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666P02

RESOLUTION NO. 44-93

OF THE GOVERNING BODY OF TIlE

YAVAPAI-APACHE NATION

WHEREAS, the Tribal Council baa reviewed and approved a Gaming Ordinance of

the Yavapai-Apache Nation (Gaming Ordinance) and sent it to the

National Indian Gaming Commission (NbC) for approval; and

WHEREAS, the NIGC has informed the Nation that, if the Gaming Ordinance is

revised in certain respects the NIGC will approve it; and

NOW, THEREFORE, BE IT RESOLVED that the Tribal Council hereby approves the following

amendments to the Gaming Ordinance and that, as of this day, Sections 2(L),

2(Z), and 5(D) of the Gaming Ordinance are hereby amended to read as follows:

Section 2(L)

L. Gaming Device means

(1) any so-called slot machine or any other machine or mechanical

device an essential part of which is a drum or reel with insignia thereon, and

(A) which when operated nay deliver) as the result of the application of an

element of chance, any money or property, or (B) by the operation of which a

person nay become entitled to receive, as the result of the application of an

element of chance, any money or property; or

(2) any other machine or mechanical device (including but not limited

to roulette wheels and similar devices) designed and manufactured primarily

for use in connection with gambling, and (A) which when operated may deliver,

as the result of the application of an element of chance, any money or property,

or (B) by the operation of whicha person may become entitled to receive, as

the result of the application of a~ element of chance, any money or property;

or

(3) any subassembly or essential part intended to be used in connection

with any such machine or mechanical device, but which is not attached to any

such machine or mechanical device as a constituent part.

Section 2(Z)

Z. Net Revenues means the gross receipts less (a) amounts paid out as,

or paid for, prizes, and (b) total gaming related operating expenses, excluding

management tees.

Section 5(B)

B. Ownership of Gaming Enterprise The Yavapai-Apache Nation acting through

the Tribal Council and any enterprise wholly owned by the Nation, shasl have

the sole proprietary interest in and responsibility for the operation and conduct

of any Gaming Activity conducted on the Reservation.

BE iT FURTHER RESOLVED that the Caming Ordinance be revised and restated

in accordance with this Resolution, and that the revised and restated Caming

Ordinance be resubmitted to the NICC for final approval.

CERTIFICATION

1, the undersigned, hereby certify that at a duly called meeting of the

Yavapai-Apache Tribal Council, on October 8, 1993, the Tribal Council voted
SOB P03

to adopt this Resolution with an affirmative vote of a quorum of Tribal Council

melnber5.

~L~ ~ Theodore Smith1 Sr.) Chairman

ATTEST;

Karla Reimer, Tribal Secretary
GAMING (~~DflThNCE OF ThE YAVAPAI-APAaIE NATION

Gaming Ordinar~ No. 12

~ IT D~ACFED BY ThE ~JNCIL OF mE YAVAPAI-APAQIE NATION:

A Gaming Ordinance to Govern, Regulate, and Control Gaming Activities

conducted within the jurisdiction of the Yavapai-Apache Nation.

Sectic~i 1. Name.

The name of this Gaming Ordinance shall be the Gaming Ordinance of

the Yavapa i-Apache Nation.

Section 2. Definitions.

The following words shall have the following meanings under this

Gaming Ordinance, unless the context otherwise requires:

A. Applicant means any person who has applied for a license

from the Commission or certification from the State Gaming Agency under

this Gaming Ordinance and the Compact;

B. Bingo Game means the Gaming Activity commonly known as

bingo (whether or not electronic, computer, or other techriologic aids

are used in connection therewith) which is played for prizes, including

monetary prizes, with cards bearing numbers and other designations i.n which

the holder of the card covers such numbers or designations when objects,

similarly numbered or designated, are drawn or electronically detenitined,

and in which the game is won by the first person covering a previously

designated arrangement of numbers or designations on such cards, including

(if played in the same location) pull-tabs, lotto, punch boards, tip jars,

instant bingo, and other games similar to bingo;
C. Chairman means the Chairman of the Yavapai-l~pache

Nation;

D. Class I Gaming means all forms of gaming defined as Class

I in Section 4(6) of the Indian Gaming Regulatory Act;

E. Class II Gaming means all forms of gaming defined as

Class II in Section 4(7) of the Indian Gaming Regulatory Act, 25 U.S.C. §

2703(7);

F. Class III Gaming means all forms of gaming as defined in

Section 4(8) of the Indian Gaming Regulatory Act, 25 U.S.C. § 2703(8);

G. Coituidssion means the Yavapai-~pache Nation Gaining

Commission established by this Gaming Ordinance;

H. Compact means the Gaming Compact between the

Yavapai-Apache Nation and the State of Arizona;

I. Enrolled Tribal Member means an enrolled member of the

Yavapal-Apache Nation whose name appears in the tribal membership roil anc3

who meets the written criteria for membership;

J. Equipment includes, with respect to Bingo Games, the

receptacle and numbered objects drawn from it; the master board upon which

such objects are placed as drawn; the cards or sheets bearing numbers or

other designations to be covered and the objects used to cover them: the

board or signs, however operated, used to announce or display the numbers

or designations as they are drawn; the public address system; and all other

articles essential to the operation, conduct, and playing of Bingo Games;

K. Gaming Activity or Gaming Activities means all forms

of Class II and Class III gaming owned and operated by the Nation and

conducted within the territorial jurisdiction of the Nation;

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L. Gaming Device means a microprocessorcontrolled

electronic device which allows a player to play a Gaming Activity, 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

(2) Mechanical rotating reels whereby the software of

the device predetermines the stop positions and the

presence, or lack thereof, of winning combination

and pay cut, if any;

N. Gaming Employee means a Primary Management Official or

Key Employee of a Gaming Operation of the Nation and any other Person

employed in the operation or management of a Ga~uthg 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;

N. Gaming Facility means the buildings or structures in

which Class III Gaming is conducted;

0. Gaming Facility Operator means the Nation, an enterprise

owned by the Nation, or such other entity of the Nation as the Nation may

from time to time designate by written notice to the State of Arizona under

the Compact as the wholly-owned tribal entity having full authority and

responsibility for the operation and management of Class III Gaming

activities;

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P. Gaming Operation means any Gaming Activity conducted

within any Gaming Facilities;

Q. Gaming Ordinance means this Gaming Ordinance of the

Yavapai-lpache Nation and any rules or regulations promulgated hereunder;

