Gale Rogers, Chairperson 

Tribal ~aming Agency 

Kaibab - ~aiute Tribe 

Tribal Affairs Building 

Pipe Spring, Arizona 86022 

Dear Ms. Rogers: 

This letter responds to your request to review and..approve the 

tribal gaming ordinance submitted on January 14, 1994, for the 

Kaibab - Paiute Tribe (Tribe). 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 Tribe's gaming ordinance, the 

Tribe 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. S 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 Kaibab -Pauite 

Tribe for review and approval. The NIGC staff and I look forward , to working with you and the Tribe in implementing the IGRA. 

Sincerely yours, 

hmony J. Hope 

Anthony J. Hope 

Chairman 

cc: John Paul Kennedy, Esq. 

1385 Yale Avenue 

Salt Lake City, Utah 84105 

1850 M STREET. N W.. SUITE 250 WASHINGTON. DC 20036 ' TEL. 202.632.7003 FAX: 202.632.966 
RESOLUTION OF THE 

KALRAR RAND OF PALUTE LNDLANS 

K-2-94 

GAMING ORDLNANCE 

Tribal Affairs Building 

PIPE SPRING, AZ. 86022 

WHEREAS, the Kuibab-PacicLte Tdbe i~ an Indian TLbe M dained 

unda khe Lndian ReoagavLiz&on Act 04 June 16, 7 9 34, M 

amended,. and opmu-te~ and dunc&i.onn in accoltduce w-LUt 

the -tm?n-c, and cond-i.t-iou 04 .the KALRAR PAIUTE 

Connmon and Ry-Lwa, and any okha appaoved TCbd 

Oadinancu and RaoUou; and 

WHEREAS, an *he benaicCaa own- 04 i.~2 ReAectvdon, .the Tdbd 

menbattip .in. gen& Tltibcd meetinga have decided to 

Uze po&o~ 04 that RaavuLion to devdop a gaming 

opwatLon whLck w.Lee be wkoUy owned wd conAxoUed by 

the Tltibe; and 

WHEREAS, Ito ddh'c?n. ;the Tltibe'e duhe &o commence a gaming 

opwuz-bion on khe RuavaAion, -Lt necuaaay unda 

eult-ing .ecult 404 lthe TLbe ;to adopt a Gumkg Oltdhnce, 

4ubjec.t Jto the appltovcte 04 .the Na2XovLcLe Lndkn Gaming 

Commdaion; and 

WHEREAS, .Ute Keibab-PUe T/LibaA CounoLe, ctc;ting 40% and on 

hew 04 -Ute Kctibab Rand 04 PUe Ind& od the 

KcLibab-Pa-iccte Rae/tv&on, udu &o&y 04 lUte 

Cou.t-Ltcct-ion and By-Lwa od the KcLibab Rand 04 PUe 

Indhrtc, 04 the Kctibab P&e Re4avdonJ ha-6 aeviewed 

lthe aAhcked Gaming 01~d.inrurce and bind4 thcLt -i;t me- the 

pauevrct needa od ULe Tcbe and i~2 memb- and w.Le4. 

paomoae and p/to.teot &he pace, kMh, aae-ty, and 

waahe od khe Tltibe, d mmbu and & pmou w.LULin 

the Tdbe'~ jWdic&i.on; d 

WHEREAS, the Kaibab-PacicLte Tlcibd CouoLe 4wrAhm d-inda by 

paorndgag tW Gaming Ol~dinance and aeeing to a 

edoacmcn-t, &he Tdbe wU be anadted .in. mcLiWning 

and oada on .Ute Ramvdon. 

NOW, THEREFORE, BE IT RESOLVED BY THE TRIBAL COUNCIL OF THE KAIBAB 

RAND OF PAIUTE INDIANS OF THE KAIBAB-PAIUTE RESERVATION AS FOLLOWS: 
I. The mched TltibaR Gaming O~~dLnance 4 ol~ the KcLibab Rand od 

PcLiLcte Indiann od the Kaibab Rer,mv&on, Alrcizona, haeby 

appltoved. 

2. The ChCLi)tpmon 04 the T~bd CounoLe, oa in. hex abaence, the 

Vice-Chai.Lpaon od the CowtcLe -in hmeb y cuLthotr/ized to execuAe the 

Cwicctztion 04 .the adop;t-ion 04 acLid Oltdinance on behd-4 od the 

TJLibe. 

3. Tkin Ruo4uLLon and the accompanying Gaming Olrdinance me 

adopted pmuavLt to the doUowing pltovi~ionn od the TltibaR 

CouLiAuAion and By-Lawa: AaAAd2.e VI, Sedon 1 (h) and (j), by 

a.&hoaiAy 04 TUe 25, UnLted SUu Code, SedLon 476, and 

pmuznA to the Indkn Gaming ReguRa;toay Act. 

CERTFICATION 

I, lULe undmigned, an CWpaon od the Kctibab Paiute TltibaR 

CounciR, do hmeby cew y the Ttr/ibaA CounCcLe i~ compoaed od 

6 mmbm, od whom 4 conn-g a quo.uun weae pt~ued aA a 

meetirtg duRy had on the 14th day 04 Janwv~y, 1994, and the 

doaegobg ~~ao.euction and the accompanyLag Oltdinance utme duRy 

adopted and appl~oved by an ~~LmaAive vote 04 3 FAVOR, 0 OPPOSED, 

1 ABSTAIN, 2 ABSENT, pwr~~uznA .to .the accthody coWed unda 

Sadon 1 (h) and ( j ) 04 Adde VI od the Tdbd ConnLiA&Lon and 

Ry-Lua. 

ATTEST: 

KAIRAR PAIUTE TRIBAL COUNCIL 

SECRETARY 

KAIBAR PAIUTE TRIBAL COUNCIL 

CHAIRPERSON 
Ordinance No. 12 

TRIBAL GAMING ORDINANCE 

for the 

KAIBAB BAND OF PAIUTE INDIANS 

OF THE KAIBAB RESERVATION, ARIZONA 

CHAPTER I 

DEFINITIONS 

Section 1.01 Definitions. Unless a different Ordinance meaning 

is clearly indicated, the terms used in this Ordiance shall have 

the same meaning as defined in the "Indian Gaming Regulatory Act,'' 

Public Law 100 S497, 102 Stat. 2467, codified at 25 U.S.C. SS 2701 

et. seq. (Oct. 17, 1988). 

Section 1.02 vgCalendar Yeargg means the period beginning on the 

first day of January at 12:00:01 a.m. and ending the immediately 

following December 31 at 12:OO o'clock midnight 

Section 1.03 "Chairmangg means the Chairman of the National 

Indian Gaming Commission. 

Section 1.04 ggClass I Gaminaw means: 

(a) Social games played solely for prizes of minimal value; or 

(b) Traditional forms of Indian gaming when played by 

individuals in connection with Tribal ceremonies or celebrations. 
Section 1.05 ffClass I1 Gaminan means: 

(a) 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; 

(b) If played in the same location as bingo or lotto, pulltabs, punch boards, tip jars, instant bingo, and other games 

similar to bingo; 

(c) 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; 

Section 1.06 "Class I11 Gaminuw means all forms of gaming that 

are not Class I gaming or Class I1 gaming including but not limited 

to: 

(a) 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; 

(b) Any slot machines as defined in 15 U.S.C. 117 (a)(l) and 

electronic or electromechanical facsimiles of any game of chance; 

(c) Any sports betting and parimutuel wagering including but 

not limited to wagering on horse racing, dog racing or jai alai; or 

(d) Lotteries. 
Section 1.07 "Collateral aareementVV means any contract, 

whether or not in writing, that is related, either directly or 

indirectly, to a management contract or to any rights, duties or 

obligations created between a tribe (or any of its members, 

entities, or organizations) and a management contractor or 

subcontractor (or any person or entity related to a management 

contractor or subcontractor). 

Section 1.08 llCommsissionll means the National Indian Gaming 

Commission. 

Section 1.09 "Electronic, computer or other technoloaic aid" 

means a device such as a computer, telephone, cable, television, 

satellite or bingo blower and that when used-- 

(a) is not a game of chance but merely assists a player or 

the playing of a game; 

(b) is readily distinguishable from the playing of a game of 

chance on an electronic or electromechanical facsimile; and 

(c) is operated according to applicable Federal 

communications law. 

Section 1.10 llElectronic or electromechanical facsimilell means 

any gambling device as defined in 15 U.S.C. 117 (a)(2) or (3). 

Section 1.11 I1Game similar to binaoI1 means any game that meets 

the requirements for bingo under S 502.3(a) of this part and that 

is not a house banking game under S 502.11 of this part. 

Section 1.12 I1Gaminu operation1* means each economic entity 

that is licensed by a tribe, operates the games, receives the 

revenues, issues the prizes, and pays the expenses. A gaming 

operation may be operated by a tribe directly; by a management 

contractor, or, under certain conditions, by another person or 

other entity. 
Section 1.13 "House bankina aamew means any game of chance 

that is played with the house as a participant in the game, where 

the house takes on all players, collects from all losers, and pays 

all winners, and the house can win. 

