing 

or otherwise unlawfully influencing a public official or 

employee of a tribe, any state of the United States, or of 

any felony or misdemeanor involving any gaming activity; 
(5) is subject to current prosecution or pending charges, or a 

conviction which is under appeal, for any of the offenses 

included under subsection (4) of this Section; provided, that 

at the request of an Applicant for an original license, the 

licensing entity may defer decision upon the Application 

during the pendency of such prosecution or appeal; 

(6) has had a gaming license issued by any state or tribe in the 

United States revoked or denied; 

(7) has demonstrated a willful disregard for compliance with 

gaming regulatory authority in any jurisdiction, including 

suspension, revocation, denial of application or forfeiture 

of license; 

(8) has pursued or is pursuing economic gain in an 

occupational manner or context which is in violation of the 

criminal laws of any state if such pursuit creates probable 

cause to believe that the participation of such person in 

gaming or related activities would be detrimental to the 

proper operation of an authorized gaming or related activity 

in the State of Arizona. For the purposes of this 
paragraph, occupational manner or context shall be defined 

as the systematic planning, administration, management or 

execution of an activity for financial gain; 

(9) is a career offender or a member of a career offender 

organization or an associate of a career offender or career 

offender organization in such a manner which creates 

probable cause to believe that the association is of such a 

nature as to be detrimental to the proper operation of the 

authorized gaming or related activities in the State of 

Arizona. For the purposes of this paragraph, career 

offender shall be defined as any person whose behavior is 

pursued in an occupational manner or context for the 

purposes of economic gain utilizing such methods as are 

deemed criminal violations of tribal law, federal law or the 

laws and the public policy of the State of Arizona. A 

career offender organization shall be defined as any group 

of persons who operate together as career offenders; 

(10) fails to provide any information requested by the licensing 

entity within 30 days of the request for the information. 
e. Procedures for Background Investi~ations. 

1. Except as provided otherwise in the Compact or this Ordinance, 

the Tribal Gaming Office shall have overall responsibility for 

conducting or causing to be conducted background investigations 

and eligibility determinations. A specific breakdown of such 

responsibility is set forth below. Under the direction and authority 

of the Tribal Gaming Office: 

(I) The Executive Director shall be responsible for conducting 

or causing to be conducted background investigations; 

(2) The Executive Director shall be responsible for reviewing 

and approving the investigative work done; 

(3) The Executive Director shall be responsible for reporting 

the results of the background investigation to the National 

Indian Gaming Commission; 

(4) The Executive Director shall be responsible for making 

recommendations to the Tribal Gaming Office regarding 

eligibility determinations; and 
(5) The Tribal Gaming Office shall be responsible for 

obtaining and processing fingerprints. The Tribal Police 

Department, when it is established by the Community, shall 

be responsible for taking fingerprints and submitting them 

to the National Indian Gaming Commission for purposes of 

obtaining a criminal history on the Applicant. 

. . 

11. At a minimum, the following investigative procedures shall be 

performed: 

(1) Verification by written or oral communication of the 

information submitted by the Applicant; 

(2) Inquiry into the Applicant's prior activities, criminal 

record, if any, and reputation, habits and associations by, 

at a minimum, submitting an Applicant's fingerprint card 

to the National Indian Gaming Commission, where 

applicable under the terms of this Ordinance, to have a 

criminal background check conducted on the Applicant and 

interviewing a sufficient number of knowledgeable people, 
such as former employers, personal references, or others 

to whom referred; and 

(3) Documentation of the disposition of all potential problem 

areas noted and disqualifying information obtained. 

iii. The Executive Director, or the person authorized by the Executive 

Director, shall prepare an investigative report setting forth: 

(1) the steps taken in conducting the background investigation; 

(2) the results obtained; 

(3) the conclusions reached; and 

(4) the bases for those conclusions. 

f. Tern~0m-y Licensing. Subject to the provisions of subsections (g) and (h) 

of this Section, within 20 days of the receipt of a completed Application, the licensing 

entity shall issue a temporary license to the Applicant unless the background investigation 

discloses that the Applicant has a criminal history, or unless other grounds sufficient to 

disqualify the Applicant pursuant to subsection (d) of this Section are apparent on the 
face of the Application. The temporary license shall become void and be of no effect 

upon either the issuance of a license or upon the issuance of notice of denial, in 

accordance with subsection (j) of this Section. 

g. Procedures for Forwarding Applications and Reports of Kev Emplovees 

and Primarv Management - Officials to the National Indian Gaming Commission. 

i. When a Key Employee or Primary Management Official begins 

work at a Gaming Operation authorized by this Ordinance, the 

Tribal Gaming Office shall forward to the National Indian Gaming 

Commission a completed Application, conduct or cause to be 

conducted the background investigation and make the 

determination referred to in subsection (d) of this Section. 