R. Gaming Services means the providing of any goods or

services except for legal services, to the Nation in connection with the

operation of Class III 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;

S. Gross receipts means receipts from the sale of shares,

tickets, or rights in any manner connected. with participation or the right

to participate in Class II or Class 111 Gaining, including but not limited

to any admission fee or charge, the sale of merchandise, refreshments,

souvenirs, services, equipment, or supplies, interest earned on posts,

and all other mi.scel laneous receipts;

P. Key employee means:

(a) a Gaming E~loyee s~ho performs one or more of the

following functions:

(1) Bingo caller;

(2) Counting room supervisor;

(3) thief of security;

(4) Custodian of gaming supplies or cash;

(5) Floor manager;

(6) Pit boss;

(7) Dealer;

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(8) Croupier;

(9) ~pprover of credit; or

(10) Custodian of Gaming 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;

U. License means an approval issued by the ~riba]. Gaming

Commission to any Person involved in the Gaming Operation or in providing

Gaming Services to the Nation;

V. Licensee means any Person who has been licensed by the

Coitunission to be involved in the Gaming Operation or in the provision of

Gaming Services to the Nation;

W. Management Contract means a contract within the meaning

of 25 U.S.C. §~ 2710(d) (9) and 2711;

X. Management Contractor means a Person that has enter&i

into a Management Contract with the Nation or been hired pursuant to

Section 7 of this Gaming Ordinance;

Y. National Indian Gaming Commission means the National

Indian Gaming Commission established by the Indian Gaming Regulatory Act,

25 U.S.C. §~ 270121, 18 U.S.C. §~ 116668;

Z. Net revenues means the gross receipts less the operating

expenses, which expenses include but are not limited to wages, management

fees, prizes, utilities costs, insurance costs, advertising costs, repair

costs, maintenance costs, costs of supplies, security services costs,

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janitorial services costs, trash removal costs, taxes, rent, lawyers and

accountants fees, repayment of capital contributions, and such other

deductions or charges as may be specifically authorized hereunder;

A~. Occasion means a gathering at which a Gaming Activity is

conducted;

AB. Person means a natural person, trust, firm, association,

partnership, political subdivision, government agency, municipality,

industry, public or private corporation, or any other legal entity

whatsoever;

AC. Premises means any room, hall, building, enclosure, or

outdoor or other area used for the purpose of conducting a Gaming Activity;

AD. Primary Management Official means:

(1) The Person having management responsibility under a

management contract;

(2) Any Person who has authority:

(a) to hire and fire employees; or

(b) to set up working policy for a Gaming

Operation; or

(3) The chief financial officer or other Person who has

financial management responsibility;

AE. Principal means with respect to any Person:

(1) Each of its officers and directors;

(2) Each of its principal management employees,

including any chief executive officer, chief financial officer, chief

operating officer or general management;

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(3) Each of its owners or partners, if an unincorporated

business;

(4) Each of its shareholders who own more than ten (10)

percent of the shares of the corporation, if a corporation;

(5) Each person other than a banking institution who has

provided financing for the entity constituting more than ten (10) percent

of the total financing of the entity; and

(6) Each of the beneficiaries or trustees of a trust;

AF. Reservation means the Yavapai-Apache Nation Reservation

and any lands the title to which is held in trust by the United States for

the benefit of the Yavapai-Apache Nation or a member thereof or held by the

Yavapai-Apache Nation subject to a restriction by the United States against

alienation, and over which lands the Yavapai-Apache Nation exercises

governmental power;

AG. State means the State of Arizona;

All. State Gar~ing Agency means the agency of the state which

the Governor may from time to time desigr.ate by written notice to the Nation

as the single state agency authorized to act on behalf of the state under

the Compact;

AX. Tribal Council means the Tribal Council of the Yavapai-

Apache Nation, the governing body of the Nation; and

Al. Tribal Court means the judiciary of the Yavapai-Apache

Nation.

Section 3. Purposes.

The purposes of this Gaming Ordinance are to make lawful and to

regulate the operation and conduct of Gaining Activities on the Reservation

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so that revenue may be produced to fund tribal governmental operations and

programs which promote the health, education, and welfare of the Nation and

its members and which promote tribal economic development.

Section 4. Interpretatic~.

This Gaming Ordinance is an exercise of the sovereign power of the

Nation and shall be liberally construed for the accomplishment of its

purposes and to comply with the Indian Gaming Regulatory Act.

Section 5. GamirKj Policy.

A. Gaininci Activity Prthibited No Person may operate or

conduct any Gaming Activity within the boundaries of the Reservation except

in accordance with the provisions of this Gaming Ordinance and the

applicable provisions of the Compact.

B. Ownership of Gamir~ Enterprise The Yavapai-Apache

Nation, acting through the Tribal Council, an enterprise owned by the

Nat.ion, or such other entity designated by the Nation pursuant to the

Compact, shall have the sole proprietary interest in and responsibility for

the operation and conduct of any Gaming Activity conducted on the

Reservation.

C. Protection of Environment; Poblic Health and Safety The

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

Gaming Activity, shall be done in a manner that adequately protects the

environment and the public health and safety.

Section 6. YavapaiApade Nation Gamirq Q~nmission.

A. Establishment of (Y~mnicsion There hereby is estab].ished

the Yavapai-Apache Nation Gaming Conmiission for the purposes of regulating

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all Gaining Activity within the Reservation and enforcing this Gaining

Ordinance.