Section 1.14 "Indian landsl8 means: 

(a) Land within the limits of an Indian reservation; or 

(b) 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 any Indian tribe or individual; or 

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

restriction by the United States against alienation. 

Section 1.15 "Indian tribeN means any Indian tribe, band, 

nation, or other organized group or community of Indians that the 

Secretary recognizes as-- 

(a) Eligible for the special programs and services provided 

by the United States to Indians because of their status as Indians 

and 

(b) Having powers of self-government. 

Section 1.16 "Key em~lovee~ means: 

(a) A person who performs one or more of the following 

functions: 

(1) Bingo caller; 

(2) Counting room supervisor; 

(3) Chief of security; 

(4) Custodian of gaming supplies or cash; 

(5) Floor manager; 

(6) Pit boss; 

(7) Dealer; 

(8) Croupier; 

(9) Approver of credit; or 
(10) Custodian of gambling devices including persons with 

access to cash and accounting records within such devices; 

(b) If not otherwise included, any other person whose total 

cash compensation is in excess of $50,000 per year; or 

(c) If not otherwise included, the four most highly 

compensated persons in the gaming operation. 

Section 1.16 "Manaaement contractw means any contract, 

subcontract, or collateral agreement between an Indian tribe 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. 

Section 1.17 "Net revenuesw means gross gaming revenues of an 

Indian gaming operation less-- 

(a) Amounts paid out as, or paid for, prizes; and 

(b) Total gaming-related operating expenses, excluding 

management fees. 

Section 1.18 I1Person havinu a direct or indirect financial 

interest in a manaaement contract11 means: 

(a) When a person is a party to a management contract, any 

person having a direct financial interest in a management contract; 

(b) When a trust is a party to a management contract, any 

beneficiary or trustee; 

(c) When a partnership is a party to a management contract, 

any partner; 

(d) When a corporation is a party to a management contract, 

any person who is a director or who holds at least 10% of the 

issued and outstanding stock alone or in combination with another 

stockholder who is a spouse, parent, child or sibling; or 

(e) When an entity other than a natural person has an 

interest in a trust, partnership or corporation that has an 

interest in a management contract, all parties of that entity are 
deemed to be persons having a direct financial interest in a 

management contract. 

Section 1.19 ftPerson havina manaaement res~onsibilitv for a 

manaaement contractfn means the person designated by the management 

contract as having management responsibility for the gaming 

operation, or a portion thereof. 

Section 1.20 "Primarv manaaement officialm means 

(a) The person having management responsibility for a 

management contract; 

(b) Any person who has authority: 

(1) To hire and fire employees; or 

(2) To set up working policy for the gaming operation; 

or 

(c) The chief financial officer or other person who has 

financial management responsibility. 

Section 1.21 "Secretarvn* means the Secretary of the Interior. 

Section 1.22 "Tribal-State compactw means an agreement between 

a tribe and a state about Class I11 gaming under 25 U. S. C. 2710(d). 

Section 1.23 tvKaibab-Paiute Gamina Aaencvw (also known as the 

"Kaibab-Paiute Gamina Commissionw means the Gaming Agency of the 

Kaibab Band of Paiute Indians, 

Section 1.24 "Kaibab-Paiute Gamina Off icervl l also known as 

"Kaibab-Paiute Commi~sioner~~) means one of the members of the 

~aibab-~aiute Gaming Agency. 

Section 1.25 wCouncill* means the Tribal Council of the Kaibab 

Band of Paiute Indians. 
Section 1.26 "Directorw means the Director of the KaibabPaiute Gaming Agency appointed by the Council as the chief 

administrator of the Kaibab Band of Paiute Indians gaming. 

Section 1.27 "Tribew means the Kaibab Band of Paiute Indians, 

a federally recognized Indian Tribe. 

Additionally, the definitions set forth in any gaming compact 

signed by the Tribe and the State of Arizona are adopted as if set 

forth at this point. 

Section 1.28 Words and Terms. Tense, number and gender. In 

constructing the provisions of this Ordinance, save when otherwise 

plainly declared or clearly apparent from the context; 

(a) words in the present tense shall include 

the future tense; 

(b) words in masculine, feminine and neuter 

genders shall include all genders; 

(c) words in the singular shall include the 

plural, and in the plural shall include the 

singular. 

Section 1.32 "Workinu Davsw means Monday through Friday except 

for Federal or Tribal holiday. 
CHAPTER I1 

ORDINANCE 

Section 2.01 Pur~ose. 

The Kaibab Band of Paiute Indians (hereinafter "Tribett ) , 

empowered by its Constitution (Article VI, Section l(h)) and Bylaws 

to enact ordinances, hereby enacts this Ordinance in order to set 

the terms for Class I1 and Class I11 gaming operations on Tribal 

lands. 

Section 2.02 Gamina Authorized. 

Class I1 gaming as defined in the Indian Gaming Regulatory 

Act, P.L. 100-447, 25 U.S.C. Section 2703 (7) (a) (ItIGRA) and by the 

regulations promulgated by the National Indian Gaming Commission at 

25 C.F.R. $ 502.3 (as published in the Federal Register at 57 FR 

12382-12393, April 9, 1993) is hereby authorized. Additionally, 

all forms of Class I11 gaming set forth in the any Compact between 

the Tribe and the State of Arizona are authorized. 

Section 2.03 Ownership of Gamina. 

The Tribe shall have the sole propriety interest in and 

responsibility for the conduct of any gaming-operation authorized 

by this Ordinance (unless the Tribe elects to allow individually 

owned gaming). 

Section 2.04 Use of Gamina Revenues. 

A. Net revenues from Class I1 and Class I11 gaming shall be 

used only for the following purposes: to fund Tribal government 
operations and programs; provide for the general welfare of the 

Tribe and its members; promote Tribal economic development; donate 

to charitable organizations; or help fund operations of local 

government agencies. 

B. If the Tribe elects to make per capita payments to Tribal 

members, it shall authorize such payments only upon approval of a 

plan submitted to the Secretary of the Interior under 25 U.S.C. S 

2710 (b)(3). 

Section 2.05 Audit. 

A. The Tribe shall cause to be conducted annually an 

independent audit of gaming operations and shall submit the 

resulting audit reports to the National Indian Gaming Commission. 

B. All gaming related contracts that result in the purchase 

of supplies, services, or concessions in excess of $25,000.00 

annually, except contracts for professional legal and accounting 

services, shall be specifically included within the scope of the 

audit that is described in subsection A. above. 

Section 2.06 Protection of the Environment and Public Health and 

Safety. 

Class I1 and Class I11 gaming facilities shall be constructed, 

maintained and operated in a manner that adequately protects the 

environment and the public health and safety. 

Section 2.07 Licenses for Class I1 Kev - Em~lovees and Primary 

Manaaement Officials. 

The Tribe shall ensure that the policies and procedures set 

out in this section are implemented with respect to key employees 

and primary management officials employed at any Class I1 gaming 

enterprise operated on Indian lands: 
A. Definitions: 

For the purposes of this section, the following 

definitions apply: 

Kev em~lo~ee mans: 

(a) A person who performs one or more of the 

following functions: 

(1) Bingo caller; 

(2) Counting room supervisor; 

(3) Chief of security; 

(4) Custodian of gaming supplies or cash; 

(5) Floor manager; 

(6) Pit boss; 

(7) Dealer; 

( 8 ) Croupier; 

(9) approver of credit; or 

(10) Custodian of gambling devices including 

persons with access to cash and accounting 

records within such devices; 

(b) If not otherwise included, any other person 

whose total cash compensation is in excess of 

$50,000 per year; or 

(c) If not otherwise included, the four most highly 

compensated persons in the gaming operation. 

2. Primarv manaaement - official means 

(a) The personhavingmanagementresponsibility for 

a management contract; 

(b) Any person who has authority: 

(1) to hire and fire employees; or 

(2) to set up working policy for the gaming 

operation; or 

(c) The chief financial officer or other person who 

has financial management responsibility. 
B. A~~lication Forms 

1. The following notice shall be placed on the 

application form for a key employee or a primary management 

official before that form is filled out by an applicant: 

In compliance with the Privacv Act of 1974, 

the followina information is ~rovided : 

Solicitation of the information on this form 

is authorized bv 25 U.S.C. 2701 et sea. The 

purDose of the reauested information is to 

determine the eliaibilitv of individuals to be 

em~loved in a aamina operation. The 

information will be used bv National Indian 

Gamina Commission members and staff who have 

need for the information in the ~erformance of 

their official duties. The information mav be 

disclosed to appro~riate Federal, Tribal, 

State, local. or foreiun law enforcement and 

reaulatorv - aaencies when relevant to civil, 

criminal or reaulatorv investiaations or 

prosecutions or when ~ursuant to a reauirement 

bv a tribe or the National Indian Gaming 

Commission in connection with the hirina or 

firina of an employee. the issuance or 

revocation of a aamina license, or 

investiaations of activities while associated 

with a tribe or a aamina o~eration. Failure 

to consent to the disclosures indicated in 

this notice will result in a tribe's being 

unable to hire vou in a ~rimarv manaaement - 

official or kev em~lovee Dosition. 