. . 

11. The Tribal Gaming Office shall forward the report described in 

subsection (e)(iii) of this Section to the National Indian Gaming 

Commission within 60 days after an employee begins work or 

within 60 days of the approval of this Ordinance by the Chairman 

of the National Indian Gaming Commission. 
iii. The Tribal Gaming Office shall submit, with the report, a copy of 

the eligibility determination made under subsection (d) of this 

Section. 

iv. If a license is not issued to an Applicant for a position as a Key 

Employee or a Primary Management Official, the Tribal Gaming 

Office: 

(1) Shall notify the National Indian Gaming Commission; and 

(2) May forward copies of its eligibility determination and 

investigative report (if any) to the National Indian Gaming 

Commission for inclusion in the Indian Gaming Individuals 

Records System as set forth in 25 C.F.R. §556.5(d)(2). 

v. The Gaming Operation shall not employ as a Key Employee or 

Primary Management Official a person who does not have a 

license 90 days after the person begins work at a Gaming 

Operation. 

vi. With respect to Key Employees and Primary Management 

Officials, the Tribal Gaming Office shall retain Applications and 
reports (if any) of background investigations for inspection by the 

Chairman of the National Indian Gaming Commission or his or her 

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

termination of employment. 

h. Granting a Gaming License to a Kev Em~lovee or Primary Management 

Official. 

1. If, within a thirty (30) day period after the National Indian Gaming 

Commission receives a report, the National Indian Gaming 

Commission notifies the Tribal Gaming Office that it has no 

objection to the issuance of a license pursuant to a license 

Application filed by a Key Employee or a Primary Management 

Official for whom the Tribal Gaming Office has provided an 

Application and investigative report to the National Indian Gaming 

Commission, the Tribal Gaming Office may issue a license to such 

Applicant. 

. . 

11. The Tribal Gaming Office shall respond to a request for additional 

information from the Chairman of the National Indian Gaming 

Commission concerning an Applicant for a position as a Key 

Employee or a Primary Management Official who is the subject of 
a report. Such a request shall suspend the 30-day period under 

paragraph h(i) of this subsection until the Chairman of the National 

Indian Gaming Commission receives the additional information. 

iii. If, within the thirty (30) day period described above, the National 

Indian Gaming Commission provides the Tribal Gaming Office 

with a statement itemizing objections to the issuance of a license 

to a Key Employee or to a Primary Management Official for 

whom the Tribal Gaming Office has provided an Application and 

investigative report to the National Indian Gaming Commission, 

the Tribal Gaming Office shall reconsider the Application, taking 

into account the objections itemized by the National Indian Gaming 

Commission. The Tribal Gaming Office shall make the final 

decision whether to issue a license to such Applicant. 

1. License Sus-pension for Kev Emplovees and Primarv Managemen1 

Officials. 

1. If, after the issuance of a license, the Tribal Gaming Office 

receives from the National Indian Gaming Commission reliable 

information indicating that a Key Employee or a Primary 

Management Official is not eligible for a license under subsection 
(d) above, the Tribal Gaming Office shall suspend such license and 

shall notify in writing the licensee of the suspension and the 

proposed revocation. 

. . 