B. P~1ers and 1)ities The Comission shall have the

following powers and duties:

1. To permit or refuse to permit the operation or

conduct of any Gaming Activities within the exterior boundaries of the

Reservation, and to specify the conditions for the operation and conduct

of such Gaming Activities within the exterior boundaries of the

Reservation, including hours of operation and compliance with all

applicable liquor laws;

2. To grant, suspend, or revoke licenses in accordance

with this Gaming Ordinance and the Compact;

3. To monitor and oversee the operation and conduct of

all Gaming Activity within the exterior boundaries of the Reservation on

a continuing basis, including but not limited to ongoing monitoring and

oversight of Licensees engaged in the operation and conduct of such games;

4. To inspect and examine all premises within the

Reservation at which a Gaming Activity is conducted;

5. To conduct or cause to be conducted background

investigations of Persons involved, directly or indirectly, in the

operation or conduct of Gaming Activities within the Reservation;

6. To inspect, examine, photocopy, and audit all

papers, books, and records respecting gross receipts of Gaming Activities

operated or conducted within the Reservation and any other matters

necessary to carry out the duties of the Commission under this Gaming

Ordinance and the Compact;

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7 To bring suits in the Tribal Court seeking temporary

and permanent orders closing a Gaining Activity in accordance with this

Gaming Ordinance and the Compact;

8. To enter into contracts with tribal, federal, stats,

and private entities for activities necessary to the discharge of the

duties of the Commission under this Gaming Ordinance and the Compact and to

contract with the National Indian Gaming Connuiss ion for the enforcement of

federal regulations governing gaming on Indian reservations;

9. Subject to the approval of the Tribal Council, to

adopt the budget of the Commission annually;

10. Subject to the approval of the Tribal Council, to

establish fees for applications for licenses and renewals thereof and fees

for Licensees based on a percentage of the gross receipts of Gaming

Activities operated or conducted by such Licensees;

11. To require by subpoena the attendance and testimony

of witnesses and the production of all books, papers, and documents

relating to any matter under consideration or investigation by the

Coimnission, and to bring actions in the Tribal Court for the enforcement of

such subpoenas;

12. To administer oaths and affirmations to witnesses

appearing before the Commission;

13. To hear appeals in accordance with this Gaming

Ordinance;

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

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

Commission;

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15. To hire and/or designate an Executive Director and

such other employees as may be necessaxy to discharge the Commission s

duties under this Gaming Ordinance and the Compact;

16. To promulgate rules and regulations as it deems

appropriate to implement the provisions of this Gaming Ordinance and the

Compact;

17. To require the Gaming Facility Operator to have the

responsibility for on-site operation, management, arid security and to

adopt reasonable procedures designed to provide for the physical safety of

Gaming E~loyees, patrons in the Gaming Facility, assets trarsported to,

from, and within the Gaming Facility, and the property of the patrons and

Gaming Facility Operator;

18. To recommend amendments to this Gaming Ordinance tc

the Tribal Council;

19. To submit an annual report to the Tribal Council on

the activities of the Commission, such report to include information on the

funding, income, and expenses of the Commission; and

20. To detain persons who may be involved in illegal acts

for the purpose of notifying appropriate law enforcement authorities.

C. Q~vosition; Stac~ei~ Term The Commission shall

consist of five (5) Commissioners appointed by the Tribal Council. Each

Commissioner shall serve for a term of five (5) years; provided that in

order to stagger the expiration of terms of office, the first Commissioner

appointed shall serve a five-year term, the second Commissioner appointed

shall serve a four-year term, and the third Commissioner appointed shall

serve a three-year tenn, the fourth Commissioner appointed shall serve a

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two-year tern, and the fifth Commissioner appointed shall serve a one-year

term. A Ccmmtissioner may seive after the expiration of his or her term of

office until a successor has been appointed, unless such Coitanissioner has

been removed for cause under Subsection E of this Section.

D. Qualificati~i of O~mm1i~sioners At least three (3)

Commissioners must be an enrolled member of the Nation. No Person shall be

eligible or qualified to serve or continue to serve as a Commissioner or

as an appointee or employee of the Commission, who:

1. Has been convicted of a felony or gaming offense;

2. Has any financial interest in, or management

responsibility for, any gaming activity;

3. Has any financ~al interest in, or management

responsibility for, any gaming management contract submitted to the

Commission for review or approval; and/or

4. Is a Gaming Employee or other employee of a Gaming

Facility Operator.

E. R~val of Qzmnissioners A Commissioner may be

involuntarily removed from office before the expiration of his or her term

in accordance with the following procedures:

1. Removal of a Commissioner may be initiated by a

member or members of the Tribal Council providing the Secretary of the

Tribal Council with a written request specifying the cause for removal,

signed by not less than five (5) of the members of the Tribal Council;

2. The cause for removal shall be limited to:

(1) conviction in any court of a felony or crime involving moral turpitude;

(2) failure to meet or maintain the qualifications for Commissioners set

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forth in Subsection D of this Section; (3) gross neglect of duty;

(4) malfeasance in office; or (5) conduct which amounts to gross and

intentional disregard of the laws and procedures applicable to the affairs

of the Commission;

3. Not less than twenty (20) nor more than thirty (30)

days following receipt of the written request for removal, the Tribal

Council shall convene a special meeting for the sole purpose of voting on

the removal of the Commissioner. Before any vote is taken, the

Commissioner shall be given a full opportunity, either in person or through

a representative of his or her choice, to answer or otherwise respond to any

and all chax~es against him or her; and

4. To remove a Commissioner from office, the

affirmative vote of no less than six (6) of the members of the Tribal

Council is required.

F. Resiqnations ar~i Vacancies Any Commissioner may resign

at any time by giving written notice of such to the Secretary of the

Commission and to the Secretary of the Tribal Council. The resigration

shall become effective at the time specified in such notice, and the

acceptance of such resignation shall not be necessary to make it effective.

Any vacancy on the Commission, howsoever caused, shall be filled for the

unexpired portion of the vacated Coitumissioners term by a qualified person

appointed by the Tribal Council.

G. Selectic~ of Officers The Commission shall select

annually by majority vote one (1) of its members to serve as thairman, one

(1) of its members to serve as Vice (iiairman, and one (1) of its members to

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serve as Secretary. The Vice C~ainrian shall serve as thairman during

meetings of the Conm~.ission at which the thairman is absent.

II. Ec~itive Director The Commission shall hire and/or

designate an Executive Director of the Commission who shall serve as the

formal liaison to the person holding the similarly titled position with the

State Gaining Agency and have overall responsibility for the administrative

functions of the Conunission.

I. 1btions and Resolutions; Meetinqs; Ouonim The powers of

the Commission are vested in the Conumissioners. All official actions of

the Commission shall be taken by motion or resolution approved by the

affirmative vote of a majority of the Commission. The Conmiission shall

meet at the call of the thaimnan or a n~jority of the Commissioners. Three

(3) members of the Commission shall comprise a quorum.

J. x~perati~ With Law Enforc~nt Aqencies The Commission

may cooperate with law enforcement officials of the State of Arizona, the

&ireau of Indian Affairs, the Federal &ireau of Investigation, and other

law enforcement agencies, when such cooperation is in the best interests

of the Nation and will help to insure that fair, honest, and efficient

Gaming Activities are conducted within the Reservation. The Commission

shall notify the State Gaming Agency within forty-eight (48) hours of the

time a violation or suspected violation of the Gaming Ordinance or Compact

is reported to the Conumission.