The disclosure of vour Social Securitv Number 

(SSN) is voluntarv. However, failure to 
supplv - a SSN mav result in errors in 

processina vour ap~lication. 

- 2. Existina kev em~lovees and primarv manaaement 

officials shall be notified in writina that they shall either: 

a Complete a new application form that contains 

a Privacv Act notice; or 

(b) Sign a statement that contains the Privacv Act 

notice and consent to the routine uses described in 

that notice. 

- 3. The followinu notice shall be placed on the 

ap~lication form for a kev em~lovee or a ~rimarv official before 

that form is filled out by an applicant. 

A false statement on any Dart of vour 

a~plication mav be arounds for not hirina - you, 

or for firina vou after you beain work. Also, 

you mav be wunished bv fine or im~risonment. 

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

- 4. The Tribe shall notifv in writina existina key 

emplovees and wrimary manaaement officials that they shall either: 

- a. Complete a new a~~lication form that contains 

a notice reaardina false statements; or 

- b. Sian a statement that contains the notice 

reaardina false statements. 

C. Backaround Investiaation: No license shall be granted to 

any person or entity who has been determined to be a person or 

entity 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, methods, and activities in the conduct of gaming or by 
the carrying on of the business and financial arrangements 

incidental thereto. 

1. Class I1 Gamina: 

a. The Tribe shall request from each primary management 

official and from each key employee all of the following 

in£ ormation: 

(i) Full name, other names used (oral or written), 

social security number(s), birth date, place of birth, citizenship, 

gender, all languages (spoken or written); 

(ii) 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; 

(iii) 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 (l)(b) of this section; 

(iv) Current business and residence telephone 

numbers; 

(v) A description of any existing and previous 

business relationships with Indian tribes, including ownership 

interests in those businesses; 

(vi) A description of any existing and previous 

business relationships with the gaming industry generally, 

including ownership interests in those businesses; 

(vii) 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; 

(viii) 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; 
(ix) For each misdemeanor conviction or ongoing 

misdemeanor prosecution (excluding minor traffic violations), 

within 10 years of the date of the application, the name and 

address of the court involved and the date and disposition; 

(x) 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 (l)(h) or (l)(i) 

of this section, the criminal charge, the name and address of the 

court involved and the date and disposition; 

(xi) 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; 

(xii) A current photograph; 

(xiii) Any other information the Tribe deems 

relevant; and 

(xiv) Fingerprints consistent with procedures 

adopted by the Tribe according to 25 C.F.R. $ 522.2(h). 

Section 2.08 Backaround Investiaation of Rev Em~lovees and Primary 

Manaaement Officials Pursuant to Section 522.2fb) of the Rules and 

Reaulations of the National Indian Gamina Commission. The Tribe 

shall conduct an investigation sufficient to make a determination 

under subsection 3.10. below. In conducting a background 

investigation, the Tribe or its agent shall promise to keep 

confidential the identity of each person interviewed in the course 

of the investigation. 

1. Pursuant to Section 5 of the Compact between the Tribe 

and the State of Arizona, the procedures for Tribal licensing and 

state certification of all gaming employees for the conduct of 

Class 111 gaming are adopted and incorporated by reference in this 

paragraph. 
2. The procedures for conducting background investigations 

on key employees and primary management officials for Class I1 

gaming in order to determine their eligibility for employment are: 

a. Criminal history check; 

b. Civil history check; 

b. Financial and credit check; 

c. Reference check; 

d. Previous business and employment check; 

e. Relative check; 

f. Business and personal associates check; 

g. Educational verification; 

h. Document the disposition of all potential problem 

areas noted and disqualifying information needed. 

The data for such investigations is set forth in the 

attached form marked Exhibit "Am to this Ordinance. 

3. The Tribal Gaming Agency is primarily responsible for the 

conduct of the background investigations and suitability 

determinations in consultation with the National Indian Gaming 

Commission; 

4. The Director of the Tribal Gaming Agency in association 

with the State of Arizona shall be responsible for conducting, 

reviewing and either approving or disapproving the investigative 

work; 

5. The Director of the Tribal Gaming Agency is responsible 

for reporting the results of the background investigations to the 

National Indian Gaming Commission; 

6. The gaming operation will obtain the fingerprints and 

submit them to the Director who will, in turn, submit them to the 

Kaibab-Paiute Tribal Police Department for processing; 

7. Suitability determination and selection of Gaming Agency 

members is more specifically set forth in the rules and regulations 

of the Tribal Gaming Agency attached as Exhibit l1Cl1 to these 

documents; 

8. The investigative report shall set forth, in detail, the: 
a. Steps taken in conducting the background 

investigation; 

b. Results obtained; 

c. Conclusions reached; 

d. The basis for those conclusions. 

2.09 Application Fee. The Gaming Agency shall set a fee for 

applications, background investigations and licenses. All such 

fees shall be made payable to the Kaibab Band of Paiute Indians and 

delivered to the Tribal Accounting office. 

2.10 Eligibility Determination. The Tribe shall review a 

person's prior activities, criminal record, if any, and reputation, 

habits and associations to make a finding concerning the 

eligibility of a key employee or primary management official for 

employment in a gaming operation. If the Tribe determines that 

employment of the person poses a threat to the public interest or 

to the effective regulation of gaming, or creates or enhances 

dangers of unsuitable, unfair, or illegal practices and methods and 

activities in the conduct of gaming, a Tribal gaming operation 

shall not employ that person in a key employee or primary 

management official position. 

2.11 Procedures for Forwarding Applications and Reports for 

Key Employees and Primary Management Officials to the National 

Indian Gaming Commission. 

1. When a key employee or primary management official begins 

work at a gaming operation authorized by this Ordinance, the Tribe 

shall forward to the National Indian Gaming Commission a completed 

application for employment and conduct the background investigation 

and make the determination referred to in section 3.10(b). 

2. The Tribe shall forward the report referred to in section 

3.10(d) 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. 

3. The gaming operation shall not employ as a key employee 

or primary management official a person who does not have a license 

after 90 days. 

2.12 Report to the National Indian Gaming Commission. 

1. Pursuant to the procedures set out in section 3.10(c), 

the Tribe shall prepare and forward to the National Indian Gaming 

Commission an investigative report on each background 

investigation. An investigative report shall include all of the 

following: 

a. Steps taken in conducting a background 

investigation; 

b. Results obtained; 

c. Conclusions reached; and 

d. The bases for those conclusions. 

2. The Tribe shall submit, with the report, a copy of the 

eligibility determination made under section 3.10(b). 

3. If a license is not issued to an applicant, the Tribe: 

a. Shall notify the National Indian Gaming Commission; 

and; 

b. 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. 

4. With respect to key employees and primary management 

officials, the Tribe shall retain applications for employment 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. 

2.13 Grantina a Gamina License. 

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

Indian Gaming Commission receives a report, the National Indian 

Gaming Commission notifies the Tribe 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 

~ribe has provided an application and investigative report to the 

National Indian Gaming Commission, the Tribe may issue a license to 

such applicant. 

2. The Tribe shall respond to a request for additional 

information from the Chairman of the National Indian Gaming 

Commission concerning 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 K.1. of this section 

until the Chairman of the National Indian Gaming Commission 

receives the additional information. 

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

the National Indian Gaming Commission provides the Tribe with a 

statement itemizing objections to the issuance of a license to a 

key employee or to a primary management official for whom the Tribe 

has provided an application and investigative report to the 

National Indian Gaming Commission, the Tribe shall reconsider the 

application, taking into account the objections itemized by the 

National Indian Gaming Commission. The Tribe shall make the final 

decision whether to issue a license to such applicant. 

4. Tribal licenses are required to be issued by the Tribal 

Gaming Agency for any place, facility, or location on Tribal lands 

where gaming occurs pursuant to 25 C.F.R. S522.4(b)(6). 
2.14 License Suspension. 

1. If, after the issuance of a gaming license, the Tribe 

receives from the National Indian Gaming Commission reliable 

information indicating that a key employee or a primary management 

official is not eligible for employment under subsection D. above, 

the Tribe shall suspend such license and shall notify in writing 

the licensee of the suspension and the proposed revocation. 

2. The Tribe shall notify the licensee of a time and a place 

for a hearing on the proposed revocation of a license. 

3. After a revocation hearing, the Tribe shall decide to 

revoke or to reinstate a gaming license. The Tribe shall notify 

the National Indian Gaming Commission of its decision. 

2.15 Class I11 Gamina. In addition to the above, the Tribal-State 

licensing and certification requirements (S 4) and Procedures for 

Tribal Licensing and State Certification (S 5) of the Compact 

between the Tribe and the State of Arizona set forth in the Compact 

are adopted and incorporated herein by reference. 