11. The Tribal Gaming Office shall notify the licensee of a time and 

a place for a hearing on the proposed revocation of a license which 

shall be conducted in accordance with the provisions of 

subsection (0) of this Section. 

iii. After a revocation hearing, the Tribal Gaming Office shall decide 

to revoke or to reinstate a license. The Tribal Gaming Office shall 

notify the National Indian Gaming Commission of its decision. 

j- Notification to A~plicants. With the exception of Applicants for positions 

as Key Employees or Primary Management Officials, all Applicants shall be notified by 

the licensing entity of the status of the Application within ten (10) days after the 

completion of the background investigation, or, if the Application is subject to state 

certification, within ten (10) days after the Tribal Gaming Office receives the State 

Gaming Agency's recommendation for certification or denial. 

k. Revocation and Sus-pension of a License. Subject to the provisions of 

subsection (i) of this Section, the licensing entity may revoke a license or work permit 
if it determines that the licensee or permittee fails to satisfy the requirements of 

subsection (d) of this Section. The licensing entity may suspend a license or work permit 

if it has reason to believe that the licensee or permittee fails to satisfy the requirements 

of subsection (d) of this Section until such time as the licensing entity makes a final 

determination regarding revocation. 

1. Duration and Renewal of a License. A license or work permit shall be 

effective for one (1) year from the date of issuance; provided, however, that a licensee 

or permittee who has applied for renewal may continue to be employed or engaged under 

the expired license or work permit until the licensing entity takes action on the renewal 

Application. Applicants for license or work permit renewal shall provide updated 

material as requested on the Application forms described in subsection @) of this Section, 

but shall not be required to resubmit historical data already available to the licensing 

entity. Additional background investigations shall not be required of Applicants for 

renewal unless new information concerning the Applicant's continuing eligibility for a 

license or work permit is discovered by the licensing entity. 

m. Identification Cards. Upon the issuance of a license or work permit to a 

person described in subsections (a)(ii) and (iii) of this Section, the Tribal Gaming Office 

shall provide such person with an identification card. The Gaming Facility Operator 

shall require all such persons to wear in plain view such identification card which shall 

include a photograph of the person, the first and last name of the person, and an 
identification number unique to the individual license or work permit. The identification 

card shall also include the seal or signature of the Community and an expiration date. 

n. Summary Suspension of a License. Subject to the provisions of subsection 

(i) of this Section, the licensing entity may summarily suspend any license or work 

permit, except for a license issued to the Gaming Facility Operator or a Gaming Facility, 

if the continued licensing of a person or entity constitutes an immediate threat to the 

public health, safety and welfare. 

0. Ri~ht of Appeal. If a licensing entity denies, revokes, or suspends a 

license or work permit, the Applicant, licensee or permittee may appeal that decision 

within thirty (30) days after notification thereof. Such appeal shall be heard before the 

licensing entity or other entity designated by the licensing entity. The licensing entity 

or designated entity shall render a decision on the appeal within five (5) days after the 

hearing. The decision of the licensing entity or the designated entity shall be final and 

binding. 

SECTION 12. STANDARDS OF OPERATION AND MANAGEMENT. 

a. Class I11 Gaming. The initial technical standards of operation and 

management for Class I11 Gaming adopted in accordance with the Compact shall be those 

set forth as Appendix "A" of the Compact. 
b. Class I1 Gaming. The Tribal Gaming Office may adopt standards of 

operation and management for Class I1 Gaming, and pending such adoption, may direct 

the Gaming Operation to comply with such standards as the Tribal Gaming Office may 

determine necessary to protect the integrity of such Class I1 Gaming. 

SECTION 13. PROHIBITED ACTS. 

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

a. Conduct or participate in any Class I1 or Class 111 Gaming Operation on 

the Indian Lands of the Community other than at the Gaming Facilities authorized in the 

Compact. 

b. Receive, distribute, apply or divert any property, funds, proceeds or other 

assets of the Gaming Operation to the benefit of any individual or any other person 

except as authorized by this Ordinance, the Compact or the Act. 

c. Tamper with any equipment used in the conduct of Gaming Operations 

with the intent to cause any person to win or lose any wager other than in accordance 

with the publicly-announced rules of such Gaming Operation. 
d. Do any other act in connection with the conduct of the Gaming Operations 

with the intent to affect the outcome of any wager other than in accordance with the 

publicly-announced rules of such Gaming Operations. 

e. To 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. 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 or to 

aid anyone in acquiring such knowledge for the purpose of placing, increasing or 

decreasing a bet or determining the course of play contingent upon that event or 

outcome. 

g. To claim, collect or take, or attempt to claim, collect or take, money or 

anything of value in or from a Gaming Device, with intent to defraud, without having 

made a wager thereon, or to claim, collect or take an amount greater than the amount 

won. 

h. To place or increase a bet after acquiring knowledge of the outcome of the 

game or other event which is the subject of the bet, including past-posting and pressing 

bets. 
1. To 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. To manipulate, with the intent to cheat, any component of an Electronic 

Game of Chance or Gaming Device in a manner contrary to the designed and normal 

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. Knowingly to use other than coins or tokens approved by the Tribal 

Gaming Office or other lawful coin, legal tender of the United States of America, or to 

use a coin not of the same denomination as the coin intended to be used in the Gaming 

Device. 

1. To 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. To use any device or means to cheat, or to possess any such device while 

at the Gaming Facility. 
n. Knowingly to entice or induce another to go to any place where gaming 

is being conducted or operated in violation of the provisions of the Compact or this 

Ordinance, with the intent that the other person play or participate in that gaming. 

SECTION 14. PENALTIES. Any person who violates any provision of 

this Ordinance, including the provisions of the Compact incorporated herein, shall be 

subject to civil penalties including exclusion from employment by any Gaming Operation, 

denial or revocation of a license, exclusion from attendance at any Gaming Facility, 

exclusion from the Indian Lands of the Community 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 Tribal 

Gaming Office established pursuant to this Ordinance shall have the jurisdiction to 

impose any such penalties on any person within the jurisdiction of the Community to 

impose such penalties. Persons who may be involved in illegal acts shall be detained for 

the purpose of notifying appropriate law enforcement authorities. 

SECTION 15. PROCEDURES FOR THE DISPOSITION OF TORT 

CLAIMS BROUGHT BY PATRONS. 

a. Jurisdiction. All tort claims arising from alleged injuries to patrons of the 

Gaming Facilities brought against the Gaming Facility, Gaming Facility Operator, the 
Tribal Gaming Office, the Community, or any member or employee of any of the 

foregoing may only be brought in the appropriate tribal forum. 

b. Procedures. All tort claims arising from alleged injuries to patrons of the 

Gaming Facilities brought against the Gaming Facility, Gaming Facility Operator, the 

Tribal Gaming Office, the Community, or any member or employee of any of the 

foregoing shall be governed by tribal law. The Community may adopt procedures to 

govern such actions which are analogous to the remedial system available for the 

disposition of similar claims arising against the State. 

SECTION 16. SOVEREIGN IMMUNITY. No provision of this 

Ordinance or of the Compact shall be deemed to waive the sovereign immunity of the 

Community, the Community Council or its members, the Tribal Gaming Office or its 

members, or any entity owned or operated by the Community in connection with its 

Gaming Activities. 

SECTION 17. RESOLUTION OF PATRON DISPUTES. Disputes 

between the Gaming Facility Operator and patrons of the Gaming Facilities shall be 

resolved in accordance with the procedures set forth in Section 14 of the Compact. 
SECTION 18. AGENTS FOR SERVICE. 

a. President b. Executive Director c. Judith Morse 

Ft. McDowell Ft. McDowell Tribal Gallagher & Kennedy 

Mohave- Apache Indian Gaming Office 2600 N. Central Ave. 

Community Council P.O. Box 17387 Phoenix, AZ 85004 

P.O. Box 17779 Fountain Hills, AZ 

Fountain Hills, AZ 85269 

85269 

SECTION 19. AMENDMENTS. The terms of this Ordinance shall 

remain in effect until amended, modified, or repealed. Any amendments to this 

Ordinance shall be in writing and subject to the approval of the Community Council. 

The Community Council shall consult with the Tribal Gaming Office prior to amending 

this Ordinance. Within fifteen (15) days after the adoption of an amendment to this 

Ordinance, the Community shall submit the amendment to the National Indian Gaming 

Commission for approval. 

SECTION 20. REPEAL. 

All prior gaming ordinances are repealed to the extent they are inconsistent 

with the provisions of this Ordinance. 
CERTIFICATION 

The foregoing Fort McDowell Mohave-Apache Indian Community Gaming 

Ordinance was duly adopted at a meeting of the Fort McDowell 

Mohave-Apache Indian Community Council held on this day of , 

1993, at which members were present constituting the required quorum, by a 

vote of for, against, abstaining. 

President 

Attest: 

Secretary