K. Qznpensation Commissioners shall be reasonably

compensated as determined by the Tribal Council and in accordance with the

annual budget of the Commission.

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Secti~ 7. License For Operating Ar~ Conlucting Gaming Activity.

A. License R~iuired The Gaming Facility Operator, including

its Principals, Primary Management Officials, and Key F~loyees,

Management Contractor, including its Principals, Manufacturer and Supplier

of Gaming Devices, and each Person providing Gaming Services within or

without a Gaming Facility shall apply for and receive a license from the

Commission before their participation in any way in the operation or

conduct of any Gaming Activities within the Reservation. A separate

license shall be required for each location of a Gaming Facility.

B. License Ai~lication Each Applicant for a license shall

file with the Commission a written application in the form prescribed by

the Corranission, along with the Applicants fingerprint card, current

photograph, and the fee required by the State Gaming Agency and Commission.

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 Privacy Act of 1974, the

following information is provided: Solicitation of

the information on this form is authorized by 25

U.S.C. §~ 2701 ~ ~g. The purpose of the requested

information is to determine the eligibility of

individuals to be employed in a Gaming Operation.

The information will be used by members and staff of

the Yavapai-Apache Nation Gaming Commission and the

National Indian Gaming Commission 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, the information is relevant to

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

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Operation. Failure to consent to the disclosures

indicated in this notice will result in a tribe s

being unable to hire you in a primary management

official or key employee position with a tribal

gaming enterprise.

The disclosure of your Social Security Number (SSN)

is voluntary. H~ever, failure to supply a SSN may

result in errors in processing your application.

2. Existing Key Employees and Primary Management

Officials 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 foll~iing 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:

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 imprisonment. See 18 U.S.C. § 1001.

4. The Nation shall notify in writing existing Key

Employees and Primary Management Officials 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.

C. Backqi~.ux1 Investigations

1. Upon receipt of a completed Application and required

fee for licensing, the Commission shall conduct or cause to be conducted a

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background investigation to ensure the Applicant is qualified for

licensing.

2. The Cc~tnuission shall request from each Applicant,

and from each Principal, Primary Management Official and Key En~loyee of

each Applicant, all of the following infonnation:

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

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

gender, and all languages spoken or written;

(b) Currently and for the previous five (5) years,

business and einp1oyn~nt positions held, ownership interests in those

businesses, business and residence addresses, and driver? s license

numbers; provided that all Applicants who are a Primary Management

Official, Key E~loyee, Management Contractor, Manufacturer arid Suppi i.er

of Gaming Devices, and/or a Person providing Gaming Services, must provide

such information currently and from the age of eighteen;

(c) 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 Un

paragraph (1) (b) of this section;

(d) Current business and residence telephone

numbers;

(e) A description of any existing and previous

business relationships with Indian tribes, including ownership interests

in those businesses, and a description of any potential or actual conflict

of interest between such businesses and Indian tribes;;

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(f) A description of any existing and previous

business relationships in the gaming industry, including ownership

interests in those businesses;

(g) The name and address of any licensing or

regulatory agency with which in the Person has filed an application for a

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

was granted;

(h) For each felony for which there is an ongoing

prosecution or a conviction, the charge, the date of the charge, the name

and address of the court involved, and the disposition, if any;

(i) For each misdemeanor for which there is an

ongoing prosecution or conviction (excluding minor traffic violations),

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

involved, and the disposition, if any;

(j) For each criminal charge (excluding minor

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

charge is not otherwise listed pursuant to paragraph (2) (h) or (2) (i) of

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

address of the court involved, and the disposition, if any;

(k) The name and address of any licensing or

regulatory agency with which the Person has filed an application for an

occupational license or permit, as an Applicant, Primary Management

Official, or Key Employee, and whether or not such license or permit was

granted;

(1) A current photograph;

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(ni) Any other information the Conmiission deems

relevant;

(n) Fingerprints consistent with procedures

adopted by the Nation according to 25 C. F. R. § 522 .2 (h); and

(0) The fee required by the State Gaming Agency and

the Commission.

3. In conducting a background investigation, the

Commission and its agents shall promise to keep confidential the identity

of each Person interviewed in the course of the investigation.

D. ~nporary License Within twenty (20) days of the receipt

of a completed Application for licensing, and upon request of an Applicant,

the Commission may issue a temporary license to the Applicant unless the

background investigation undertaken discloses that the Applicant has a

criminal history, or unless other grounds sufficient to disqualify the

Applicant are apparent on the face of the Application. The temporary

license shall become void and be of no effect upon either (1) the issuance

of the license (2) the issuance of a notice of denial; or (3) ninety days

after the Licensee has begun working.

E. Eligibility Determination

1. The Cormmission shall review a Persons prior

activities, criminal record, if any, and reputation, habits, and

associations to make a finding concerning the eligthility of an Applicant,

Key Employee or Primary Management Official of an Applicant, for

employment or involvement in a Gaming Operation. Upon completion of the

investigation, the Commission shall either issue a license or deny the

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Application. If the Commission determines that; en~loyment or involvement

of the Person or Applicant poses a threat to the public interest or to the

effective regulation of a Gaming Activity, or creates or enhances dangers

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

the conduct of Gaining Activities, the Commission shall deny the

Application. If the Commission denies the Application, the Commission

shall forward to the State Gaming Agency, together with all documents

relied on, a statement setting forth the grounds of denial.

2. Pursuant to the Compact, the State Gaming Agency

also shall conduct a background investigation of all applicants and shall

provide the Coimnission with a written recommendation as to whether the

Commission should license the Applicant.

F. ~iticz~al BaC]cLjL~urd Investigations The Ccmmiissi on

retains the right to conduct additional background investigations of any

person required to be licensed at any time while the license is valid.

G. Procedures for Forwardirxi ~1ications and Retorts fQr

Key ~nployees and Primary Management Officials to the

National Indian Gaminci Canmission

1. When a Key Employee or Primary Management Official

begins work at a Gaming Operation authorized by this Gaming Ordinance, the

Commission shall forward to the National Indian Gaming Commission a

completed application for employment and conduct the background

investigation arid make the determination referred to in subsection E of

this Section.