2.16 Repeal. 

To the extent that they are inconsistent with this Ordinance, 

all prior gaming ordinances are hereby repealed. 
CHAPTER I11 

ADMINISTRATION AND ENFORCEMENT 

Section 3.01 Unauthorized Gamina. Any Indian who commits any 

act of unauthorized gaming on this Reservation or any Indian land 

shall be guilty of a crime and shall be prosecuted in Tribal Court. 

Prosecution for such a crime in Tribal Court is not meant to be 

exclusive; a finding of guilt or innocence shall not deprive the 

federal government from criminal jurisdiction. However, it is 

hereby declared that Class I, Class I1 and Class I11 gaming 

conducted on this Reservation or on any Indian land, that fully 

complies with the provisions of this Ordinance, shall not be 

subject to any criminal penalties. 

Section 3.02 owners hi^ - Revenues to Benefit Tribe. The Tribe 

shall have the sole proprietary interest in, and the sole 

responsibility for, the conduct of the gaming activity. Such 

provision does not, however, limit the Tribe's ability to enter 

into a management contract or consulting contract wherein net 

profits are divided between the Tribe and other parties to the 

contract. A gaming establishment shall be operated so as to 

produce the maximum amount of net profit to the Tribe. The Tribe's 

share of net revenues will go entirely to the Tribe and will be 

used solely for the following purposes: 

(a) to fund Tribal government operations or 

programs ; 

(b) to provide for the general welfare of the 

Tribe and its members; 

(c) to promote Tribal economic development; 

(d) to donate to charitable organizations; or 
(e) to help fund operations of local 

government agencies. Net revenues from the 

gaming establishment may be used to make per 

capita payments to members of the Tribe upon 

the preparation of a plan to allocate revenues 

to the above uses and approval of this plan by 

the Secretary of the Interior. 

Section 3.03 Establishment of Gamina Acrency. The KaibabPaiute Tribal Gaming Agency is hereby established. The Gaming 

Agency shall consist of at least three (3), but not more than five 

(5) members appointed by a majority vote of the Council. Only 

enrolled members of the Tribe may be appointed to the Gaming 

Agency. A gaming officer shall serve for three (3) years and may 

be removed from office prior to the end of his or her term only for 

cause and by a unanimous vote of Council following a public 

hearing. In order to establish an annually staggered Gaming Agency 

appointment schedule, the first gaming officers shall be appointed 

by the Council as follows: one (1) member shall serve a three (3) 

year term, one (1) shall serve a two (2) year term and one (1) 

shall serve a one (1) year term for the initial appointment terms 

only. If the Agency consists of more than three (3) members, then 

the fourth member shall serve a three (3) year term, and the fifth 

member, if any, shall serve a two (2) year term. Thereafter, all 

successive terms of appointment shall run for three (3) years. 

Vacancies shall be filled within thirty (30) days by the Council. 

Section 3.04 Restrictions on Gaminu Officers. Gaming officers 

may hold other Tribal positions and may engage in business, 

provided however, that they shall not engage in any business which 

is subject to the provisions of this Gaming Ordinance. Gaming 

officers shall not gamble in the gaming establishment nor have any 

personal financial interest in any gambling by any patron. 
Section 3.05 Com~ensation for Gamina Officers. Gaming officers 

shall be compensated at a rate to be established annually by the 

Gaming Agency, and approved by the Tribal Council. Gaming officers 

shall be reimbursed for actual expenses incurred on Gaming Agency 

business, including necessary travel expenses. In no event shall 

compensation be based on a percentage of net profits from gaming 

operations of the Tribe. 

Section 3.06 Selection of Chaimerson. The Gaming Agency 

shall select annually from its membership a chairperson, who shall 

have the power to convene special meetings of the Gaming Agency 

upon forty-eight (48) hours written notice to members of the Gaming 

Agency. If the chairperson determines that a bona fide emergency 

exists, the chairperson may conduct special meeting(s) by 

telephone. 

Section 3.07 Meetinas O~en to Public. General meetings of 

the Gaming Agency may be open to the general membership of the 

Tribe and all meetings shall be governed by Roberts Rules of Order. 

Upon a majority vote as defined in Section 2.08, matters dealing 

with personnel, security or the fiscal integrity of the gaming 

operation shall be conducted in executive session and not be open 

to the public. 

Section 3.08 Ouorum - Maioritv Vote. A quorum shall consist 

of three (3) members of the Gaming Agency. All decisions shall be 

made by a majority vote of the Gaming Officers, unless indicated 

otherwise in this Ordinance. 

Section 3.09 Monthlv ReDort. The Gaming Agency shall make 

monthly reports to the Council within thirty (30) days after the 

close of the month for which the information is being required. 

The report shall include a full and complete statement of gaming 

revenues paid to the Tribe, expenses and all other financial 
transactions of the Gaming Agency and a summary of all licensing 

and enforcement actions. 

Section 3.10 Powers. The Gaming Agency shall exercise all 

powers necessary to effectuate the purposes of this Ordinance. The 

Gaming Agency may exercise any proper power and authority necessary 

to perform the duties assigned to it by this Ordinance, and is not 

limited by the enumeration of powers in this chapter. If the 

Gaming Agency elects to employ a Director, the Gaming Officers 

shall meet with the Director not less than once each month to make 

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

Director and transact other business that may be properly brought 

before it. The Gaming Agency shall promulgate rules and 

regulations for the operation of any gaming establishment and shall 

hear and resolve all disputes regarding any provision of this 

Ordinance. In all decisions, the Gaming Agency shall act to 

promote and ensure integrity, security, honesty, and fairness of 

the operation and administration of gaming and ancillary 

activities of the gaming operation. The Gaming Agency shall have 

the power and authority to deny any application; to limit, 

condition, suspend, or restrict any license; make a finding of 

suitability or approval of a license, or find suitable the 

imposition of a fine upon any person licensed, for any cause deemed 

reasonable by the Gaming Agency. 

Section 3.11 Prior Notice of Actions. In adopting, amending, 

and repealing regulations, the Gaming Agency shall give prior 

notice of the proposed action to all licensees and other persons 

whom the Gaming Agency or Director has reason to believe have a 

legitimate and bona fide interest in such proposed action. Said 

notice shall inform such persons as to the general nature of the 

proposed action and advise them as to the manner in which comments 

on said proposed action shall be received by the Gaming Agency. In 

emergencies, the Gaming Agency may summarily adopt, amend or repeal 

any regulation if at the time the Gaming Agency determines such 
action is necessary for the immediate preservation of the public 

peace, health, safety, morals, and good order or general welfare, 

together with a statement of facts constituting the emergency; 

providedthe Gaming Agency shall schedule such emergency action for 

a regular hearing within sixty (60) days after any such emergency 

meeting. 

Section 3.12 Reauest for Gamina Aaencv Action. Any person who 

is determined by the Gaming Agency or Director to be a bona fide 

interested party may file a petition in a manner and form approved 

by the Gaming Agency requesting the adoption, amendment or repeal 

of a regulation. Upon receipt of the petition, the Gaming Agency 

shall within thirty (30) days deny the request in writing or 

schedule the matter for action pursuant to this chapter. 

Section 3.13 Votina on Licensina. Any Gaming Agency vote 

resulting in approving, disapproving, revoking, suspending, 

limiting or conditioning a license under this Ordinance shall be 

by ballot only; provided that in an emergency a phone vote may be 

polled pursuant to Gaming Agency Regulations. Should an applicant 

disagree with the determination of the Gaming Agency, the Gaming 

Agency shall hold a hearing to review its decision, within three 

(3) working days from the date an applicant files his/her 

disagreement with the Gaming Agency. At the hearing, the burden 

shall be the applicant to show cause why the Gaming Agency's 

disagreement was incorrect. 

Section 3.14 Gamina Aaencv Findinas. Following such hearing, 

the Gaming Agency shall, within three (3) working days reach a 

determination concerning: 

(a) the accuracy of the preliminary 

certification of facts; and 
(b) whether the license in question should be 

granted, continued, suspended, revoked, 

conditioned, or limited; and 

(c) whether or not any other action 

recommended to the Gaming Agency including, 

but not limited to forfeitures, should be 

taken. 

Section 3.15 ~otification of Garnina Aaencv Decision. Within 

three (3) working days following this determination, the Gaming 

Agency shall inform the subject in writing of that determination. 

Section 3.16 Riaht to ADDeal. Unless otherwise contractually 

agreed to, the subject shall have the right to appeal the 

determination of the Gaming Agency to the Tribal Court. Such 

appeal must be filed with the Tribal Court in written form on or 

before the tenth (10th) day following receipt of the written 

determination of the Gaming Agency. A determination of such appeal 

by the Tribal Court shall be final and no further appeal may be 

had. In any appropriate case which has been referred to the Tribal 

Court for final action. The Tribal Court shall review, de novo, 

the determination of the Gaming Agency. The Court's action shall 

be final and no further appeals may be had. 

Section 3.17 A~vointment of Director. The Council, with the 

advice and consent of the Gaming Agency, may appoint a Director who 

shall be responsible for the day-to-day management of the affairs 

of the Gaming Agency as well as overseeing the establishment and 

operation of all gaming activities. A detailed background 

investigation shall be been conducted on the Director before his 

appointment and the Gaming Agency shall maintain oversight of the 

Director on an ongoing basis. Preference will be given to 

applicants with experience in legal gaming or law enforcement. No 

one convicted of a felony of any kind or misdemeanor related to 
illegal gambling or bribery can serve as Director. The Director 

shall not have any personal interests in the gaming activity. The 

Director may not gamble in the gaming establishment nor have any 

personal financial interest in any gambling by any gaming 

establishment patron. 

Section 3.18 Director's Contract. Any Director which is hired 

shall be retained under a contract for a period of at least two (2) 

years. The terms of the contract will be negotiated with the 

Gaming Agency and approved by the Council. The Director s 

compensation shall be part of the negotiations. Compensation for 

the Director shall not be based, in whole or in part, on the 

profitability of the gaming operation. 

Section 3.19 Termination of Director. The Director shall be 

terminated immediately and without the necessity of a vote of the 

Council upon the Director's conviction of a federal or state court 

of competent jurisdiction for any felony or for any misdemeanor 

related to illegal gambling or bribery or upon conviction in the 

Tribal Court of any charge that the Council finds relates to the 

Director's honesty or ability to fulfill his duties. If the 

Director is convicted of violating any part of this Ordinance, he 

shall be immediately terminated. Additionally, the Director may be 

terminated for inadequate performance of the duties required to be 

performed or may additionally be terminated for associations or 

conduct that would tend to bring the gaming operation into 

disrepute. 

Section 3.20 Duties of Director. The Director shall, subject 

to the approval of the Gaming Agency, perform all duties, exercise 

all powers, assume and discharge all responsibilities, and carry 

out and effect all purposes of this Ordinance relating to the 

regulation of all gaming activity. In all decisions, the Director 

shall act to promote and ensure integrity, security, honesty, and 

fairness of the operation and administration of all gaming 
activity. The Director's duties shall include but not be limited 

to the following: 

(a) Negotiating contracts for payments by the 

Tribe for the provision of security and other 

professional services. Such contracts must be 

approved by the Gaming Agency and the Council 

and shall not constitute a waiver of 

jurisdiction by the Tribe; 

(b) Correspond with the National Indian Gaming 

Commission and do whatever is necessary to 

complete compliance with the rules and 

regulations of that agency. Specifically, the 

Director shall arrange for an annual outside 

audit of authorized gaming and will provide a 

copy to the National Indian Gaming Commission. 

(c) The Director will assure that all gaming 

activity is conducted in a manner which 

adequately protects the environment and the 

public's health and safety; 

(d) The Director will ensure that background 

investigations are conducted pursuant to 

section 3.10 on all primary management 

officials and key employees of any gaming 

establishment and that oversight of such 

officials and their management is conducted on 

an ongoing basis. The Director will recommend 

to the Gaming Agency, which shall have final 

authority, on the granting of Tribal licenses 

for primary management officials and key 

employees. The Director shall immediately 

notify the National Indian Gaming Commission 
of the issuance of such licenses. The 

Director will review all applications and 

background investigations to ensure that no 

person shall be eligible for employment in or 

with any part of the gaming operation if that 

person's prior activities, criminal record (if 

any), or reputation, habits and associations 

pose a threat to the public interest or to the 

effective regulation of gaming or create or 

enhance the dangers of unsuitable, unfair, or 

illegal practices and methods and activities 

in the conduct of gaming. The Director shall 

notify the National Indian Gaming Commission 

of the results of such background checks 

before the issuance of such licenses. 

(e) Hiring, pursuant to the approval of the 

Gaming Agency, such professional, clerical, 

technical and administrative personnel as may 

be necessary to carry out the provisions of 

this Ordinance. 

(f) Reviewing all records, documents, and 

anything else necessary and pertinent to 

enforcement of any provisions of this 

Ordinance. 

(g) Recommend to the Gaming Agency whether 

sanctions should be imposed on any person 

subject to the jurisdiction of this Ordinance. 

In the absence of a duly appointed Director, the duties of the 

Director outlined herein shall be performed by the Chairperson of 

the Gaming Agency. 
Section 3.21 Riaht of Inspection. The Gaming Agency, the 

Director and their agents, inspectors, and employees have the 

authority: 

(a) To inspect and examine all premises 

wherein gaming is conducted or gambling 

devices or equipment are manufactured, sold or 

distributed; 

(b) To inspect all equipment and supplies in, 

upon or about a gaming establishment, or 

inspect any equipment or supplies wherever 

located, which may, or have been used in the 

gaming establishment; 

(c) Summarily to seize and remove from a 

gaming establishment (or whatever located) and 

impound such equipment or supplies for the 

purpose of examination, inspection, evidence 

or forfeiture; 

(d) To demand access to and inspect, examine 

and audit all papers, books, and records of 

applicants and licensees respecting any income 

produced by any gaming business, and require 

verification of income and all other matters 

affecting the enforcement of the policy of or 

any of the provisions of this Ordinance; 

(e) To seize and impound any patron's winnings 

which the Gaming Agency may have reasons to 

believe may have been won or obtained in 

violation of this Ordinance pending a civil 

forfeiture hearing on such seizure; 
(f) For the purpose of administration and 

enforcement of this Ordinance the Gaming 

Agency, the Director and their investigative 

personnel may, if deemed necessary by the 

Tribal Council, have the powers of a Tribal 

peace officer for purposes of this Ordinance 

only; 

(g) Gaming Officers and the Director shall 

each have full power and authority to issue 

subpoenas and compel the attendance of 

witnesses for hearing at any place within the 

Reservation, to administer oaths and to 

require testimony under oath. Any process or 

notice may be served in the manner provided 

for service of process and notices in civil 

actions. The Gaming Agency and the Director 

may pay such transportation and other expenses 

of witnesses as it may deem reasonable and 

proper. 

Section 3.22 Confidentialitv of Information. The Gaming 

Agency and the Director may refuse to reveal, in any court 

proceeding the identity of any informant, or the information 

obtained from the informant, or both the identity and the 

in£ ormation. 

Section 3.23 Powers of Deleaation. The Gaming Agency may 

organize itself into a functional division as it may deem necessary 

and from time to time alter such plan of organization as it may 

deem expedient. The Gaming Agency shall establish its own budget 

for operations, including a budget for the Director, if any, and 

acquire such furnishings, equipment, supplies, stationery, books, 

motor vehicles, and other things as it may deem necessary or 

desirable in carrying out is functions, and incur such other 
expenses within the limit of funds available to it, as it may deem 

necessary. With in the limits of a Council approved budget, the 

Gaming Agency shall employ and fix the salaries of or contract for 

the services of such professional, technical and operational 

personnel and consultants as the execution of its duties and the 

operation of the Director and Gaming Agency may require. At the 

Council's discretion, said budget may be reviewed and modified by 

the Council every six (6) months. Upon the end of the budget year, 

any surplus which might exist shall be refunded by the Council at 

their discretion. The Gaming Agency and the Director shall each 

keep and maintain a file of all applications for licenses under 

this chapter, together with a record of all action taken with 

respect to such applications. The Gaming Agency and the Director 

shall keep and maintain such other files and records as they may 

deem desirable and all such records may be open to public 

inspection as they may deem appropriate, provided that the annual 

Gaming Agency budget shall be made available to any Tribal member 

upon demand. 

Section 3.24 Sanctions. Any person who engages in activities 

on property subject to the provisions of this Gaming Ordinance 

without a license, in violation of any license or terms imposed 

thereon, in violation of terms of suspension, or in violation of 

the Ordinance, including any person who unlawfully trespasses upon 

any premises licensed by this Ordinance without the consent of the 

licensee and/or the Gaming Agency shall be guilty of a crime and be 

punished in accordance with the provisions of Section 2.26. 

Section 3.25 Limitations Period. No fine shall be assessed 

nor any action taken for any violation under the preceding section 

unless a charge is filed in proper form with the Tribal Court 

within two (2) years of the commission of the offense. 

Section 3.26 Violations of Ordinance - Punishment. Any 

violation of this Ordinance shall be punished by a fine of no more 
than Five Thousand Dollars ($5,000.00) for each separate count or 

violation, or one (1) year in jail, or both. Each day of violation 

shall constitute a separate count or violation under this 

Ordinance. A violator may also be required to pay court costs, 

storage fees, and auction or sales fees. All property used or 

which may be used in activities in each and every separate 

violation of this Ordinance may become the property of the Tribe; 

persons may be prohibited from trespassing on premises licensed 

under this Ordinance, licenses may be suspended, revoked, or 

limited and/or establishments may be forcibly closed. All such 

action shall be taken at the discretion of the Gaming Agency, 

subject to the right of appeal to the Tribal Court. Winnings found 

to have been received in violation of this Ordinance are forfeited 

and become the property of the Tribe. 