2. Pursuant to the Compact the State Gaming Agency also

shall conduct a background investigation of all Applicants arid shall

20
provide the Commission with a written recommendation as to whether the

Commission should license the Applicant.

3. The Commission shall forward the report referred to

in subsection H of this Section to the National Indian Gaming Commission

within sixty (60) days after an employee begins work or within sixty (60)

days of the approval of this Gaming Ordinance by the thaimnan of the

National Indian Gaming Commission.

4. The Gaming Operation shall not employ as a Key

Employee or Prii~ary Management Official a Person who does not have a

License after ninety (90) days.

H. Report to the National Indian Camiix~ Commission

1. Pursuant to the procedures set out in subsection (G)

of this Section, the Commission 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 the background

investigation;

(b) results obtained;

(c) conclusions reached; and

(d) the bases for those conclusions.

2. The Commission shall submit with the report a copy

of the eligibility determination made under subsection (E) of this

Section.

3. If a license is not issued to an Applicant the

Commission:

21
(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 E~loyees and Primary Management

Officials, the Commission shall retain applications for employment and

reports (if any) of background investigations for inspection by the

thairman 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.

I. Grantin~ a Gamirii 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 Commission 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 Commission has

provided an appl.~.cation and investigative report to the National Indian

Gaming Commission, the Cormnission may issue a License to such 1~pplicant.

2. The Commission shall respond to a request for

additional information from the Chairman of the Ntional Indian Gaming

Commission concerning a key employee or a primary managinent official who

is the subject of a report. Such a request shall suspend the 30day period

under paragraph I. 1. of this section until the Chairman of the National

Indian Gaming Commission receives the additional information.

22
3. If, within the thirty (30) day period described

above, the National Indian Gaming Commission provides the Commission with

a statement itemizing objections to the issuance of a license to a Key

fli~p1oyee or to a Primary Management Official for wham the Commission has

provided an application and investigative report to the National Indian

Gaming Commission, the Ccaimiission shall reconsider the application, taking

into account the objections itemized by the National Indian Gaming

Commission and make a final decision whether to issue a License to such

Applicant.

J. I~iration and Renewal of Tribal Licenses

Any tribal License shall be effective for one (1) year

from the date of issuance; provided, that a licensed Gaming Employee or

other Person that has applied for renewal may continue to be employed or

engaged under the expired License until action is taken on the renewal

application by the Commission. Applicants seeking renewal of a License

shall provide the renewal fee and updated material as requested, on the

appropriate renewal forms, but may not be required to resubmit historical

data already available to the Commission. Additional background

investigations shall, not be required of Applicants for renewal unless now

information concerning the Applicants continuing eligibility for a

license is discovered by either the Tribal Gaming Office or the State

Gaining Agency.

K. Tribal ~lovn~nt Standards The issuance of a license by

the Commission does not create or imply a right of employment or continued

employment. The Gaming Facility Operator shall not employ, and if already

23
employed, shall tenninate, a Gaming E~1oyee if it is determined by the

Conmdssion that the Applicant:

1. has been convicted of any felony or gaming offense;

2. has knowrthgly and willfully provided materially

important false statements or information or omitted materially important

information on his or her employment Application for employment at the

Gaming Facility or background questionnaire; or

3. is determined to be a person whose prior activities,

criminal record if any, or reputation, habits, and associations pose a

threat to the public interest or to the effective r.~ulation and control of

gaming, or create or enhance the dangers of unsuitable, unfair, or illegal

practices, and methods, and activitie~ in the conduct of gaming or the

carrying on of the business and financial arrangements incidental thereto~

L. Notification of thame of Principals After an Applicant

who is not a natural person is licensed by the Commission, such entity

shall, file a report of each change of its Principals with the Commission

and the State Gaming Agency. Each new Principal shall file a complete

application within (30) days after appointment or election. The

Commission shall forward a copy of the application to the State Gaming

Agency. The entitys License shall remain valid unless the Commission

disapproves the change or denied the application. Pursuant to the Compact,

the entitys certification also shall remain vali.d unless the State Gaming

Agency disapproves the change or denies the Application.

24
M. Grcurxls for Revocation, Suspension, or r~nial of License

1. The Commission may revoke, suspend, or deny a

License when an applicant or Licensee:

(a) if the Commission receives from the National

Indian Gaming Commission reliable information indicating that a Key

flnployee or a Primary Managment Official is not eligible for employment

under subsection E above, the Tribe shall suspend such license and shall

notify in writing the licensee of the suspension and the proposed

revocation. After a revocation hearing, pursuant to subsection N of this

section, the Commission shall decide to revoke or to reinstate a gaming

license. The Commission shall notify the National Indian Gaming

Commission of its decision;

(b) has violated, failed or refused to comply with

the provisions, requirements, conditions, limitations or duties imposed by

any provision of this Gaming Ordinance, the Compact, or any provision of

any Commission rule, or when any such violation has occurred upon any

premises occupied or operated by any such Person or over which he or she has

substantial control;

(c) kno~zing1y causes, aids, abets, or conspires

with another to cause any Person or entity to violate any of the laws of the

Nation, the rules of the Commission or State Gaming Agency, the provisions

of this Gaming Ordinance, or the Compact;

(d) has obtained a tribal License or State

certification by fraud, misrepresentation, concealment or through

inadvertence or mistake;

25
(e) has been convicted of, or forfeited bond upon

a charge of, or pleaded guilty to, forgery, larceny, extortion, 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, or of

bribing or otherwise unlawfully influencing a public official or employee

of the Nation, or any state of the United States, or of any crime, whether

a felony or misdemeanor, involving any gaming activity, physical harm to

individuals, or moral turpitude;

(f) makes a misrepresentation of, or fails to

disclose a material fact to the Commission or State Gaming Agency;

(g) fails to prove, by clear and convincing

evidence, that he, she or it is qualified in accordance with the provisions

of this Section;

(h) is subject to current prosecution or pending

charges, or a conviction which is under appeal, for any of the offenses

included under subsection (d) of this Section; provided, that at the

request of any ~pplicant, the Coniniission may defer decision upon the

Application during the pendency of such prosecution or appeal;

(1) has had a gaming license issued by any state or

tribe in the United States revoked or denied;

(j) has demonstrated a willful disregard for

compliance with gaming regulatory authority in any jurisdiction, including

suspension, revocation, denial of an application or forfeiture of license;

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

occupational manner or context which is in violation of the applicable

26
criminal laws of any state or tribe 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 Activity on the Reservation;

(1) 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 Activities on the Reservation.

For the purposes of this paragraph, career offender shall be defined as any

person whose behavior is pursued in an occupational mariner or context for

the purposes of economic gain using such methods as are deemed criminal

violations of tribal law, federal law or the laws and the public policy of

this State. For the purposes of the paragraph, occupational manner or

context shall be defined as the systematic planning, administration,

management or execution of an activity for financial gain. A career

offender organization shall be defined as any group of persons who operate

together as career offenders;

(in) is a person whose prior activities, criminal

record, if any, reputation, habits and associations pose a threat to the

public interest of the Nation to the effective r~ulation and control of

Gaming Activities, or creates or enhances the dangers of unsuitable,

unfair or illegal practices, methods and activities in the conduct of

Gaming Activities, or the carrying on of the business and financial

arrangements incidental thereto;

27
(n) fails to keep sufficient books and records to

substantiate the reports required by this Caning Ordinance or falsifies

any books and records related to any Gaining Activity; or

(o) fails to provide any information requested by

the Connuission within fourteen (14) days of the request for the

information.

N. Notice. Suspension and Revocation of License

1. Proceedings to suspend or revoke a License shall be

initiated by the C~mnission by serving a complaint upon the Licensee. If,

in the Commissions judgment, the public interest; the effective

regulation and control of Gaming Activities; or the safe, fair, and honest

conduct of Gaming Activities so require, the Commission may suspend a

License immediately subject to the holding of a hearing as described

herein. Such an immediate suspension shall take effect upon service of the

complaint upon the Licensee.

2. Contents of Q~up1aint; Service The complaint shall

set forth the violations of this Gaming Ordinance which the Commission has

reasonable cause to believe the Licensee has conurtitted. The Coitnnission

shall cause the complaint and notice of hearing to be served personally

upon the Licensee or any agent of the Licensee, or to be sent by certified

mail or overnight delivery to the Licensee at the address shown upon the

License. The complaint shall notify the Licensee of the place and date of

a hearing, such date to be not less than twenty (20) days after the Licensee

receives a copy of the complaint.

3. Answer; Sul~*oenas Upon receipt of a complaint and

notice of hearing, the Licensee shall answer the complaint and shall inform

28
the Conunission whether the Licensee desires to present evidence. At the

request of the Licensee for good cause shown, or on its own motion, the

Commission may issue subpoenas for the attendance of withesses and for the

production of papers, books, records, and documents.

4. Hearirw~i; Written I~ision Without unreasonable

delay, the Commission shall hear the matter and make a decision in writing,

including findings of fact in support of its decision. The Commission

shall issue its decision within thirty (30) days of the hearing. The

Ccmunission shall infonu the Licensee in writing of its decision within

seven (7) days of its decision and, in the event of a suspension or

revocation of his or her License, of the effective date of the suspension

or revocation.

5. Surrender of License When the Commission suspends

or revokes a License, the Licensee shall surrender the License to the

Commission on or before the effective date of the suspension or revocation.

No License shall be valid as of the effective date of the suspension or

revocation, whether surrendered or not.

6. Additional Sanctions Upon its determination to

suspend or revoke a License, the Commission, in addition to any other

penalties that may be imposed, may declare the Licensee ineligible to

operate or conduct Gaming Activity, to participate, directly or

indirectly, in the operation or conduct of Gaming Activity, or to apply for

a License for a period not exceeding twenty-four (24) months. Such

declaration of ineligibility may be extended to include any Primary

Management Officials, Key E~ployees, Principals, owners, officers, or

29
directors of the Licensee, and any of its subsidiary organizations, parent

organizations, or affiliates.

Section 8. A~çeal to Tribal C~*irt.

A. Except as otherwise provided in the Gaming Ordinance, any

Licensee aggrieved by a decision or order of the Commission, within fifteen

(15) days after issuance of the order or decision by the Commission, may

appeal the decision or order in writing to the Tribal Court, and the Tribal

Court shall have jurisdiction to consider and resolve such appeal. A copy

of the appeal also must be sent simultaneously to the Executive Director.

B. In reaching its decision, the Tribal Court shall consider

only such evidence relating to the order from which appeal is taken as

appears in the records of the Commission and was available to the

Commission at the time of its decision.

C. The Tribal Court may affirm, reverse, vacate, or modify a

decision or order of the Commission; prgyided that the Tribal Court shall

affirm the order of the Commission unless such decision or order is

arbitrary, capricious, or otherwise in contravention of applicable law.

Sectioni 9. Financial Practices 1~IX1 Reporting.

A. ~nthly Reports On or before the tenth day of each month,

the Gaming Facility Operator and the Management Contractor, if any, shall

file with the Commission a certified financial report for the preceding

calendar month showing the amount of gross receipts derived from Gaming

Activities, the operating expenses incurred or paid, the specific

classifications of such expenses, the names and addresses of each Person

to whom has been paid Six Hundred Dollars ($600.00) or more in the

aggregate and the purposes of such payments, and the net revenues derived

30
from Gaming Activities. It is the duty of the Gaming Facility Operator and

the Management Contractor to maintain and keep such books and records as

may be necessary to substantiate the particulars of each report. If the

Gaming Facility Operator or the Management Contractor fails to file a

report within the time allowed, or if a report is not properly certified or

not fully, accurately, and truthfully completed, the License(s) of the

Gaming Facility Operator and/or the Management Contractor may be suspended

by the Conmiission until such time as the deficiency has been corrected.

B. Maintenance of Books and R~rds; C~umission Access Full

and accurate books of account shall be kept on the Reservation at the

places of business of the Gaming Facility Operator and the Management

Contractor, showing the condition of the business and all transactions

relating to Gaming Activities on the Reservation. The Con~artission and the

thainnan of the Nation shall have access to such books of account and shall

be entitled to examine them without notice at any time during ordinary

business hours or during Gaming Activities either in Person or by an agent.

All records of Gaming Activities in whatever medium shall be maintained for

five (5) years.

C. Allowable Operatirrz Expe.nses No item of expense shall be

incurred or paid in connection with operating or conducting any Gaming

Activity except a bona fide expense in a reasonable amount. Expenses may

be incurred only for the follc~ing purposes:

1. For the purchase of goods, wares, and merchandise

furnished;

2. For services rendered by the Management Contractor

(including repayment of development fees and construction costs, if any)

31
for maintenance or repairs of Gaming Devices and related equipment, and for

operating or conducting a Gaming Activities;

3. For rent, janitorial, and security services;

4. For legal and accounting fees;

5. For taxes and license fees;

6. For utilities;

7. For insurance; and

8. For prizes for winners of Gaming Activity.

D. Deposit of Gross Receipts; Payment of Operatinci Expenses

All gross receipts shall be deposited in a special account of the Gaming

Facility Operator which shall contain only gross receipts. All operating

expenses shall be withdrawn from such account by consecutively n~bered

checks duly signed by the Management Contractor or an official or officials

thereof designated by the Management Contractor, and the Gaming Facility

Operator or an official or officials thereof designated by the Gaming

Facility Operator, payable to a specific Person or organization. No check

shall be drawn to cash or a fictitious payee.

E. Annual Audj~ The Gaming Facility Operator and the

Management Contractor shall cause to be produced an annual outside

independent certified audit of all Gaming Activities and shall deliver the

same to the Tribal Council, the Commission, and the National Indian Gaming

Commission in accordance with all applicable regulations.

F. Aixilt of Contracts Any contract for supplies, services,

or merchandise in an amount greater than $25, 000 per year, except contracts

for professional legal or accounting services, which contract relates to

gaming activities, shall be subject to annual outside independent

32
certified audits on the order of the Tribal Council or the Coinmission at

the expense of the Gaming Facility Operator and/or the Management

Contractor.

G. Disposition of Net Revenues The net revenues derived

from Gaming Activities shall be deposited inth a separate fund of the

Nation on a quarterly basis and shall not be used for purposes other than:

1. To fund Nation governmental operations and programs;

2. To provide for the general welfare of the Nation and

its members; and

3. To promote tribal economic development.

H. C)~npliance with Internal Revenue Code The Management

Contractor shall maintain a pennanent record containing the name and

address of each player who receives a prize if and as required by and in

accordance with the Internal Revenue Code.

Section 10. Bino ~ Class III Games.

A. Bir~io The Commission may authorize the establishment

and conduct of a bingo operation at designated locations on the

Reservation, as well as any other Class II Gaming, such as pulltabs,

lotto, and tip jars.

B. Class III Ga~ Tribal-State Q~npact Reciufred Class III

Gaming may be conducted or operated on the Reservation only in confon~ance

with the Coir~act.

C. Enforcement 2~ction by the Ccxximission The Commission may,

based on reasonable grounds or on reliable complaint made, and after

written notice giving the Gaming Facility Operator and the Management

Contractor thirty (30) days to cure an alleged violation of this Gaming

33
Ordinance, the Compact, or rules of the Commission, seek such relief from

the Tribal Court as is authorized in this Gaming Ordinance, against the

Gaming Facility Operator, the Management Contractor, or their Principals,

Primary Management Officials, Key Employees, or employees having duties to

perform respecting the operation and conduct of Class II and/or class III

Gaming, as may be necessary in the judgment of the Commission for the

proper enforcement of this Gaming Ordinance.

D. Desiqnation of Officer In tharqe The Management

Contractor shall designate a Person to be the officer in charge of the

Gaming Facility at all times. The officer in charge shall be primarily

responsible for the operation and conduct of Class II or Class III Gaming

in the Gaming Facility. The officer in charge must have obtained a license

from the Commission at least ten (10) days prior to the occasion. The

officer in charge shall supervise all Gaming Activities and shall be

present on the premises continuously during the conduct of Gaming

Activities and for a period of at least one (1) hour after the last Bingo

Game or Class III Came of the occasion has been completed.

E. Premises Open to Cainuission Premises where any Class II

or Class III Gaining is being operated or conducted, or where it is intended

that Class II or Class III Gaming will be operated or conducted, shall at

all times be open to inspection by the Commission and its agents and

employees.

F. P~rdwx1ise Prizes When any merchandise is awarded as a

prize in a Class II or Class III Gaming, the value of such merchandise shall

be its current retail price. Merchandise awarded as a prize shall not be

redeemable or convertible into cash, directly or indirectly.

34
G. Usual Prices Equipment, prizes, and supplies for Gaming

Activities shall not be purchased or sold at prices in excess of the usual

price thereof.

H. T.imits on Prizes The size of the prizes offered or given

in Class II or Class III Gaming or on any occasion shall be subject to such

limits as may be established by regulations duly promulgated by the

Comnission or set in the Compact.

I. Employees; Prchibition against Employees Playiixi All

Persons who operate or conduct, or assist in operating or conducting Class

II or Class III Gaming shall be employees of the Gaming Facility Operator

or the Management Contractor and shall wear legible tags evidencing their

names and the legend of the Nation. No employee of the Gaming Facility

Operator or the Management Contractor may play any Class II or Class III

Gaming or win any prize or thing of value during his or her employment and

for ninety (90) days after termination of such employment.

J. Qualification for Employment; Testir~ Employees of the

Gaming Facility Operator and the Management Contractor shall be of good

moral character, shall not have been convicted of any felony or gaming

offense, and, as a condition of their contract of employment, shall agree

to any lawful means of testing for truthfulness, including but not limited

to polygraph testing, at any time and without prior notice, concerning the

handling, collection, and/or disbursement of gross receipts, and to any

lawful drug testing. No Person shall be employed by the Gaming Facility

Operator or the Management Contractor, whose prior activities, criminal

record if any, reputation, habits, or associations pose a threat to the

public interest or to the effective regulation and control of Gaming

35
Activities, or create or enhance the dangers of unsuitable, unfair, or

ill~al practices, methods, and activities in the operation or conduct of

Gaming Activities or the carrying on of the business and financial

arrangements incidental thereto.

K. Prefererxe in ~lovment Members of the Nation and their

spouses and children shall receive preference in employment and

advancement if they meet the qualifications for employment with the Gaming

Facility Operator and/or the Management Contractor.

L. r~rsonnel Policies The Gaming Facility Operator and the

Management Contractor shall adopt written personnel policies that shall be

provided to each employee; these shall provide an infonnal grievance

procedure and shall provide for an employee s right to receive a written

statement of reasons for dismissal in the event such employee is dismissed.

M. Hfrmnc~ and Praining of E~ployees The Gaming Facility

Operator and the Management Contractor shall provide sufficient and timely

training to all employees. The Gaming Facility Operator and Management

Contractor shall train all employees who are Enrolled Tribal Members and

their spouses and children pursuant to written training prograiw~

containing specified time lines to allow such e~loyees to acquire the

experience and skills necessary to become managers and supervisors in

Gaming Activities.

N. Expenses of Traininq Employees The expense of

providing training to Enrolled Tribal Members, and to their spouses arid

children, shall be an operating expense of the Gaming Facility Operator

and/or the Management Contractor.

36
I

Sectic2~1 11. Enforo~nt; Jurisdicti~ Sul:çoenas.

A. Civil Remedies Except as otherwise provided in this

Gaming Ordinance, any Person authorized th enforce this Gaming Ordinance,

may bring a civil action in the Tribal Court against any Person who

violates this Gaming Ordinance or engages in an activity or activities

prohibited herein and recover monetary damages, attorney fees, injunctive

relief, and/or any other relief that is just and equitable under the

circumstances from the Tribal Court. The Tribal Court may order a Person

who comrunits an intentional or wilful violation to pay punitive damages,

which shall be assessed in an amount not to exceed three (3) times the

actual damages, or one thousand dollars ($1,000.00), whichever is greater.

The Tribal Court may order a civil penalty not to exceed five thousand

dollars ($5,000.00) for each day that a violation occurs and for each

separate violation. For good and sufficient cause found, the Tribal Court

may exclude from the Reservation any Person who engages in an activity or

activities in violation of this Gaming Ordinance to the extent such

exclusion is not inconsistent with the laws of the Nation. Any Person who

violates this Gaining Ordinance, or whose employees or agents in the course

of their employment or agency violate this Gaming Ordinance, may have thz~

right to engage in business on the Reservation suspended or terminated.

Nothing in this Gaming Ordinance shall be construed to authorize or require

the exercise of criminal jurisdiction over non-Indians except to the

extent allowed by any applicable present or future Act of Congress or any

applicable federal court decision.

B. Tribal C~itt Jurisdiction Except as otherwise provided

in this Gaining Ordinance, the Tribal Court shall have exclusive

37
jurisdiction over all matters concerning the administration and

enforcement of this Gaming Ordinance; provided however, that nothing in

this Gaming Ordinance is intended nor shall it be interpreted to preclude

prosecution in federal court pursuant to the Indian Gaming Regulatory Act,

as may be amended from time to time, or any regulations promulgated

thereunder, or any other applicable federal or tribal law.

C. Enforc~nt of (Y~mm1ission Subpoenas If a Person

subpoenaed by the Commission to attend or to produce books, accounts,

records, or other documents in any investigation or hearing conducted by

the Commission fails to obey the command of the subpoena without reasonable

cause, or if a Person in attendance at any hearing or investigation refuses

without lawful cause to be examined, to answer a legal and peitinent

question, or to exhibit any book, account, record, or other document when

ordered to do so by the representative of the Commission conducting such

investigation or hearing, the Commission may apply to the Tribal Court for

an order returnable in not less than five (5) nor more than ten (10) days

directing the Person to show cause why he or she should not comply with such

subpoena or order. The Tribal Court may execute that authority necessary

to enforce its and the Commissions orders consistent with applicable iaw~

For purposes of this Gaming Ordinance, no Person shall be excused from

testifying or producing any books, accounts, records, or other documents

in any investigation or hearing on the ground that such testimony or

documentary evidence may tend to incriminate him or her, if the Commission

or the Tribal Court agree in writing that such Person shall not be

prosecuted, punished, or subjected to any penalty or forfeiture resulting

from such testimony or production, provided that no Person shall be exempt

38
1

from prosecution or punishment for any act of perjuxy committed by him or

her under a grant of iimnunity under this Subsection.

Section 12. Severability In the event that any provision in this

Agreement shall be held invalid or unenforceable by a court of competent

jurisdiction, such holding shall not invalidate or render unenforceable

any other provision of this Agreement.

Section 13. Effective I~te

This Gaming Ordinance shall be effective as of July 2.6Th,

1993.

cacr11?1CM]C~

I, the undersigned, duly elected Chairman of the Yavapai-Natiori do

hereby certify that the foregoing Gaming Ordinance was duly adopted by a

quorum of 8 members of the Yavapai-lpache Tribal Council by a vote of

8 for and 0 against, with p abstaining, at a duly called meeting of

the Tribal Council on the 26th day ~iy , 1993.

YAVAPAIAPACI-IE NATION

By ~~L.J~ ~

Theodore Smith, Sr., Chairman

39
~~oiiirici~ ~). 93 35

OF DiE GOV~D~ BODY OF DIE

YAvAPAI-APAaIE NA~I(1i

WHEREAS the Yavapai-Apache Nation is a tribal organization as defined

under the Indian Reorganization Act of June 18, 1934 as amended, and a

sovereign Indian tribal government, recognized as such by the Secretary of

the Interior of the United States of America (the Secretary) and having

a Constitution approved by the Secretary; and

WHEREAS, pursuant to the Indian Gaming Regulatory Act (IGRA), 25

U. S.C. § § 2701 et seq. the Nation has entered into a Gaming Compact

(Compact) with the State of Arizona, which Compact defines the respective

obligations and responsibilities of the Nation and the state with respect

to Class III gaming activity on the Reservation; and

WHEREAS the IGRA and Compact require the Nation to enact a gaming

ordinance to regulate the gaming activity on the Reservation and to ensure

that such activity complies with all applicable laws; and

WHEREAS the Tribal Council has reviewed the attached Gaming Ordinance

of the Yavapai-~pache Nation (Gaming Ordinance) and finds that it is

equitable and comprehensive and that it complies with all applicable laws;

}~, ~~ IT RF~OLV~2) that the attached Gaming Ordinance is

hereby approved and adopted as the law of the Nation, and that its

provisions go into effect as soon as the Gaming Ordinance is approved by the

National Indian Gaming Commission.

CERIIFICATION

I, the undersigned, hereby certify that at a duly called meeting of

the YavapaiApache Tribal Council on July 26, 1993 , the Tribal Council

voted to adopt this Resolution by an affinnative vote of a quoniln of Tribal

Council Members.

Theodore Smith, Sr., Chamnnan

Yavapai-Apache Nation

ATIEST:

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