Section 3.27 Due Process Reaardina Enforcement Actions. The 

Gaming Agency shall promulgate regulations protecting due process 

rights of all individuals subject to the enforcement of this 

Ordinance. Such regulations shall, at a minimum: 

(a) provide standards for emergency or summary 

suspension of license; 

(b) provide fair notice and opportunity for 

hearing regarding any revocation or suspension 

of license, and regarding any enforcement 

action taken pursuant to this Ordinance; and 

(c) provide the right to appeal, de novo, of 

any Gaming Agency disciplinary or enforcement 

action to the Tribal Court. 

Section 3.28 Patron Dis~utes. 

(a) Refusal to Pay Winninus. Whenever the Gaming 

Facility Operator refuses payment of alleged winnings to a patron, 
and the Gaming Facility Operator and the patron are unable to 

resolve the dispute to the satisfaction of the patron and the 

dispute involves: 

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

Gaming Facility Operator shall immediately notify 

the Tribal Gaming Agency. The Tribal Gaming Agency 

shall conduct whatever investigation it deems 

necessary and shall determine whether payment should 

be made; or 

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

Gaming Facility Operator shall inform the patron of 

his or her right to request that the Tribal Gaming 

Agency conduct an investigation. Upon request of 

the patron, the Tribal Gaming Agency shall conduct 

whatever investigation it deems necessary and shall 

determine whether payment should be made. 

(b) Notice to Patrons. The Tribal Gaming Agency shall 

mail written notice by certified mail, return receipt requested, to 

the Gaming Facility Operator and the patron of the decision 

resolving the dispute within thirty (30) days after the date that 

the Tribal Gaming Agency first receives notification from the 

Gaming Facility Operator or a request to conduct an investigation 

from the patron. 

(c) Effective Date of Decision. The decision of the 

Tribal Gaming Agency is effective on the date it is received by the 

aggrieved party as reflected on the return receipt. 

(d) Review of Decision. Within thirty (30) days after 

the date of receipt of the written decision, the aggrieved party 

may file a petition with the Tribal Gaming Agency requesting a 

review of the decision. The Tribal Gaming Agency may set a hearing 

on the matter or may make a decision based solely upon the prior 

decision and other documentation provided to it by the patron and 
the Gaming Facility Operator. The Tribal Gaming Agency shall then 

issue a written decision and mail it to the parties pursuant to the 

procedures set forth in Section 2.28(b). The decision of the 

Tribal Gaming Agency shall be final and binding upon the patron and 

the Gaming Facility Operator and shall not be subject to judicial 

review, dispute resolution or other legal action. 

Section 3.29 Inde~endence of Gamina Aaencv. The Director, if 

any, the Gaming Agency and its members, members of the Council and 

their immediate families shall receive no personal compensation, 

gift, reimbursement or payment of any kind from any person doing or 

wishing to do business with the Tribe relating to gaming nor with 

any person wishing to obtain an unfair advantage in any authorized 

wager on gaming. Any property received in violation of this 

provision, including cash payments, shall be immediately forfeited 

to the Tribe and the offending persons shall be prosecuted to the 

fullest extent possible under the Tribal law for accepting a bribe. 

The Gaming Agency shall cooperate to the fullest extent possible 

with any Federal or State law enforcement agency to pursue 

prosecution under applicable Federal or State law. 
CHAPTER IV 

LICENSING OF GAMES 

Section 4.01 Issuance of Tribal Gamina Licenses: Obiections. 

The Gaming Agency shall consult with appropriate law enforcement 

officials concerning any gaming licenses it may issue. If, after 

issuance of a gaming license by the Gaming Agency, reliable 

information is received that a primary management official or key 

employee does not meet the standard established under Section 3.04 

of this Ordinance, the Gaming Agency shall suspend such license 

and, after notice and hearing, may revoke such license. 

Section 4.02 Non-Transferabilitv of License. Any license 

issued pursuant to the provision of this Ordinance is valid only 

for the person or entity at the place of business shown on the face 

thereof. It is not assignable or otherwise transferable to any 

other person or entity for any other location without approval of 

the Director or Gaming Agency. 

Section 4.03 Grantina of License - Majority Vote. To approve 

of any license issued pursuant to this Ordinance, a quorum of the 

Gaming Agency must be present with a majority vote of approval by 

said quorum required. A license will not be issued to a person 

whose license has previously been revoked pursuant to this 

Ordinance, or to whom the issuance of renewal of a license has been 

denied, except with the unanimous approval of the Gaming Agency 

members. 

Section 3.06 License and Regulation of Class I11 Gaming Activities; 

Tribal-State Compact Required. The Gaming Agency may license and 

regulate Class 111 gaming activity if, conducted in conformance 

with the terms and conditions of a valid Tribal-State Compact 
entered into by the Tribe and the State of Arizona, or pursuant to 

procedures provided by the Secretary of the Interior, and/or the 

Chairperson of the National Indian Gaming Commission and/or 

pursuant to any amendments to the Indian Gaming Regulatory Act 

(IGRA, 25 U.S.C. 2701 et. seq.). 

Section 4.04 Licenses and Reaulation of Class I11 Gaming 

Activities: Tribal-State Compact Required. The Gaming Agency shall 

follow each, every, and all of the requirements for licensing and 

regulation of Class I11 gaming pursuant to the terms and conditions 

of its compact with the State of Arizona. 

Section 4.05 Failure of A~~licant to Disclose Material 

~nformation. An applicant for licensing shall make true and full 

disclosure of all information to the Director and Gaming Agency as 

necessary or appropriate in the public's interest or as required in 

order to carry out the policies of this Tribe relating to licensing 

and control of the gaming industry. It is the duty of the 

applicant to disclose all information material to whether the 

applicant's involvement with gaming would jeopardize or compromise 

the Tribal interest, whether or not the applicant has been 

specifically requested to provide that information. It shall 

constitute a violation of this Ordinance to fail to disclose, to 

mislead or to misstate any such material information to the 

Director of the Gaming Agency, or to any licensee's employer. 

Section 4.06 Tem~orarv Em~lovment Licenses. The Gaming Agency 

may issue a temporary employment license to,any person or entity 

applying for a license to work in a licensed gaming establishment 

which shall be valid pending the background investigation of the 

applicant. In no event shall such temporary license be valid for 

longer than 180 days. 

Section 4.07. Parameters of Licenses. Violation of any 

material provision of this Ordinance or any of the Gaming Agency's 

36 
regulations by a licensee, its agent, or employee shall be deemed 

contrary to the public health, safety, morals, good order and 

general welfare of the Tribe and the inhabitants of the Reservation 

of the ~aibab Band of Paiute Indians, and shall be deemed grounds 

for refusing to grant or renew a license, suspension or revocation 

of a license, or shall constitute grounds for the filing of charges 

by the Gaming Agency or Director. If the Tribe elects to 

contractually agree to resolve disputes in a manner other than 

revocation of a license, such contractual agreement shall supersede 

any conflicting provisions of this section, so long as the 

agreement provides a reasonable avenue for the Tribe to insure a 

licensees compliance with all other aspects of this Gaming 

Ordinance. Acceptance of a gaming license or renewal on the part 

of the licensee shall constitute the licensees agreement to be 

bound by all of the regulations and conditions of the Director or 

Gaming Agency and by the provisions of this Ordinance as the same 

are now, or may hereafter be amended or promulgated, and to 

cooperate fully with the Director and Gaming Agency. It is the 

responsibility of the licensee to keep informed of the contents of 

such regulations, amendments, provisions, and conditions, and 

ignorance thereof will not excuse violations. 

Section 4.08. Licensina of Distributors. The Gaming Agency 

may authorize, require and issue such annual licenses as the Gaming 

Agency by regulation may provide, to any person or entity to engage 

in the selling, distributing, or otherwise supplying of gambling 

equipment or paraphernalia for use in connection with licensed 

gaming activity. 
CHAPTER V 

MANAGEMENT CONTRACTS 

Section 5.01 Gamincr Aaencv A~~roval Required. 

(a) Any management contract entered into by the Tribe 

for the operation and management of Class I1 and Class 

I11 gaming activity must be submitted to the Gaming 

Agency for approval, but before approving such contract, 

the Gaming Agency shall require and obtain the following 

in£ ormation: 

(i) the name, address, and other additional 

pertinent background information on each 

person or entity (including comprising such 

entity) having direct financial interest in, 

or management responsibility for such contract 

and in the case of a corporation, those 

individuals who serve on the board of 

directors of such corporation and each of its 

stockholders who hold (directly or indirectly) 

10% or more of its issued and outstanding 

stock; 

(ii) a description of any previous experience 

that each person listed pursuant to subsection 

(i) has had with other gaming contracts with 

Indian tribes or with the gaming industry 

generally, including specifically the name and 

address of any licensing or regulatory agency 
with which such person has had a contract 

relating to gaming. 

(iii) Any further or additional information as may 

be required under the Tribal-State compact entered 

into between the Tribe and the State; 

(iv) Any further or additional information as may 

be required under existing rules and regulations for 

management contracts required pursuant to IGRA; 

(b) Any person listed pursuant to subsection (a) (i) shall 

be required to respond to such written or oral questions 

that the Gaming Agency may propound in accordance with 

its responsibilities under this section. 

(c) For purposes of this Ordinance, any reference to the 

management contract described in Section 4.01(a) shall be 

considered to include all collateral agreements to such 

contract that relate to the gaming activity. 

(d) After the Gaming Agency has given its approval of a 

management contract, the Gaming Agency shall submit such 

contract to the National Indian Gaming Commission for its 

approval. Any such contract shall be void until the 

National Indian Gaming Commission has approved it. 

Section 5.02 Approval of Manauement Contracts. The Gaming 

Agency may approve any management contract entered into by the 

Tribe pursuant to this Chapter only if it determines that such 

contract provides at least: 

(a) for adequate accounting procedures that are 

maintained, and for verifiable financial reports that are 

prepared by or for the Council on a monthly basis; 
(b) for access to the daily operations of the gaming to 

appropriate Tribal officials who shall also have a right 

to verify the daily gross revenues and income made from 

any such Tribal gaming activity; 

(c) for a minimum guaranteed payment to the Tribe that 

has preference over the retirement of development and 

construction costs; 

(d) for an agreed ceiling for repayment of development 

construction costs; 

(e) for a contract term not to exceed five years, except 

that, upon the request of the Tribe, the Gaming Agency 

may authorize a contract term that exceeds five years but 

does not exceed seven years if the Gaming Agency is 

satisfied that the capital investment required, and the 

income projections, for the particular gaming activity 

require additional time; 

(f) for grounds and mechanisms for terminating such 

contract, but actual contract termination shall not 

require the approval of the National Indian Gaming 

Commission; 

(g) for preference to Tribal members and non-member 

Indians in hiring of employees for the gaming 

establishment. 

Section 5.03 Percentaae of Net Revenue Fees. 

(a) A management contract providing for a fee based upon 

a percentage of the net revenues of a Tribal gaming 

activity may be approved by the Gaming Agency if such 

percentage fee is reasonable in light of surrounding 

40 
circumstances. Except as provided in this Section, such 

fee shall not exceed 30% of the net revenues; 

(b) Upon request of the Council, the Gaming Agency may 

approve a management contract providing for a fee upon a 

percentage of the net revenues of a Tribal gaming 

activity that exceeds 30% but not 40% of the net revenues 

if the Gaming Agency and Council are satisfied that the 

capital investment required, and income projections, for 

such Tribal gaming activity require the additional fee. 

Section 5.04 Contract Disa~~roval. The Gaming Agency shall 

not approve any contract if it determines that: 

(a) Any person listed pursuant to Section 4.01(a)(i): 

(i) is an elected member of the Council; 

(ii) has been or subsequently is convicted of 

any felony or gaming offense; 

(iii) has knowingly and willfully provided 

materially important false statements of 

information to the Gaming Agency or the Tribal 

officials who negotiate such contracts or has 

refused to respond to questions propounded 

pursuant to Section 4.01(b); or 

(iv) has been determined to be a person whose 

prior activities, criminal record if any, or 

reputation, habits, and associations pose a 

threat to the public interest or to the 

effective regulation and control of gaming, or 

create or enhance the dangers of unsuitable, 

unfair, or illegal practices, methods, and 

activities in the conduct of gaming or the 

carrying on of the business and financial 

arrangements incidental thereto; 
(b) The management contractor has, or has attempted 

unduly to interfere or to influence for its gain or 

advantage any decision or process of tribal government 

relating to gaming activity; 

(c) The management contractor has deliberately or 

substantially failed to comply with the terms of this 

management contract or the provisions of this Ordinance 

or any regulations adopted pursuant to this Ordinance or 

the Indian Gaming Regulatory Act. 

Section 5.05 Modif~ina or Voidina Contract. The Gaming 

Agency, after notice and hearing, shall have the authority to 

require appropriate contract modifications or may void any contract 

if it subsequently determines that any of the provisions of this 

Chapter have been violated. If the Tribe elects to contractually 

agree to resolve disputes in a manner other than the revocation of 

a license, such contractual agreement shall supersede any 

conflicting provisions of this section, so long as the agreement 

provides a reasonable avenue for the Tribe to insure a licensee's 

compliance with all other aspects of this Gaming Ordinance. 

Section 5.06 Convevinu Interest in Land. No management 

contract for the operation of a gaming activity regulated by this 

Ordinance shall transfer or, in any other manner, convey any 

interest in land or other real property, unless specific applicable 

statutory authority exists and unless clearly specified in writing 

in said contract. 

Section 5.07 Fee for Investiaation Cost. The Gaming Agency 

shall require a potential contractor to pay a fee to cover the 

actual cost of the investigation necessary to reach a determination 

required in Section 4.04 of this Chapter. 
AUDITING AND INTERNAL CONTROL 

Section 6.01Minimum Procedures for Control of Internal Fiscal 

Affairs. The Gaming Agency shall promulgate regulations for 

control of internal fiscal audits of all gaming operations. ~t a 

minimum, those regulations shall: 

(a) Prescribe minimum procedures for safeguarding the 

gaming operation's assets and revenues, including 

recording of cash and evidences of indebtedness, 

mandatory count procedures. Such procedures shall 

establish a control environment, accounting system, and 

control procedures that safeguard the assets of the 

organization, assures that operating transactions are 

properly recorded, promote operational efficiency, and 

encourage adherence to prescribed policies; 

(b) Prescribe minimum reporting requirements to the Gaming 

Agency; 

(c) Provide for the adoption and use of internal audits, 

by internal auditors and Certified Public Accountants 

licensed to practice accounting in the State of Arizona. 

(d) Formulate a uniform code of accounts and accounting 

classifications to assure consistence, comparability and 

effective disclosure of financial information. Such code 

shall require that records be retained that reflect 

statistical drop (amount of cash wagered by patrons), 

statistical win (amount of cash won by the gaming 
operating) and the percentage of statistical win to 

statistical drop, or provide similar information, for 

each type of game, or each gaming device. 

(e) Prescribe the intervals at which such information 

shall be furnished; 

(f) Provide for the maintenance of documentation (i.e., 

checklists, programs, reports, etc.) to evidence all 

internal work performed as it relates to the requirements 

of this section; and 

(g) Provide that all financial statements and 

documentation referred to in section (f) be maintained 

for a minimum of five (5) years. 

Section 6.02 Gamina Aaencv Oversiaht of Internal Fiscal 

Affairs. The Gaming Agency shall, by regulation, require audits of 

the financial statements of all gaming operations. Such audits 

must : 

(a) be made by independent Certified Public Accountants 

holding a permit issued by the State of Arizona to 

practice public accounting; 

(b) include an opinion that the financial statement 

fairly and accurately present the financial condition of 

the gaming operation in accordance ,with generally 

accepted accounting principals (GAAP) and in accordance 

with the standards of the accounting profession 

established by rules and regulations of the Arizona State 

Board of Accountancy and the American Institute of 

Certified Public Accountants; 
(c) disclose whether the accounts, records, and control 

procedures maintained by the gaming operation are as 

required by the regulations promulgated by the Gaming 

Agency; and 

(d) provide for a preliminary review of the internal 

control structure, upon adoption of the polices and 

procedures by the entity, to disclose any deviation from 

prescribed rules and regulations and report such findings 

to the Gaming Agency and management. 

Section 6.03 Gamina Aaencvvs Riaht to Conduct Audit. The 

Gaming Agency shall be able to retain its own appointed 

accountants, or direct an accountant employed by the Tribe to 

conduct its own audit of any gaming operation. 

Section 6.04 Prohibition Auainst Embezzlement. Any delay, 

maneuver or action of any kind which in the opinion of the Director 

is effectuated by any licensee to unlawfully divert gaming or other 

proceeds properly belonging to the Tribe shall constitute grounds 

for taking disciplinary action against that licensee. If the 

Gaming Agency finds an unlawful diversion was attempted, it shall 

sanction the licensee. Sanctions may include fining, revoking, 

suspending, limiting or refusing to renew the license. 
CHAPTER VII 

AUTHORIZATION OF GAMING 

Section 7.01 Prohibition Aaainst Gaminq. No person duly 

authorized by the Gaming Agency shall engage, conduct or condone 

any game unless such game is approved by this Gaming Agency and 

regulations for rules governing such game have been duly 

promulgated by this Gaming Agency. 

Section 7.02 Grace Period. The prohibition contained in 

Section 6.01 shall not apply to those games already being played as 

of the date of enactment of this Ordinance, provided however, that 

the licensee conform to the rules promulgated hereunder within five 

(5) days of such promulgation. 

Section 7.03 Authorization of Gaminu. The Gaming Agency may 

authorize the playing of any game not prohibited by the laws of the 

State of Arizona. The Gaming Agency shall promulgate regulations 

for rules governing all authorized gamestincluding regulations 

governing the equipment (chips, dice, cards, tiles, etc.) used in 

such game. Any provision in the Tribe's Compact with the State of 

Arizona providing for notice to and comment from the State, shall 

be complied with before any game is authorized by the Gaming 

Agency. 

Section 7.04 ADD~OV~~ of Gamina Euui~ment. The Gaming Agency 

shall have the discretion to review and approve all gaming 

equipment and other devices used in the gaming operation as to 

quality, design, integrity, fairness, honesty and suitability. 
(a) The Gaming Agency may require a prototype or sample 

of any model of gaming equipment or other device used in 

the gaming operation to be placed in the custody of the 

Director and retained by him as a control for comparison 

purposes. 

(b) Any evidence that gaming equipment or other devices 

used in the gaming operation has been tampered with or 

altered in any way which would affect the integrity, 

fairness, honesty or suitability of the equipment or 

device shall be immediately reported to the Gaming 

Agency. 

Section 7.05 Postina of Rules. The Rules of each authorized 

game offered at any duly licensed establishment shall be posted in 

a conspicuous location and shall be clearly legible. 
CHAPTER VIII 

EXCLUSION OR EJECTION OF INDIVIDUALS 

Section 8.01 List of Undesirables. The Gaming Agency may, by 

regulation, provide for the establishment of a list of persons who 

are to be excluded or ejected from any duly licensed gaming 

operation. The list may include any person whose presence in the 

gaming establishment is determined by the Gaming Agency to pose a 

threat to the interests of the Tribe, the State of Arizona, or to 

licensed gaming. Race, color, creed, national origin or ancestry 

or sex must not be grounds for placing the name of a person on the 

list. 

Section 8.02 Notice and Ovvortunitv to be Heard. The Gaming 

Agency shall promulgate regulations providing fair notice and 

opportunity to be heard to any individual whose name is being 

contemplated by the Tribe to be placed on the list referred to in 

section 8.01. Such regulations must provide the person an 

opportunity to show cause why his name should be deleted from the 

list. The individual may appeal any decision of the Gaming Agency 

to place his name on the list to Tribal Court. 

Section 8.03 Prohibition Auainst Listed Individuals. It shall 

be a violation of this Ordinance for any licensee to knowingly fail 

to exclude or eject from the gaming establishment any persons 

placed on the list referred to in section 8.01. It shall be a 

violation of this Ordinance for any person whose name appears on 

the list referred to in section 8.01 to enter into or engage in any 

game at a duly licensed gaming establishment. 
Section 8.04 Prohibition Aaainst Certain Individuals. It 

shall be a violation of this Ordinance for any licensee who 

knowingly fails to exclude or eject the gaming establishment any 

individual who: 

(a) is visibly under the influence of liquor or any 

narcotic or such other substance; or 

(b) is under the age of eighteen years. 
CHAPTER IX 

CHEATING 

Section 9.01 Unlawful Acts. It is unlawful for any person: 

(a) to alter or misrepresent the outcome of a game or 

other event on which wagers have been made after the 

outcome is made sure but before it is revealed to the 

players; 

(b) to place, increase or decrease a bet or to determine 

the course of play after acquiring knowledge, not 

available to all players, of the outcome of the game or 

knowledge of any event that affects the outcome of the 

game or knowledge that is the subject of the bet or 

wager; 

(c) to aid anyone in acquiring such knowledge as set 

forth in subparagraph (b), for the purpose of increasing 

or decreasing a bet or wager, or for the purpose of 

determining the course of play contingent upon that event 

or outcome; 

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

collect or take, money or anything of value in or from a 

gambling game with intent to defraud, without having made 

a wager contingent thereon, or to claim, collect or take 

an amount greater than the amount won; 

(e) knowingly to entice or induce another to go to any 

place where a gambling game is being conducted or 
operated in violation of the provisions of this chapter, 

with the intent that the other person play or participate 

in that gambling game; 

(f) to place or increase a bet or wager after acquiring 

knowledge of the outcome of the game or event which is 

the subject of the bet or wager, including past-posting 

and pressing bets; 

(g) 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 or wager, including 

pinching bets; and 

(h) to manipulate with intent to cheat, any component of 

a gaming device in a manner contrary to the designed and 

normal operational purpose for the component, with 

knowledge that the manipulation affects the outcome of 

the game or with knowledge of any event that affects the 

outcome of the game. 

Section 9.02 Prohibition Aaainst Electronic Aids. Except as 

specifically permitted by the Director with approval of the Gaming 

Agency, no person shall possess with the intent to use, or actually 

use, at any table game, either by himself or in concert with others 

any calculator, computer or other electronic, electrical, or 

electromechanical device to assist in projecting an outcome at any 

table game, to keep track of or analyze t4e cards having been 

dealt, to change the probabilities of any table game or the playing 

strategies to be utilized. 
CHAPTER X 

NATIONAL INDIAN GAMING COMMISSION 

AND TRIBAL-STATE COMPACTS 

Section 10.01 National Indian Gamina Commission - Reaulations. 

Notwithstanding any provision in this Gaming Ordinance or any 

regulation promulgated thereunder, the Gaming Agency is fully 

empowered to comply with all regulations promulgated by the 

National Indian Gaming Commission, including but not limited to, 

all requirements to report ordinances, contracts, license 

applications, background checks, and other information to the 

National ~ndian Gaming Commission. 

Section 10.02 National Indian Gamina Commission - Assessment. 

Notwithstanding any provision in the Gaming Ordinance or any 

regulation promulgated thereunder, the Gaming Agency is fully 

empowered to comply with all assessments authorized by the National 

Indian Gaming Commission. Such assessments shall be paid from the 

Treasury of the Tribe. 

Section 10.03 Com~act with the State of Arizona. 

~otwithstanding any provision in this Gaming Ordinance or any 

regulation promulgated thereunder, the Gaming Agency is fully 

empowered to comply with the provisions of the compact between the 

Tribe and the State of Arizona. 
CHAPTER XI 

MISCELLANEOUS 

Section 11.01 Security. Each licensed gaming establishment 

must provide for reasonable security. All security personnel must 

be licensed by the Gaming Agency. 

Section 11.02 Maintenance of Ordinance and Reaulations. Each 

licensee shall obtain, maintain and keep current a copy of the 

Gaming Ordinance and regulations promulgated thereunder, which 

shall be located at the premises used for the conduct of a licensed 

activity. The Ordinance and regulations shall be produced by the 

licensee and shown to any person upon demand. That licensee may 

not have a current copy of the Ordinance, or each of the rules of 

the Gaming Agency, shall not in way diminish the licensee's 

obligation to abide by the Ordinance and regulations. 

Section 11.03 Com~liance with Other Laws. The construction, 

maintenance and operation of any facility in which gaming 

activities are to take place shall be in a manner which adequately 

protects the environment and the public's health and safety and 

shall comply with any otherwise applicable Tribal and federal laws 

relating to environmental protection and public health and safety. 

Section 11.04 Amendments. All provisions of this Gaming 

Ordinance are subject to amendment by the Tribal Council. All 

regulations promulgated by the Gaming Agency are subject to proper 

revision, repeal or amendment by the Gaming Agency. 

Section 11.05 Severabilitv. If any provision of this 

Ordinance, or its application to any purpose or circumstance, is 

held invalid by a court of competent jurisdiction, the full 
remainder of the provision, or the application of the provision 

through another person or circumstances, shall not be affected. 

Section 11.05 Desianated Aaent. The designated agent for 

service of process as required by IGRA is the Chairperson of the 

Tribal Gaming Agency; 

Section 11.06 Law Enforcement. The designated law 

enforcement agency as required by IGRA is the Kaibab-Paiute Police 

Department. The procedures set forth in Section 2.08 above 

describe the steps taken for a complete investigation. Criminal 

history checks shall be processed both on a State and Federal 

level. 

END OF THE TRIBAL GAMING ORDINANCE OF THE KAIBAB BAND OF PAIUTE 

INDIANS DULY ADOPTED THIS 14th DAY OF JANUARY, 1994. 
CERTIFICATION 

I, the undersigned, as Chairperson of the Kaibab Paiute Tribal 

Council, do hereby certify that the Tribal Council is composed of 

6 members, of whom 4 constituting a quorum were present at a 

meeting duly held on the 14th day of January, 1994, and the 

foregoing Ordinance was duly adopted and approved by an af firnative 

vote of 3 FOR; 0 AGAINST; and 1 ABSTAINED; 2 ABSENT; pursuant to 

the authority contained under Article VI, Section l(h) of the 

Tribal Constitution and By-laws. 

KAIBAB PAIUTE TRIBAL COUNCIL 

Ordinance No. 12 

ATTEST: