VIA FACSIMILE AND 

FIRST CLASS MAIL 

December 16,201 1 

Mr. Ernie Jones, Jr., President 

Yavapai-Prescott Indian Tribe 

530 E. Merritt 

Prescott, Arizona 

Fax: (928) 778-9445 

RE: Gaming Ordinance amendment, approval 

Dear President Jones: 

This letter responds to your request for the National Indian Gaming Commission to 

review and approve an amended tribal gaming ordinance for the Yavapai-Prescott Indian Tribe 

(Tribe). 

The Tribe's Law and Order Code Chapter 24-Regulation of Gaming (Gaming Code) was 

authorized by Resolution No. 11-100 on December 2,201 1. The amended Gaming Code 

includes the following revisions: 

Establishes term limits and amends qualifications for members of the Yavapai 

Gaming Commission; 

Allows the Tribe to withhold per capita payments for payment of Tribal Member 

Obligations; and 

Updates the Privacy Act and false statement notices language and the definition 

of Gaming Facility to be consistent with NIGC regulations. 

Thank you for bringing these amendments to our attention and for providing us a copy of 

the updated ordinance. The ordinance is approved as it is consistent with the requirements of the 

Indian Gaming Regulatory Act and the NIGC's regulations. If you have any questions, please 

feel free to contact Staff Attorney Heather McMillan Nakai at (202) 632-7003. 

Sincerely, 

Tracie L. Stevens 

Chairwoman 

cc: Luis A. Ochoa, Attorney for Yavapai-Prescott 

NATlONnL HEADQUARTERS 1441 L St. NW, Suite 9100, Washington. DC 20005 Tel: 202.632 7003 Fax: 202632,7066 WWW.NIGC.GOV 

REGIONAL oFFlc~s Portland. OR; Sacramento, CA; Phoenix. AZ; St. Paul. MN:Tura. OK 
Dc;" 

RESOLUTION NO. 11-100 '9 

OF THE GOVERNING BODY OF THE <$. 

// 

YAVAPAI-PRESCOTT INDIAN TRIBE 

WHEREAS, the Yavapai-Prescott Indian Tribe is a federally recognized Indian Tribe within 

the State of Arizona; and, 

WHEREAS, the Yavapai-Prescott Indim Trihe Board of Directors is the governing body of the 

Yavapai-Prescott Indian Tribe, in accordance with the Tribal Articles of 

Association; and, 

WHEREAS, the Yavapai- Prescott Indian Tribe Board of Directors is responsible for all 

matters that concern the welfare of the Tribe; and, 

WHEREAS, the Yavapai-Prescott Indian Tribe Board of Directors recognizes the need to 

update Chapter 24, Regulation of Gaming, of the Tribe's Law and Order Code 

(Gaming Ordinance) through .c~';isions of certain sections thereof, in the form 

attached hereto as Exhibit A and incorporated herein by reference, for the purpose 

of complying with the requirements of 25 C.F.R. part 522, and the Tribal-State 

Gaming Compact of 2003 and to submit an updated and revised Gaming 

Ordinance to the NlGC for approval; and, 

WHEREAS, the Tribe's Board of Directors has reviewed the proposed amendments to Chapter 

24, Regulation of Gaming, of the Yavapai-Prescott Indian Tribe's Law and Order 

Code in the form attached hereto. 

NOW THEREFORE BE IT RESOLVED THAT the Yavapai-Prescott Indian Tribe Board of 

Directors hereby approves the proposed amendments to Chapter 24, Regulation of 

Gaming, of the Yavapai-Prescott lndian Tribe's Law and Order Code in the form 

attached hereto as Exhibit A. 

BE IT FURTHER RESOLVED THAT the Yavapai-Prescott Indian Tribe Board of Directors 

approves revisions to Sectiori 22.2 A and 24.4 D of the Tribal Law and Order 

Code. These revisions are effective December 2,201 1. 

CERTIFICATION 

I, the undersigned, as President of the Board of Directors for the Yavapai-Prescott Indian Tribe, 

hereby certify that the Board is composed of five (5) members, of whom four (4) members, 

constituting a quorum, were polled this 2nd day of December, 2011 and that the foregoing 

Resolutiori was adopted by a vote of 4 for, 0 against, under the authority of the Articles of 

Association, Article I, Section l(b). 
Resol. No. 1 1-100 

Page Two 

PRESXDE~T, BOARD OF DIRECTORS 

YAVAPAI-PRESCOTT INDIAN TRIBE 

ATTEST: 

~&eb-e-cxw-., LhSECRETAKYITREASURER, 

BOARD OF DIRECTORS LUIS A. OCHOA 

YAVAPAI-PRESCOTT INDIAN TRIBE ATTORNEY 

The foregoing Chapter 24, Regulation of Gaming, of the Tribe's Law and Order Code is 

approved by the National Indian Gaming Commission. 

Name: 

Its: 
(December 201 1 amended version) 

YAVAPAI-PRESCOTT INDIAN TRIBE LAW AND ORDER CODE 

CHAPTER 24 

REGULATION OF GAMING 

24.1 Short Title, Interpretation, Findings and Statement of Purposes. 

A. Short Title. This Chapter may be cited as the Regulation of Gaming Chapter of the 

Yavapai-Prescott Indian Tribe's Law and Order Code. 

B. -retation. This Chapter shall be deemed an exercise of the sovereign power of 

the Tribe and the provisions of this Chapter are established for the accomplishment of 

the purposes stated below. 

C. Findings. The Board of Directors of the Tribe hereby finds: 

1. that the orderly and honest conduct of gaming activities within the Tribe 

has been and will continue to be of vital importance to the economy of the 

Tribe, and to the general welfare of its members; 

2. that the continued growth and success of gaming within the Tribe are 

dependent upon public confidence and trust that such activities are 

conducted honestly and that they are free from criminal and corn~pt 

elements, and that the f~cilities in which such activities are conducted are 

designed and maintained to assure the safety and comfort of patrons of the 

gaining activities; 

3. that such public confidence and trust can only be maintained by the 

comprehensive regulation of all people, practices, and activities related to 

the operation of the Tribe's gaming facilities; and 

4. all of the Tribe's establishments where gaming is conducted, and all people 

holding positions of responsibility with respect to any such activity, must 

therefore be licensed, and their activities monitored, to assure that the 

public health, safety, and general welfare of the inhabitants of the Tribe 

and the patrons of its gaining facilities are fully protected, and so as to 

assure the economic success of gaming activities within the Tribe. 

D. Purposes. This Chapter therefore is enacted, and shall be interpreted, so as to 

acconlplish the following Tribal purposes: 

1. the maintenance of the highest standards of honesty and integrity in the 

operation and regulation of any and all gaming activities within the Tribe; 

2. the maintenance of public confidence and trust in the honesty and integrity 

of such gaming and regulatoly activities, and in the people engaged in 

such activities; 
3. the maximum reasonable economic retwn to the Tribe as the owner of 

gaming facilities within the Tribe consistent with the fair and reasonable 

expectations of patrons cf' such activities and the assurance of their safety 

and comfort in participating in gaming activities; 

4. compliance with all applicable laws of the Tribe and the United States of 

America pertaining to gaming, including but not limited to the Indian 

Gaming Regulatory Act of 1988, P.L. 100-497,25 U.S.C. Section 2701, gt 

a., as amended (the "Act"), and the regulations promulgated by the 

National Indian Gaming Commission; and 

5. to govern and regulate the operation, conduct and playing of (1) "Class I1 

Gaming," as defined in the Act, and the regulations promulgated by the 

National Indian Gaming Commission, including games of Bingo, and (2) 

"Class I11 Gaming," as defined by the Act and the regulations promulgated 

by the National Indian Gaming Commission, and as authorized by and 

pursuant to the provisions of a Tribal-State Gaming Compact entered into 

between the Tribe and the State of Arizona under the provisions of the 

Act., so that revenue may be produced for the support of Tribal 

government programs which promote economic development and the 

health, education and welfare of the Tribe and its members. 

24.2 Definitions. 

A. Definitions. For purposes of this Chapter: 

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

U.S.C. $5 2701 - 2721 and 18 U.S.C. $5 1166 - 1168, and all regulations 

promulgated pursuant thereto. 

2. "Chapter" means this Chapter for the Regulation of Gaming Activities 

within the Yavapai-Prescott Indian Tribe which governs the conduct of 

Gaming Activities mithin the Yavapai-Prescott Indian Tribe, all 

amendments hereto, and all regulations promulgated hereunder. 

3. "Class I Gaming" means all forms of gaming defined as Class I in section 

4(6) of the Act, 25 U.S.C. 3 2703(6). 

4. "Class I1 Gaming" means all forms of gaming defined as Class I1 in section 

4(7) of the Act, 25 U.S.C. 5 2703(7). 

5. "Class I11 Gaming" means all forms of gaming as defined in section 4(8) of 

the Act, 25 U.S.C. 5 2703(8). 

6. "Compact" means the Tribal-State Compact entered into between the 

Yavapai-Prescott Indian Tribe and the State of Arizona pursuant to section 

11 (d) of the Act, 25 U.S.C. 5 2710(d). 
7. "Distributor" ineans a Persoil who distributes Gaming Devices andlor 

material component parts of Gaming Devices. 

8. "Gan~e" means any scheme for the play of Class I1 or Class I11 Gaming 

other than a Gaming Device. 

9. "Gaming Activities" means any forms of Class I1 and Class I11 Gaming 

conducted within the territorial jurisdiction of the Tribe pursuant to and in 

compliance with the Act and the Compact. 

10. "Gaming Device" or "Electronic Game of Chance" means a mechanical 

device, an electro-mechanical device or a device controlled by an 

electronic microprocessor or another manner, whether that device 

constitutes Class I1 Gaming or Class I11 Gaming, that allows a player or 

players to play games of chance, whether or not the outcome also is 

affected in some part by skill, and whether the device accepts coins, 

tokens, bills, coupons ticket vouchers, pull tabs, smart cards, electronic inhouse accounting system credits or some sinlilar forms of consideration 

and, through the application of chance, allows a player to become entitled 

to a prize, which may be collected through the dispensing of coins, tokens, 

bills, coupons, ticket vouchers, smart cards, electronic in-house accounting 

system credits or other similar forms of value. Gaming Device does not 

include any of the following: 

a. Those technological aids for Bingo games that function as 

electronic substitutes for bingo cards. 

b. Devices that issue and validate paper lottery products and that are 

directly operated by Arizona State Lottery licensed retailers and 

their employees. 

c. Devices that are operated directly by a lottery player and that 

dispense paper lottery tickets, if the devices do not identify 

winning or losing lottery tickets, display lottery winnings or 

disburse lottery winnings. 

d. Devices that are operated directly by a lottery player and that 

validate paper lottery tickets for a game that does not have a 

predetermined numhrr of winning tickets, if: 

i. The devices do not allow interactive gaming: 

ii. The devices do not allow a lottery player to play the lottery 

for immediate payment or reward: 

iii. The devices do not disburse lottery winnings: and 

iv. The devices are not Video Lottery Terminals, as defined in 

the Compact. 
"Gaming Employee" means any individual employed as a Primary 

Management Official or Key Employee of a Gaming Operation of the 

Tribe and any individual employed in the operation or management of a 

Gaming Operation, including, but not limited to, any individual whose 

employment duties require or authorize access to restricted areas of a 

Gaming Facility not otherwise open to the public. 

. . "Gaming Facility" means each place, facility, or location&dA&gwx 

s&m&ws on Indian lands of the Tribe where the Tribe elects andlor 

miftwkidt Gaming Activities tow? conducted. 

"Gaming Facility Operator" means the Tribal Enterprise owned, operated 

or designated by the Tribe as having the authority and responsibility for 

conducting Ganling Activities within the Tribe. 

"Gaming Operation" means any Gaming Activities conducted within a 

Gaming Facility. 

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

for legal services, to the Gaming Facility Operator in co~mection with the 

operation of Class I1 or Class 111 gaming in a Gaming Facility, including, 

but not limited to, equipment, transportation, food, linens, janitorial 

supplies, maintenance, or security services for the Ganling Facility, in an 

amount in excess of $10,000 in any single month. 

"Indian Lands" means land as defined in 25 U.S.C. 5 2703(4)(A) and (B), 

subject to the provisions of 25 U.S.C. 2719. 

"Internal Control System" or "ICS" means the Gaming Facility Operator's 

written internal control system required under Section 24,15(E)(2) of this 

Chapter and Section 11 nf the Compact under which each Gaming Facility 

is operated and that complies with and implements the minimum internal 

control standards established by the Yavapai Gaming Commission 

pursuant to Section 24.4(F)(26) of this Chapter. 

"Key Employee" means: 

a. A Gaming Employee who performs one or more of the following 

functions: (I) Bingo. caller; (2) Counting room supervisor; (32) 

Chief of security; (43) Custodian of gaming supplies or cash; (54) 

Floor manager;.'.@) Pit boss: (7) Dealer; (8) Crouuier; (9 

Amrover of iridit; or (10) Custodian ~f Gaming Device: 

including perso6s:.%ith access to cash and accounting records 

within such devices; '~. " 
b. Any individual employed by the Gaming Facility Operator whose 

total cash compensation from his or her employment by the 

Gaming Facility Operator exceeds $50,000 per year; and 

c. The four most highly compensated employees of the Gaming 

Facility Operator. 

"Management Contract" means a mmanageinent contract within the meaning 

of 25 U.S.C. $5 27 10(d)(9) and 2711. 

"Management Contractor" means a Person who has entered into a 

Management Contract with the Gaming Facility Operator which has been 

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

"Manufacturer" means a Person that manufactures Gaming Devices andlor 

material component parts of Gaming Devices. 

"MICS" means the minimum internal control standards established by the 

Yavapai Gaming Commission pursuant to Section 11 of the Compact and 

Section 24.4(f)(xxvi) of this Chapter. 

"NIGC" means the Natiorial Indian Gaming Commission established 

pursuant to 25 U.S.C. 5 2704. 

"Net Revenue" means .the gross gaming revenues of the Gaming Facility 

Operator less amounts paid out as, or paid for, prizes and total operating 

expenses, excluding management fees. 

"Person" includes Gaming Employees, nat~~ral persons, as well as 

corporations, limited liability companies, partnerships, and other 

unincorporated associations, societies, or firms. 

"Primary Management Official" means: (1) the individual having 

management responsibility for a Management Contract; (2) any individual 

who has authority to hire and fire employees or to set up working policy 

for a Gaming Operation; and (3) the chief financial officer or other 

individual who has financial management responsibility for a Gaming 

Operation. 

"PrincipaY' means with respect to any entity: 

a. Each of its officers and directors; 

b. Each of its principal management employees, including its chief 

executive officer, its chief financial officer, its chief operating 

oi'licer, and its general manager; 

c. Each of its owners or partners, if an unincorporated business; 
d. Each of its shareholders who own inore than ten (10) percent of the 

shares of the corporation, if a corporation; 

e. Each Person other than a banking institution who has provided 

financing for the entity coilstitutiilg more than ten (10) percent of 

the total financing of the entity; and 

f. Each of the beneficiaries and trustees of a trust. 

"Privacy Act" means the Privacy Act of 1974, as amended (P.L. 93-579, as 

amended; 5 U.S.C. 9: 552a), and the obligations and responsibilities placed 

on the United States government under the Privacy Act as applied to the 

NIGC pursuant to the Act. 

"Restricted Area" for purposes of the Compact and this Chapter means 

cashiers cages, count rooms, vault and any other area specifically 

designated as such by the Yavapai Gaming Commission pursuant to Rules 

promulgated by the Yavapai Gaming Commission under this Chapter. 

"Rule(s)" means the rules or regulations promulgated or adopted by (1) the 

NIGC; and/or (2) the Yavapai Gaming Commission pursuant to this 

Chapter, so loilg as the Rules of the YGC are consistent with the Act, the 

Compact and this Chapter. 

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

representatives. 

"Tribal Enterprise" means a wholly-owned enterprise of the Tribe 

authorized under the Tribe's Articles of Association, designated by the 

Tribe's Board of Director's to be the Gaming Facility Operator. 

"Tribal Gaming Regulatory License" or "License" means a license issued 

pursuant to this Chapter by the Yavapai Gaming Office and a "Licensee" 

means any natural person or entity who has been licensed by the Yavapai 

Gaming Office to be involved or employed in the Gaming Operation, any 

Management Contractor, Gaming Financier, Manufacturer, Distributor or 

supplier of Gaming Services to the Tribe or to its Gaming Operation, as 

such terms are defined in the Compact, and any other Applicant for State 

Certification as required by the Arizona Department of Gaining or the 

Compact. 

"Tribe" ineans the federally recognized Yavapai-Prescott Indian Tribe of 

Yavapai County, Arizona. 

"Yavapai Gaming Commission" or "YGC" ineans the agency or 

cominission designated by legislative action of the Yavapai-Prescott 

Indian Tribe as the Tribal entity which shall exercise the civil regulatory 

authority of the Tribe over and responsibility for oversight of Gaining 

Activities by the Tribe or on Indian Lands ofthe Tribe. 
Some words or phrases in this Chapter with initial capital letters are defined in the 

Compact. Unless otherwise defined herein, the terms in this Chapter shall have the same 

meaning as in the Compact, which definitions are incorporated herein by this reference. 

24.3 Tribal Ownership and Use of Net Revenues. 

A. Tribal Ownership of Gaming Activities. All Gaming Activities within the Tribe shall 

be owned entirely by the Tribe and conducted and operated by the Gaming Facility 

Operator. 

B. Use of Net Revenues. The net revenues received by the Tribe from all Gaming 

Activities shall be used exclusively for one or more of the following purposes: 

1. to fund goverrnnent operations or programs of the Tribe; 

2. to provide for the general welfare of the Tribe and its members; 

3, to promote the Tribe's econolriic development; 

4, to benefit charitable organizations providing services within the Tribe or to 

donate to charitable organizations; 

5. to make per capita payments to en~olled members of the Tribe, subject to 

compliance with all applicable laws of the United States and the Tribe and 

Section 24.3(C) below. 

C. Authority to Withhold Per Cavit~~Pavments for Paynlent of Tribal Member 

Obligations. The Tribe shall have the express authority to withhold any tribal 

member's per capita payments and to pay such amounts to the Tribe for its ow11 

account in order to repay the Tribe for any tribal funds levied or seized from the Tribe 

by a government agency (enforcing federal law) for the payment of a debt or other 

legal obligation of a tribal inember until such time as the entire balance of the levied 

or seized tribal funds is paid or otherwise satisfied in full from such tribal member's 

per capita payment distributions. 

24.4 Yavapai Gaming Commission and Yavapai Gaming Office. 

A. Establishment of the Tribe's Gaming Commission. There is hereby established the 

Yavapai Gaming Commission (hereinafter "YGC"), as the Tribal entity which shall 

have and exercise the civil regulatory authority of the Tribe over Gaming Activities 

conducted within the exterior boundaries of Tribe or on Indian lands of the Tribe as 

specifically provided in this Chapter. The YGC is an autonomous governmental 

entity of the Tribe wholly indepellcicnt from the Tribe's Board of Directors and the 

Gaming Operation, subject only to the preeminent legislative authority of the Tribe's 

Board of Directors. The YGC shall be deemed a law enforcement agency for 

purposes of accessing criminal history information. 

B. Commission Structure. The YGC shall be administered and supervised by a Board of 

Commissioners consisting of not less than three (3) nor more than five (5) 
Commissioners. The Board of Directors of the Tribe shall have the sole authority to 

determine the conlposition and exact number of Com~nissioners of the YGC from 

time to time and shall appoint an gxecutive Director of the YGC who shall have 

overall responsibility for the administrative and regulatory functions of the YGC. All 

members of the Commission, with the exception of the Executive Director, shall be 

members of the Tribe. Vacancies in the Co~nmission shall be filled by appointment 

by the Tribe's Board of Directors, and Commissioners may be appointed to successive 

terms. Each Commissioner's tern1 shall be for a period of three (3) years from the 

date of appointment by the Tribe's Board of Directors. Members of the YGC shall 

continue serving after expiration of their term of office until a successor has been 

appointed. At least one (1) of the Commissioners shall possess strong managerial 

experience in Gaming Operations, the regulation of Gaming Activities or Gaming 

Operation audits and financial controls. 

C. Commissioner Qualification. All Commissioners must be over the age of twenty-one 

(21), must be persons of the utmost honesty and integrity, must never have been 

convicted of a felony involving theft, embezzlement or a crime involving moral 

turpitude, and must be persons whose prior activities, reputation, habits and 

associations shall not in any way jeopardize the effective regulation of Gaming 

Activities or the Tribe's and public's trust, confidence or interest. Compensation of 

the Commissioners shall be established by the Tribe's Board of Directors. 

Commissioners may be removed for neglect of duty, malfeasance in office, or for 

other good cause shown, after a plenary hearing, duly noticed and conducted. No 

Commissioner may be affiliated with or employed by the Gaming Operation in any 

capacity, and no Commissioner shall gamble in any Gaming Facility or assume any 

personal financial interest in any gambling by any Patron of the Gaming Facility. 

Unless otherwise specifically provided in this Chapter, a majority vote of the YGC 

shall be deemed sufficient to effectuate 'any decision or action which this Chapter 

authorizes the YGC to make. In addition, unless otherwise provided in this Chapter, 

a decision or action by the YGC shall be final and not subject to review by any court 

or judicial forum. 

D. Executive Director of the YGC. The Executive Director of the YGC shall have 

overall responsibility of the day-to-day administrative functions of the YGC and 

regulation of Gaming Activities on behalf of the YGC. The Executive Director of the 

YGC shall serve at the pleasure of the Board. The appointment shall be subject to 

approval by a majority vote of the Board of Directors. The job performance of the 

Executive Director shall be reviewed periodically by the Tribe's Board of Directors 

who shall submit a written report of each such review to the Tribe's Human Resources 

Department. The Executive Director shall provide regular YGC reportstupdates to 

the Tribe's President andlor Board of Directors. The Executive Director may be 

removed by the Tribe for neglect of duty, malfeasance in office, or for other good 

cause shown, after a plenary hearing, duly noticed and conducted. The Executive 

Director shall have the power, in the name of the YGC, to conduct any hearing, 

investigation or inquiry, to compel the production of any information or documents, 

issue violation notices, and otherwise to exercise all investigatory and regulatory 

powers of the YGC under this Chapter. The Executive Director shall be responsible 

for the coordination of the functions of the YGC with the Arizona Department of 
Gaining and other federal, state and local agencies as necessary. The Executive 

Director of the YGC shall be the agent of the Tribe for service by the NIGC of any 

&cia1 determination, osdcr or notice of violation under 25 C.F.R. 519.1. The YGC 

may direct the Executive Director to conduct a preliminary investigation and to render 

a recommendation to the YGC with respect to the grant, denial or revocation of any 

tribal gaming license, the imposition of any penalty, the investigation of any 

complaint, alleged Compact violation or any other action within the jurisdiction of the 

YGC under this Chapter. 

E. Additional Staff. The YGC may employ additional staff as deemed necessary by the 

YGC in order to carry out the civil regulatory obligations of the YGC. 

F. Powers and Duties of the YGC. The YGC shall have the following powers and 

duties: 

1. to have and to exercise primary responsibility for the day-to-day regulation 

of all Gaming Activities on Indian Lands of the Tribe in order to ensure 

the integrity thereof; 

2, to investigate any aspect of the Tribe's Gaming Operation and Gaming 

facility Operator in order to protect the public interest in the integrity of 

Gaining Activities and to prevent improper or unlawful conduct. The 

YGC may investigate any report of a failure of any Gaming Operation to 

comply with the provisions of the Act, the Compact, this Chapter and the 

Rules; 

3, to carry out each of the responsibilities and duties set forth for the "Tribal 

Gaming Office" in the Compact; 

4. to issue, limit, condition, restrict, renew, suspend andfor revoke Tribal 

Gaining Regulatory Licenses in accordance with this Chapter. 

5. to issue forms for Tribal Gaming Regulatory License applications, perform 

background investigations of license applications, withhold licenses 

pending investigations, approve or deny applications and issue or require 

the issuance of employer identification cards and Tribal Gaming 

Regulatory Licenses; 

6. require each Managemeut Contractor or the Gaming Facility Operator to 

prepare a plan for the protection of public safety and the physical security 

of Patrons of Gan~ing Facilities, setting forth the respective responsibilities 

of the YGC, the security departments of the Gaming Operations, any 

Tribal police agency and, if appropriate, any State or local police agency. 

Such plan, and any subsequent modifications thereof, shall be reviewed 

and adopted by the YGCditl~ such modifications as the YGC shall deem 

proper; . . '. . . 

7. to operate the surveillance Systems for each Gaming Facility, review and 

approve surveillance coverage lor each Gaming Facility and, if nceded or 
required, confer with Ll~e Arizona Department of Gaming or other 

organizations regarding the adequacy of such surveillance; 

receive informal notice of changes to the casino floor layout by the casino 

manager or Gaming Facility Operator; 

promulgate, review, revise as necessary, and adopt R~~les to govern the 

integrity of the Gaming Operation so long as such rules are consistent with 

the Act, the Compact, this Chapter; andlor NIGC Rules; 

establish a list of Persons permanently barred from the Gaming Facilities 

because of their criminal history or association with organized crime or 

any member of organized crime or any Person who poses a threat to the 

integrity of Gaming Activities. The YGC shall employ its best efforts to 

exclude persons on such list from entry into the Gaming Facilities. The 

YGC shall send a copy of its list on a monthly basis to the Arizona 

Department of Gaming and the Gaming Facility Operator, along with 

detailed infor~nation regarding why the person has been barred and the 

barred persons photograph, driver's license information, andlor 

fingerprints, to the extent such items are in the possession of the YGC. 

The YGC, Management Contractor, and/or Gaming Facility Operator, 

acting independently or jointly, are authorized to refuse service, access, 

and entry to the Gaming Facility to individuals whose conduct is contrary 

to the public interest and whose presence may be injurious to the peace, 

health, or welfare of the Patrons or employees of the Gaming Facility; 

review and approve the Technical Standards and rules or each Game, 

Gaming Device or Gaming Activities operated by any Gaming Operation, 

and ensure that such Game and Gaming Devices conform to the Technical 

Standards and Rules, and shall, in accordance with the Compact, propose 

to the Arizona Deparl~nent of Gamiiig any changes to such Technical 

Standards and Rules as tht: YGC deems appropriate; 

issue any notice(s) and/or impose civil penalties for violations of the Act, 

the Compact, this Chapter, and/or the Rules, in accordance with this 

Chapter; 

subject to approval and authorization by the Tribe's Board of directors, 

initiatc civil actions in the name of the Tribe, in the courts of the Tribe, thc 

State or the United States to enforce or enjoin violations or the provisions 

of the Act, the Compact, this Chapter andlor the Rules; 

receive any cornplainf froin any person, including the public or any 

employee of any Gaming Operation, who is or who claims to be adversely 

affected by any act or omission of a Gaming Operation or any employee 

thereof, and which is asseried or alleged to violate the Act, the Compact, 

this Chapter or the Rules. Within three (3) days of receiving such a 

complaint, the YGC shall give the Gaming Operation notice and 

-10- 
opportunity to provide written comment. The YGC, in making its 

decision, shall review and give due consideration to both the complaint 

and the written comments of the Gaming Operation. After its review, the 

YGC, in its sole discretion, may conduct a hearing and receive additional 

evidence regarding the issues identified in the complaint. Subsequent to 

its review, the YGC may impose such remedial action as it deems 

appropriate to bring the Gaming Operation into compliance with the 

subject provision. The Gaming Operation shall have all protections and 

rights provided to it in Section 24.14 of this Chapter; 

16. adopt an annual operating budget which shall be subject to the approval of 

the Tribe's Board of Directors. The expenses of the YGC shall be assessed 

against the Gaming Operations, and the Gaming Operations shall pay such 

assessments to the Tribe. 

17. employ such staff from time to time as it deems necessary to fulfill its 

responsibilities under the Act, the Conipact, this Chapter and/or the Rules, 

including investigative services, to assist it with respect to any of the 

issues over which the YGC exercises jurisdiction. The YGC, consistent 

with prevailing laws of the Tribe, shall establish its own Bylaws, 

personnel policies and procedures. The YGC's personnel policies and 

procedures shall be consistent wherever possible with the general 

personnel policies and procedures of the Tribe. The YGC shall confer 

with Tribe's Personnel Manager for the sole purpose of ensuring 

compliance with applicable laws governing personnel matters of the YGC; 

18. to compel upon reasonable notice any Tribal Gaming Regulatory License 

licensee, any Person employed by a Gaming Operation and any Person 

doing business with a Gaming Operation to appear before it and to provide 

such information, documents or other materials as may be in their 

possession to assist in an investigation conducted by the YGC; 

19. to issue subpoenas and to compel the attendance of witnesses at any place 

within the Tribal lands, to administer oaths and to require testimony under 

oath; 

20. adopt a schedule of fees, if any, and charges for the issuance of Tribal 

Gaming Regulatory Licenses, including application fees and annual 

renewal fees, as shall be determined established by the Tribe's Board of 

Directors. In addition, the YGC may impose such fees on Tribal Gaining 

Regulatory License liccnsces as are reasonably related to the making of 

background investigations and the costs of enforcement of this Chapter 

and of the licenses issued hereunder; 

21. require each Distributor and each Manufacturer to verify under oath, on 

forms prescribed by the YGC, that the Gaming Devices distributed or 

manufactured by them for use at any Gaming Facility comply with the 

Technical Standards and all requirements of the Act, the Compact, this 
Chapter and/or the Rules. The YGC may require the testing of any 

Gaming Device, at the expense of the Distributor or Man~~facturer thereof, 

to ensure such compliance. 

22. for the purpose of enforcing the Act, the Compact, this Chapter and/or the 

Rules, the YGC may enter at any time any Gaming Facility within the 

Indian Lands of the Tribe to inspect the Gaming Facility, its employees 

and operations, its equipment and supplies, its business records and books 

of account or any other financial records or documents pertaining to the 

business operations of the Gaming Facility, and to make summaries or 

photocopies of any such documents or other records as the YGC deems 

useful or necessary to its purposes; 

23. for the purpose of enforcing the Act, tlie Compact, this Chapter, and/or the 

Rules, suinmarily seize and remove or impound any equipment, supplies, 

documents or records from any Gaming Facility for the purpose of 

examination; 

24. to review, approve and recommend final approval or disapproval to the 

Tribe's Board of Directors; of any proposed Management Contract, 

contract for Gaming Services or Gaming Devices, or any leases of land for 

the site of a Gaming Facility, that require the expenditure of the Tribe's 

funds to determine whether such contract or lease coinplies with the Act, 

the Compact, this Chapter or the Rules. 

25. to remove from any Gaming Facility and the surrounding premises 

controlled by the Gaming Facility Operator any individual barred from the 

Tribe's Gaming Facilities as provided in Section 24.4 (F)(10) above; 

26, establish and implement the MICS to achieve the objectives set forth in 

Section 24.15(E) hereof and any proposed changes to those standards, 

subject to final the approval by the Tribe's Board of Directors, which 

shall, at a minimum, provide a level of control which equals or exceeds 

either the level of controls required by the minimum internal control 

standards (1) set forth in Appendix tI of the Compact, or (2) as established 

by the NIGC, whichever is more stringent, as required by Section 542.4 of 

the NIGC's minimum internal control standards. The YGC shall inforin 

the Arizona Department of Gaming in writing of any changes to such 

MICS; 

27. to review and approve the Gaming Facility Operator's ICS, or any 

proposed and approved changes thereto, prepared and submitted by the 

Gaining Facility Operator for compliance with the MICS established by 

the YGC and to issue a letter either approving or disapproving such ICS or 

any changes thereto prior to implementation of such ICS or any proposed 

changes thereto by the Gaming Facility Operator; and to review policies 

and procedures prepared and submitted to the YGC by the Gaming Facility 

Operator for use in the Gaming Facilities; 
28. to perform background investigations on every applicant for a Tribal 

Gaming Regulatory License under this Chapter or to review and accept the 

results of the background investigations perfornled by the Arizona 

Department of Ganling for every Applicant that is required to be certified 

by the Arizona Department of Gaming, including all applicants for 

positions of en~ploylnent with the Gaming Facility Operator; 

29. to approve or deny applications for Tribal Gaming Regulatory Licenses or 

to limit, condition, restrict, revoke, or suspend 'any such license which it 

has granted pursuant to the procedures in this Chapter; 

30. to issue Tribal Gaming Regulatory Licenses and employee identification 

cards in the form designated by the YGC, which cards shall include a 

photograph, the employee's first and last nanie, a unique identification 

number, the Tribe's seal, and an expiration date; 

3 1. to issue reasonable regulations limiting or restricting the access of Persons 

who are not Gaming Employees to the non-public areas of a Ganling 

Facility; 

32. to detain individuals who may be involved in illegal activities, for 

purposes of notifying and summoning appropriate law enforcement 

authorities; and 

33. to do all other things reasonably necessary in furtherance of or for the 

proper and efficient exercise of the other powers and responsibilities 

placed upon the YGC by the Act, the Compact, this Chapter andlor the 

Rules. 

G. YGC Termination of Vendor Contracts. Based only on the criteria for tribal licensing 

as set forth in this Chapter or the Act and Arizona Department of Gaming 

certification of vendors as set forth in the Compact, the YGC may direct the Gaming 

Operation or the Gaming Facility Operator to terminate any business relationship with 

any unsuitable vendor andor agreement. Any vendor andlor party to an agreement 

determined to be unsuitable may appeal from such a determination in the same 

manner as is set forth in Section 24.14 of this Chapter. 

PI. Procedures of the YGC. The YGC shall conduct its operations and instruct the YGC 

Executive Director to act in accordance with procedural resolutions and safeguards 

adopted in accordance with this Chapter. 

1. Regular meetings or the YGC may be held upon such notice, and at such 

time and place as shall from time to time be fixed by the YGC. Nothing in 

this provision shall be construed to restrict the YGC's ability to conduct 

special or emergency meetings upon such notice as is required by this 

Chapter. 

2. Special meetings of the YGC may be called by the Executive Director or 

by a majority of the YGC (:ommissioners upon written notice. The 

- 13 - 
person(s) calling the special meeting shall fix the time and place thereof. 

Neither the business to be transacted at, nor the purpose of, any special 

meeting of the YGC need be specified in the written notice of the meeting. 

3. At any meeting of the YGC, a majority of the Coininissioners then in 

office shall constitute a quorun for the transaction of business. The vote 

of a majority of the Commissioners present at a meeting at which a 

quorum is present shall be the act of the YGC, except where this Chapter 

otherwise requires an action to be taken by the vote of a majority of the 

Commissioners of the YGC then in office. The YGC Executive Director 

shall preside at all YGC meetings, unless the Executive Director 

designates another member to preside in hislher absence. In the event of 

any tie vote, the YGC Executive Director shall vote on such matter(s) to 

break any tie. 

4. Any action required or permitted to be talcen at a YGC meeting may be 

taken without a meeting if a11 of the members of the YGC sign written 

consents setting forth the action talcen or to be talcen, at any time before or 

after the intended effective date of such action. Such consents shall be 

filed with the minutes of the YGC, and shall have the same effect as a 

unanimous vote of the YGC at a legal meeting thereof. 

5. YGC members may participate in a YGC meeting by means of conference 

telephone or similar communications equipment by means of which all 

persons participating in the meeting can hear each other. Participation in a 

meeting in such manner by any member who does not object at the 

beginning of such meeting to the holding thereof in such manner shall 

constitute presence in person at such meeting. 

6. Any hearing conducted by the YGC under this Chapter may, at the 

direction of the YGC, be conducted by the Executive Director of the YGC 

or by one or more members of the YGC designated by the YGC for that 

purpose. 

I. Temporay Orders. The YGC, its Executive Director or any two (2) YGC 

Commissioners acting jointly upon a written affidavit signed by both persons, setting 

forth with reasonable specificity the harm, shall have the authority to protect the 

integrity of Gaming Activity by issuing temporary orders. These temporary orders 

shall be issued for the sole purpose of directing a Gaming Operation, Gaming Facility 

Operator, Gaming Employee or any natural person, entity, or agency within the 

Tribe's jurisdiction to take any action or to cease and desist from any action which 

constitutes an immediate emergency situation that threatens the public safety, health, 

welfare and/or the integrity of Gaming Activity. All such affidavits must: 

1. state with specificity all facts constituting an immediate emergency 

situation that threatens the public sdety, health, welfare and/or the 

integrity of Gaming Activity; 
2. be immediately delivered by hand to a Primary Management Official, the 

Gaming Facility Operator and the Tribe's President; and 

3. the temporary order and the supporting affidavit shall, upon request by any 

affected person, be subject to review by the YGC at its earliest 

opportunity. In any event, all such temporary orders shall expire within 72 

hours fiom their initial issuai~ce, uilless extended after notice and 

opportuiiity to be heard is granted to any affected person. 

J. Prohibition. No member or enlployee of the YGC shall participate as a player in any 

Ganling Activity conducted on the Indian Lands of the Tribe. 

I<. Gaming Inspectors. For the purpose of ensuring compliance with the Act, the 

Compact, this Chapter, andlor the Rules, the YGC shall employ Gaming Inspectors 

who shall report to and be under the supervision of the YGC Executive Director and 

not under the supervision of any Management Contractor or any Gaming Operation. 

For the purpose of ensuring compliance with the Act, the Compact, this Chapter 

and/or the Rules, the Gaming Inspectors shall have unfettered access to all facilities 

of all Gaming Operations at al! times, including all Gaming Facilities and all other 

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

relating to Gaming Activities is kept or stored. For such purposes, personnel 

employed by any Gaining Operation shall provide access to Gaining Illspectors to 

locked and secure areas of the Gaming Facilities. Gaming Inspectors shall report to 

the Executive Director of the YGC regarding any failure by a Gaming Operation to 

comply with any of the provisions of the Act, the Compact, this Chapter or the Rules. 

Gaming Inspectors may also receive: customer complaints with respect to any Gaming 

Operation and shall assist in seeking voluntary resolution of such complaints. 

L. Licensing of YGC Personnel. The Tribe shall not employ any individual in the YGC 

unless the YGC has first issued the individual a Tribal Gaming Regulatory License. 

YGC Coinmissioners shall not be subject to the foregoing requirement. Before 

issuing a Tribal Caming Regulatory License, the YGC shall conduct a background 

investigation of each applicant for a Tribal Gaming Regulatoly License, which 

investigation shall colnply with any requirements of the Act or the Compact, to 

ensure that the applicant is qualified for a Tribal Gaming Regulatory License. Any 

individual who is not an enrolled member of the Tribe also shall be certified by the 

Arizona Department of Gaining pursuant to the Compact before being employed by 

the YGC. The YGC shall not issue a Tribal Gaming Regulatory License to any 

individual, and shall revoke any such license issued to any individual, whom it 

determines: 

a. has beell convicted of any felony or gaming offense within ten (1 0) 

years from the date of the application and in the case of a felony 

conviction, the felony was for a crime involving theft, burglary, 

embezzlement, assault with a deadly weapon or murder; 
b. has ltnowingly and willfully provided materially important false 

statements or information or omitted materially important 

information on his or her license application; or 

c. is an individual wliose 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. 

M. Issuance of Rules. 

1. The YGC, by majority act of the YGC at a duly convened meeting at 

which a quorum is present, shall from time to time promulgate and issue 

Rules governing any aspect of its responsibilities under this Chapter, 

which, so long as they are in furtherance of and not in conflict with or in 

any manner amends any provision of this Chapter, the Compact or the Act, 

shall have the force of law, upon approval or adoption by the Tribe's Board 

of Directors. Without limitation, the matters to be addressed by such 

Rules may include the following: 

a. the time and manner for applying for a Gaming Facility Operator's 

License under this Chapter, and the specific information to be 

provided in connection with such application, including 

information necessary for adequate assessment of the applicant's 

background, and the manner in which such applications will be 

processed; 

b. the procedure by which applicants for licenses under this Chapter 

shall apply for such licenses, including the information to be 

provided by the qplicant necessary for adequate assessment of the 

applicant's background, and the manner in which such applications 

will be processed; 

c. the specific types of accounting, security, recordkeeping and 

reporting measures required by this Chapter, the Compact or the 

Act to be in place and P~nctioning at any Gaming Facility licensed 

under this Chapter: and 

4 the YGC procedures for YGC investigations, notices, proceedings, 

hearings, sanctions or appeals as may be required or authorized by 

this Chapter. 
2. Except in emergency situations addressed in subsection (iii) below, prior 

to promulgating final Rules, the YGC shall provide the proposed Rules 

directly to the Board of Directors of the Tribe for review, colnments and 

final approval. 

3. In the event the YGC determines that an immediate rule-making is 

necessary to avoid serious jeopardy to the integrity of any Gaming 

Activities within the Tribe, or otherwise to deal with an emergency 

situation affecting the responsibilities of the YGC, the YGC may, upon 

making an express written finding as to such emergency, issue final Rules 

to take effect immediately; provided, that the YGC shall publish notice 

and request comments on such Rules in the same manner as is provided 

above, and upon consideration of any comments received, shall make such 

anlendments to such final Rules as the YGC deems appropriate. 

4. All final Rules approved by the Tribe's Board of Directors shall be 

officially filed with the Tribe's Board of Directors, the Office of the Tribe's 

President and the YGC's Executive Director. 

5. Any ICS modified in accordance with Section 24.15 (E)(3) are exempt 

from the provisions of subsections (ii) and (iii) of this Section. 

N. Petition for Self-Regulation. In the event the Tribe determines that the Tribe is 

eligible therefore and upon request by the Tribe's Board of directors, the YGC shall 

submit to the NIGC an application fcr a Certificate of Self-Regulation, under the 

provisions of 25 U.S.C. 5 2710(c)(4). The YGC shall do everything necessary and 

appropriate to obtain such Certificate and to maintain the Certificate in good standing. 

24.5 Detention of Persons and Notification of Law Enforcement Authorities. 

A. Detention Area. Pursuant to the Compact, the Gaming Facility Operator shall at all 

times maintain an area within the Gaming Facility for the temporary detention of 

persons who may be involved in illegal activities within the Gaming Facility, for the 

purpose of notifying appropriate law enforcement autliorities. Such temporary 

detention area shall be equipped with both video and audio recording capabilities. 

B. Video and Audio Observation. All individuals confined in such area shall be under 

both video and audio observation at all times during the temporary detainment 

provided for in this Section. 

C. Notification of Surveillance Depar-tied. Upon placing such Persons in the 

temporary detainment area, the representative of the Gaming Facility Operator or the 

YGC shall immediately notify the Surveillance Department of the Gaming Facility 

that such Persons have been placed iri detainment, and shall immediately cause the 

video and audio recording capabilities of the temporary detainment area to be 

activated, so as to maintain continuous observation of such Persons. The video and 

audio recording capabilities shall remain activated throughout the temporary 

detention of the Persons placed in this area, including the removal of said persons 
from the detainment area by the Tribe's Police Department or other appropriate law 

enforcement authorities. 

D. Law Enforcement Notification. Upon placing said persons in the temporary detention 

area as set forth above, the represcii;;:ives of the Gaming Facility Operator or YGC 

malting the placement shall immediately notify the Tribe's Police Department or other 

appropriate law enforcement authorities of said detention, and shall request that the 

Tribe's Police Department or other law enforcement authorities transfer custody of 

said individuals from detention as quiclcly as possible. 

24.6 Gaming Facility License. 

A. Requirement of License. No Gaming Activities shall be conducted in any Ganling 

Facility unless the YGC first has issued a Gaming Facility License for the Gaming 

Facility under the provisions of this Chapter. 

B. Standards for Issuance of License. The YGC shall not issue a Gaming Facility 

license for any facility at which Gaming Activities are to be offered unless the 

Gaming Facility meets the following requirements: 

1. the physical facility within which the Gaming Activities are to be 

conducted is designed and cbnstructed in compliance with the laws of the 

Tribe, the requirements of the Compact, the Act and any applicable NIGC 

regulations, so as to ensure the health and safety of all employees and 

patrons of such activities, and the protection of the natural environment 

from any contamination due to discharge of waste or unreasonable 

disturbance of the land surface; 

2. the Gaming Activities to be conducted within the Gaming Facility will 

lawfully be carried on by the Tribe under the Compact, the Act, and this 

Chapter and the facilities are appropriate to the carrying on of such 

activities; 

3. the Gaming Facility Operator will adequately staff and equip the Gaming 

Facility to ensure the safety, comfort and convenience of the patrons 

thereof, and the Gaming Facility Operator has taken adequate measures to 

provide for traffic, emergency service accessibility, food, drink and 

sanitary needs for patrons and employees, security, law enforcement and 

other concerns raised by the type of Gaming Activities proposed to be 

undertaken in compliance with this Chapter, the Compact and the Act; 

4. the Gaining Facility Operator has entered into a Management Contract or 

has made provision for management of the facility under terms and 

provisions that ensure that the Gaming Activities will be carried out in a 

manner consistent with the requirements of this Chapter, that the 

contracting party or parties have received appropriate licenses issued under 

the provisions of this Chapter, and that all employees hold Gaming 

Employee's Licenses issued under the provisions of this Chapter; and 
5. in all other relevant respects, the Gaming Facility will be operated in a way 

that is fully consistent with the provisions of this Chapter, and that its 

operation will further the interests of the Tribe with respect to its operation 

of Gaming Activities. 

C. Application for a New or Amended License, Procedure. 

1. The Gaming Facility Operator shall obtain a new or amended Gaming 

Facility License before commencing operations at a new facility or 

commencing new activity at a licensed facility for which an amended 

license is required. 

2. The YGC shall prescribe the information required to be submitted with 

such applications, but at a minimum, such application for licensing a new 

facility shall include the following: 

a. the name, specific position and job description of all individuals to 

be employed as Primary Management Officials or Key Employees 

at the facility; 

b. job descriptions for every other position in which individuals will 

be employed at the facility; 

c. a detailed description of the Gaming Activities to be engaged in at 

the facility, together with expected payouts to winners; 

d. a description of the internal controls, plan of organization and all 

coordinate methods and measures for the safeguarding of assets, 

ensuring the accuracy and reliability of its accounting data, 

promoting operational efficiency and encouraging adherence to 

prescribed managerial policies; 

e. detailed plans for the facility, including landscaping, traffic 

controls, parking, food and drink services, and other physical 

aspects of the building: 

f. a detailed description of how security will be maintained at the 

facility, identifying the Persons, agencies or entities that will 

provide such security; 

g. a detailed description of how gaming proceeds will be accounted 

for and disposed of on a daily basis; 

h. a copy oT any proposed Management Contract or other contractual 

arrangement by which the activities at the facility are to be 

managed; 

I. a description of provisions for dealing with fire or other potential 

emergencies at the facility; 
j. a detailed description of how sewage and other waste products 

from the facility will be handled and disposed of; and 

k, any other information relevant to the proposed operation of the 

facility or req~lested by the YGC as part of the application. 

3. An application for an amended license to conduct new or different Gaming 

Activities at a licensed location or to otherwise alter the terms or 

conditions of an existing license, shall, at a minimum, include the 

following information: 

a, any change in information previously provided in the original 

license application or any previous application for an amended 

license for the Gaming Facility; 

b, a detailed description of the changes in the Gaming Facility or in 

the activities to be carried on therein for which the amended 

license is required, together with a statement of the reasons for 

such change; 

c. if a proposed change will require any change in the existing 

Management Contract with respect to the Gaming Facility, a copy 

of the proposed amendment to such contract or new contract; and 

d. any other information relevant to the changes or new activities 

requiring the amendment. 

4. In its decision to license any Gaming Facility, or to amend any existing 

license to permit the conduct of new or different Gaming Activities at a 

licensed facility, the YGC may specify, consistent with the provisions of 

this Chapter, terms or conditions it believes necessary or appropriate to 

ensure the health and safety of patrons and employees of any such facility, 

the integrity of the Gaming Activities carried on at such facility, and the 

security of gaming proceeds. If dissatisfied with any such condition, the 

applicant may request that the YGC reconsider its determination. Upon 

such request for reconsideration, the YGC shall issue a written decision 

within 15 days of its receipl of the request for reconsideration. The written 

decision of the YGC shall constitute final action of the YGC. 

D. License Terms; Renewal. Each Gaming Facility License issued by the YGC shall be 

for a term of one (1) year. Such license may be renewed for subsequent one (1) year 

terms upon proper application on forms specified by the YGC. 

24.7 Gaming Facility Operator's License. 

A. Requirement of License. Before the Gaming Facility Operator may conduct Gaming 

Activities, it shall first obtain a Gaming Facility Operator's License from the YGC. 

Each individual designated by the Tribe's Board of Directors to be acting for the 
Gaming Facility Operator shall obtain a Gaming Facility Operator's License from the 

YGC before his or her appointment is approved by the Tribe. 

B. Standards of Suitability. 

1. Tribal Enterprise. The YGC shall not issue a Gaming Facility Operator's 

License under this Chapter to a Tribal Enterprise unless the YGC is 

satisfied that the Tribal Enterprise is established and organized pursuant to 

a plan of operation adopted by the Tribe. 

2. Einployee of Tribal Enterprise. The YGC shall not issue a Gaining 

Facility Operator's License under this Chapter to an employee of a Tribal 

Enterprise established by the Tribe to conduct a Gaming Operation if the 

YGC determines that such individual: 

a. has been convicted of any felony or gaming offense within ten (10) 

years from the date of the application and in the case of a felony 

conviction, the felony was for a crime involving theft, burglary, 

embezzlement, assault with a deadly weapon or murder; 

b. has knowingly and willfully provided materially inlportant false 

statements or information or omitted materially important 

information on his or her license application; or 

c. is an individual 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. 

24.8 Gaming Manager's License. 

A. Requirement of License. No Person shall function as the general manager of the 

Gaming Facility Operator without first obtaining a Gaming Manager's License from 

the YGC. In the case of a Person other than an individual, each Principal of such 

entity must obtain a Gaming Manager's License from the YGC. 

B. Standards of Suitability 

1. Individuals. The YGC shall not issue a Gaming Manager's License under 

this Chapter to an individual if it determines that the individual: 

a, has been convicted oE any felony or gaming offense within ten (1 0) 

years froin the date of the application and in the case of a felony 

conviction, the felony was for a crime involving theft, 

embezzlement, assault with a deadly weapon or murder; 
b, has lmowingly and willfully provided materially important false 

statements or infornlation or omitted materially important 

informati011 on his or her license application; or 

c. is an individual 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. 

2. Corporations, Partnerships, and Other Entities. 

a. The YGC shall not issue a Gaming Manager's License under this 

Chapter to a corporation, partnership, or other entity unless it is 

satisfied that the entity: 

I. is organized and in good standing under the laws of the 

jurisdiction where it was established, and is qualified to do 

business within the Tribe and the State of Arizona; 

ii. is in sound financial condition, as shown by a financial 

statement certified by a certified public accountant to be a 

fair presentation in all material respects of the financial 

position and results of operations and cash flows of the 

entity in conformity with generally accepted accounting 

principles; 

. . . 111. is not now and has not been in the past five (5) years the 

subject of any criminal investigation by any federal, state or 

tribal law enforcement authority, as shown by an &affidavit 

of Principals of the entity having personal ltnowledge 

thereof; 

iv. has established a reputation for financial integrity and 

sound business practices, or, if the entity was recently 

formed, that all Persons having any role in its formation, 

including Persons supplying financing, are Persons 

qualified to be licensed individually under the terms of this 

Chapter; and 

v. in all other respects will be reliable and trustworthy, and 

whose involveinent in Gaming Activities within the Tribe 

will be in tile best interests of the Tribe. 

b. The YGC shall not issue a Gaming Manager's License under this 

Chapter to any corporation, partnership, or other entity unless the 

entity: 

-22- 
I. agrees to maintain an office within the Tribe as a condition 

of maintaining its license; and 

. . 11. agrees to give the YGC notice within ten days of any 

change in its Principals, of any change in the location of its 

office@), and of any material change in the information 

disclosed in its application for its license. 

24.9 Licenses for Gaming Device Manufacturers, Distributors, Suppliers of Gaming 

Services, and Financiers. 

A. Reauirement of License. Each Manufacturer and each Distributor of Gaming Devices 

that is required to be certified by the Arizona Department of Gaming, shall be 

licensed by the YGC before selling or leasing any Gaming Devices to the Gaming 

Facility Operator. Each supplier of Gaming Services, if required to be certified by the 

Arizona Department of gaming, also shall be licensed by the YGC before providing 

Gaming Services to the Gaming Facility Operator. In addition, any Person extending 

or guarantying financing for a Gaming Operation or Gaming Facility shall be licensed 

by the YGC, unless the Person is an agency of the United States or a lending 

institution licensed and regulated by the State or the United States. 

B. Standards of Suitability. 

I. Individuals. The YGC shall not issue a license under this Chapter to an 

individual if it determines that the individual: 

a. has been convicted of any felony or gaming offense within ten (10) 

years from the date of the application and in the case of a felony 

conviction, the felony was for a crime involving theft, 

embezzleme~lt, assault with a deadly weapon or murder; 

b. has knowingly and willfully provided materially important false 

statements or information or omitted materially important 

information on his or her license application; or 

c. is an individual 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 co~ltrol 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. 

2. Corporations, Partnerships, and Other Entities. 

a. The YGC shall not issue a license under this Chapter to any 

corporation, partnership, or other entity unless it is satisfied that the 

entity: 
I. is organized and in good standing under the laws of the 

jurisdiction where it was established, and is qualified to do 

business within the Tribe and the State of Arizona; 

ii. is in sound financial condition, as shown (at a minimurn) by 

a financial statement certified by the entity's chief executive 

officer (or equivalent) to be a fair presentation in all 

material respects of the financial position and results of 

operations of the entity; 

iii. has established a reputation for financial integrity and 

sound business practices, or, if the entity was recently 

formed, that all Persons having a role in its formation, 

including its Principals, are qualified to be licensed 

individually under the terms of this Chapter; and 

iv. is in all other respects reliable and trustworthy, and whose 

involvement in Gaming Activities within the Tribe will be 

in the best interests of the Tribe as set forth in this 

Ordinance. 

b. The YGC shall not issue a license under this Chapter to any 

corporation, partnership, or other entity unless the entity agrees to 

give the YGC notice within ten days of any change in its 

Principals, of any change in the location of its office(s), and of any 

material change in the information disclosed in its application for 

its license. 

24.10 Gaming Employee's License. 

A. Requirement of License. Every Gaming Employee of the Gaming Facility Operator 

shall be licensed by the YGC before commencing employment. For purposes of this 

Chapter, the Gaming Facility Operator may compensate a potential employee for 

attending basic training and orientation sessions conducted outside of a Gaming 

Facility without that individual being considered to have commenced employment. 

B. Standards of Suitability. The Y(i(.: shall not issue a Gaming Employee's License 

under this Chapter to an individual if it determines that the individual: 

1. has been convicted of any felony or gaming offense within ten (10) years 

from the date of the application and in the case of a felony conviction, the 

felony was for a crime involving theft, embezzlement, assault with a 

deadly weapon or murder; 

2. has ltnowingly and willhlly provided materially important false statements 

or information or omitted materially important information on his or her 

license or employment application; or 
3. is an individual whose prior activities, criminal record, if any, or 

reputation, habits, and associations pose a threat to the public inte~est 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 gaining or the carrying on of the business and financial 

arrangements incidental thereto. 

24.11 Non-Gaming Employee Limited Area Permit. 

A. Requirement of License. All persons who are not Gaming Employees b~rt work or 

require admission into a Gaming Facility or access to a Restricted Area or a secured 

area within a Gaming Facility to perform work or have otherwise been authorized by 

the Gaming Facility Operator to gain access to such areas, must obtain a non-gaining 

employee limited area badge from the YGC before such access and/or work is 

performed. 

B. Suitability Requirements. All such limited area badges may be issued upon a 

determination by the YGC that the person is not a threat to the effective regulation of 

Gaming Activities of the Tribe and creates no risk or enhances no danger of unfair 

illegal practices, methods or activities in the conduct of the Tribe's Gaming 

Activities, Individuals so designated shall wear a unique tribal identification 

credential, as issued by the YGC, at all times while in the Gaming Facility. All 

applicants for limited area badges shall provide such information as the YGC shall 

require. 

24.12 License Application Procedures. 

A. Application Requirements; Processing. 

1. Each applicant for a license under Sections 24.6, 24.7, 24.8, 24.9, and 

24.10 of this Chapter shall submit an application to the YGC on the 

appropriate form prescribed by the YGC accompanied by the required fee, 

if any, and such supporting information as the YGC may require. 

a. The YGC shall request from Primary Management Officials and 

Key Employees all of the following information: 

1. Full name, including any aliases (oral or written) by which 

applicant has ever been known; 

. . 

11. Social security number (however, applicants shall be 

advised that disclosure is voluntary; and that failure to 

supply a social security number may result in errors in 

processing of an application); 

iii. Date and place of birth, gender, current citizenship, and all 

languages spoken or written; 
vi . 

vii. 

viii. 

ix. 

xi. 

xii. 

. . . X111. 

xiv. 

XV. 

Currently and for the ten (10) previous years: business and 

employment positions held, affiliations or relationships 

with any business or ventures including positions as 

officers or directors, ownership interests in any business or 

venture, kcsiness and residence addresses, and drivers 

license numbers; 

The names and current addresses of at least five (5) 

personal references, including one personal reference who 

was acquainted with the applicant while he resided at each 

address listed on the application; 

Educational history; 

Current business and residence telephone numbers; 

A description of any existing and previous business 

relationships with Indian tribes, including ownership 

interests in those businesses; 

A description of any existing and previous business 

relationships with the gaming industry generally, including 

ownership interests in those businesses; 

The name and address of any licensing or regulatory agency 

with which the individual has filed an application for a 

license or permit related to gaming, whether or not such 

license or permit was granted; 

The name and address of any licensing or regulatory agency 

with which the individual has filed an application for an 

occupational license or permit, whether or not such license 

or permit was granted; 

All criminal proceedings to which the applicant has been a 

party, exccpt for minor traffic offenses, and a description of 

each charge, the name and address of the court involved, 

and the disposition of the charge and the date of disposition 

(if any); 

A set of fingerprints; 

A current ~ihotograph and an unexpired picture 

identitication issued by a governmental entity or agency to 

be copied by the YGC; and 

A complete and accurate financial disclosure statement 

from those applicants that require Arizona Department of 

Gaming certification. 
b. In addition to any other information the YGC may deem pertinent, 

the YGC may require a corporation, partnership, or other entity 

applying for a license to provide the following information with an 

application for a license: 

I. The name, address, and other additional pertinent 

background information on each of its Principals; 

ii. The name, address, and other additional pertinent 

background information on each of its related, associated, 

or affiliated Persons; 

iii. A description of any previous experience that the entity and 

each Principal has had with other Indian tribes involving 

gaming (including under any management contracts) or 

with the gaming industry generally, including specifically 

the name and address of any licensing or regulatory agency 

with which such individual has had contact relating to 

gaming; and 

iv. A complete financial statement of each Principal. 

2. The YGC and its staff may assist any applicant in assembling all 

information required for processing of the application, but shall not be 

required to process any application until it is complete. The YGC may, at 

any time after an application is submitted, make a written request that an 

applicant supply any additional information the YGC deems necessary to 

complete the processing of the application and the applicant shall comply 

with such a request forthwith. 

3. The application forms used by the YGC shall contain the notice required 

under the Privacy Act and the notice regarding false statements in the form 

required by the NIGC under 25 C.F.R. Part 556, and each applicant shall 

consent in writing to the release of any information that may be relevant to 

the YGC's inquiry into the applicant's background from any Person. The 

YGC shall keep confidential any and all information it obtains in the 

course of investigating an application (including the identity of all 

individuals interviewed in the course of the investigation) and shall 

comply with all applica.ble laws pertaining to the confidentiality of such 

information. The YGC shall not release such information to any other 

individual or agency (other illan to appropriate Federal, Tribal, State, local, 

or foreign law enforcement and regulatory agencies when relevant to civil, 

criminal or regulatoly ii~vestigations or prosecutions or when pursuailt to a 

request by a tribe or the NIGC in connection with the hiring or firing of an 

employee, the issuance or revocation of a gaming license, or investigations 

of activities while associated with a tribe or a gaming operation) without 

the applicant's consent, or pursuant to an order of court or other body of 

competent jurisdiction. 
4. The YGC shall issue a written decision on each application. The written 

decision of the YGC shall constitute final action of the YGC on such 

application. If the YGC denies an application for a license, the decision 

shall specib the reason for such denial 

5. The Tribe's Board of Directors may by Tribal resolution prescribe or 

establish such Tribal Gaming Regulatory License fees as it deems 

appropriate for the YGC to charge License applicants in connection with 

the YGC's processing of applications and the issuance of Licenses under 

this Chapter. 

B. License Terms: Renewal. 

1. Each Gaming Facility Operator's License, Gaming Manager's License, 

Manufacturer's or Supplier's License, Gaming Employee's License, and 

Tribal Gaming Regulatory License issued by the YGC shall have a 

primary term of one (1) year. Manufacturer's or Supplier's Licenses, 

Management Contractor's Licenses and Financiers Licenses shall have 

primary terms of two (2) years. Licenses may be renewed for subsequent 

one-year or two-year periods, as applicable, upon the timely submission of 

a completed application on the forms specified by the YGC, but no 

licensee shall have any vested right to employment by the Tribe or renewal 

of any license issued under this Chapter. 

2. The YGC shall issue a temporaly license to an applicant who does not 

require Arizona Department of Gaming certification within twenty (20) 

days after receiving a completed application for licensing under Sections 

24.7, 24.8, 24.9 or 24.10 of this Chapter, unless (1) grounds sufficient to 

disqualify the applicant are apparent on the face of the application, (2) the 

baclcground investigation undertaken by the YGC discloses that the 

applicant may have a criminal history sufficient to disqualify the applicant 

from holding a license, or (3) the baclcground investigation undertalcen by 

the YGC discloses other information that may be sufficient to disqualify 

the applicant from holding a license. A temporary license shall become 

void and shall be of no effect upon either the issuance of a license or upon 

the issuance of a notice of denial of the license in accordance with the 

provisions of this Chapter. If an applicant requires Arizona Department of 

Gaming certification, a tribal license shall not be issued until the Arizona 

Department of Gaming certification has been issued. 

C. General Provisions of Tribal Gaming Regulatory Licenses. 

1. After a License has been issued, the YGC may, at any time, at the expense 

of the Licensee, conduct such background or other investigation as it may 

deem appropriate with respect to the Licensee. If such investigation 

discloses information that would have made the Licensee ineligible for the 

License if such information had been known prior to the issuance of the 
License, the YGC shall revoke the License in accordance with Section 

24.14(G) of this Chapter. 

2. If, after the issuance of a license, a11 event occurs that would have made 

the Licensee ineligible for the License if such event had occurred prior to 

the issuance of the License, the YGC shall revoke the License in 

accordance with Section 24.14(G) of this Chapter. 

3. If the YGC determines, on the basis of the background investigation and 

such other information as it may obtain, that an applicant is qualified for a 

License, the YGC mayi but shall not be required to, issue such License. 

The YGC, at its sole discretion, may impose any qualifications to such 

License as it deems appropriate, or may refuse to issue such License 

despite an applicant's qualifications. 

4. The YGC shall not issue any License to individuals or entities required to 

be licensed under this Chapter should the YGC determine that said 

individual or entity fails to meet the suitability requirements applicable to 

the category of License as referenced in or required by this Chapter. 

Individuals or entities denied issuance of a License pursuant to this 

Section shall have a right to appeal by requesting a hearing before the 

YGC. In the event an application is denied, the YGC shall inform the 

applicant by notice sent by registered or certified mail, return receipt 

requested, and, if it is a Class I11 application, shall inform the State 

Gaming Agency, giving the reasons and substantiating documentation for 

its decision. The applicant may appeal such decision to the YGC within 

thirty (30) calendar days of the denial of such application, except that, in 

the event the Gaming Facility Operator, the Tribe or the YGC withdraws 

its certificate of sponsorship for such applicant, there will be no right of 

appeal. The procedures applicable to such an appcal shall be those as set 

forth in the Rules established by the YGC. 

D. State Certification. Every Person required to be licensed under this Chapter also shall 

con~ply with the State certification requirements of the Compact, if those 

requirements are applicable to the Person. Within the time requirements established 

by the Compact, the YGC shall forward to the Arizona Department of Gaming a 

report of final disposition of the licensing actions of the YGC. The YGC shall afford 

the Arizona Department of Gaming an opportunity for a hearing before the Tribe's 

Board of Directors, pursuant to Sections 5(q)(2) and 5(q)(3) of the Compact, to 

contest a licensing decision of the YGC or to recommend suspension or revocation of 

a license issued by the YGC. The decision of the Tribe's Board of Directors shall be 

final. 

24.13 Background Investigations; Notifications. 

A. Background Investigations. 
1. The YGC shall at all times have in place, and shall regularly update and 

improve, a system for conducting bacl<ground investigations of every 

applicant for licensing under this Chapter. The system shall comply with 

the requirements of this Chapter, the Compact and the Act, and shall 

include, at a minimum, the use of records of all available tribal, state and 

federal law enforcement agencies, resources of the NIGC, communications 

with other Indian tribes engaged in gaming activities, and any and all other 

sources of information reasonably accessible to the YGC for this purpose. 

The systenl shall ensure that all applicants are notified of their rights under 

the Privacy Act as specified in 25 C.F.R. Part 556. 

2. Every applicant for licensing under this Chapter shall be subjected to a 

thorough background investigation, and such investigations shall be 

updated upon application for renewal of a license, and at such other times 

as the YGC may determine appropriate. 

3. The YGC shall prepare a background investigation report on every 

applicant for licensing under this Chapter which shall include all of the 

following: 

a. Steps taken in conducting a background investigation; 

b. Results obtained; 

c. Conclusions reached; and 

d. The basis for those conclusions. 

4. The Gaming Facility Operator shall pay the Tribe the costs incurred by the 

YGC for performing background investigations for Gaming Emnployees. 

5. The YGC shall maintain files containing the results of any background 

investigations conducted by it for the longer oC (i) three years from the 

date of a Gaming Employee's termination of employment, with respect to 

the files for a Gaming Employee; or (ii) the term of record retention 

required by the Compac~. Such files shall contain systems designed to 

safeguard the identities of confidential informants from inadvertent 

disclosure. 

B. Notification to the NIGC. 

1. Within the time required by the NIGC, the YGC shall transmit to the 

Commission licensing inf~rination on Primary Management Officials and 

Key Employees as required by the NIGC. After the YGC completes its 

background investigation for a Primary Management Official or Key 

Employee, and within the time requirements established by the NIGC, the 

YGC shall provide to the NIGC, as required by the NlGC, a report on the 

results of the background investigation. If the YGC receives any 

infor~nation from the NIGC concerning the applicant, it shall take that 
information into account in its action on the application. The YGC shall 

notify the NIGC if the YGC does not license an applicant. 

2. Upon issuing a license to a Primary Management Official or Key 

Employee under this Chapter, the YGC shall give notice thereof to the 

NIGC. If the YGC receives information from the NIGC indicating that a 

Primary Management Official or ICey Employee does not meet the 

standards established in this Chapter or in the Act for issuance of such a 

license, the YGC shall immediately suspend such license and give written 

notice of the suspension to the licensee. The YGC shall also notify the 

licensee that the licensee has fifteen (15) days following receipt of the 

notice of suspension to request that the YGC reconsider the notice of 

suspension. Upon such request for reconsideration, the YGC shall 

consider such oral statement(s) or written documentation as the licensee 

may present to the YGC at the time and place designated by the YGC. 

Within fifleen (15) days of receipt of such statement(s) or documentation, 

or the licensee's request for reconsideration, whichever is later, the YGC 

shall issue a written decision.. The written decision of the YGC shall 

constitute final action of the YGC. The YGC shall notify the NIGC of its 

decision. 

24.14 Facility Inspection; Investigations; Notices of Concern; Notices of Violations; 

Complaints; and Appeals. 

A. Facility Inspection. The YGC, as it deems necessary, shall cause detailed inspections 

to be made of each Gaming Facility licensed under the provisions of this Chapter, to 

assure that such facility is being operated in accordance with the terms of the license 

and of the provisions of this Chapter, the Compact and the Act. 

B. Notice of Concern. In the event that the YGC obtains information that the Gaming 

Facility Operator or a Gaming Employee may have breached any provision of this 

Chapter or the Compact, the YGC shall issue a Notice of Concern to the Gaming 

Facility Operator and the Gaming Employee involved. The Notice of Concern shall 

include the following: 

1. A detailed description of the alleged breach; 

2. A time certain for the Giuning Facility Operator and/or the Gaming 

Employee involved to complete the steps outlined for cure of the alleged 

breach. Except in the event of an emergency pursuant to Section 24.14(G) 

hereor, in no case shall the Licensee be provided less than five (5) calendar 

days to co~nplete the steps outlined for cure; 

3. Shall provide the Gaming Facility Operator andlor the Gaming Employee 

involved with an opportunity to meet with the Executive Director of the 
YGC to review and discuss the steps talcen by the Gaming Facility 

Operator andlor the Gaming Employee to correct the alleged breach.; and 

4. The Gaming Facility Operator's and/or the Ganling Employee's 

completion of the steps u~illned by the Notice of Concern shall constitute 

a total and final cure of all alleged breaches contained in the Notice of 

Concern. 

C. Notice of Violation. 

1. In the event that the YGC obtains information that a breach of the Act, the 

Compact, this Chapter, 01. the Rules has occurred, or that a licensee has 

failed to complete or refused to complete the steps outlined in a Notice of 

Concern, the YGC shall have authority to issue a Notice of Violation. The 

Notice of Violation shall be submitted to the Licensee, and the Gaining 

Facility Operator. The YGC may also request penalty consideration 

pursuant to this Section 24.14. A Notice of Violation shall contain the 

following: 

a. a citation to the Act, the Compact, this Chapter, and/or the Rules 

that have been or is being violated; 

b. a description of the circumstances surrounding the violation, set 

forth in common and concise language; 

c. the action(s) which must be talcen to correct the violation , if any; 

d. notice that the violation must be corrected within ten (10) calendar 

days from receipt of the notice or, if contested, explained in writing 

within ten (10) calendar days of the YGC's ultimate determination 

on the matter; 

e. notice of the civil fine or other enforcement action that will or 

could be imposed if the violation is not corrected; 

f. notice that a written response to the notice of violation must be 

submitted to and received by the YGC within ten (10) calendar 

days of the receipt of the notice of violation; and 

6. notice that the Notice of Violation shall be the written decision of 

the YGC in the event that no written response to the Notice of 

Violation is submitted to the YGC within the time provided in this 

Section. 

2. In the event the violation is not corrected or a written response to the 

Notice of Violation is not made within ten (10) calendar days following 

receipt of the Notice of Violation, the YGC may take one or more of the 

following actions: (i) recommend that the YGC suspend or revoke the 

License of the person or entity to whom the Notice of Violation was 
directed, (ii) assess a civil penalty in accordance with the provisions of this 

Chapter, (iii) forcibly remove the violator fro111 the Gaming Facility, 

andior (iv) upon cons~~ltation with the Tribe's gaming attorney, initiate in 

the Tribal Court a civil cornplaint to enforce the Act, the Compact, this 

Chapter, or the Rules. 

3. Each person or entity to whom a Notice of Violation is issued shall submit 

a written response to the YGC within ten (10) calendar days of the receipt 

of the Notice of Violation, together with any additional information the 

person believes that the YGC should consider. Upon receipt of the written 

response, the YGC shall issue a written decision within fifteen (15) 

calendar days, and shall mail such decision to the Person or entity who is 

the subject of the Notice of Violation by certified or registered mail, return 

receipt requested. In the event of an adverse decision from the YGC, the 

party responding to the Notice of Violation may, within thirty (30) 

calendar days, appeal the matter for reconsideration by the YGC. In the 

event of an adverse decision from the YGC, the party responding to a 

Notice of Violation may appeal the matter to Tribe's Board of Directors. 

In such instance, the power of review by the Tribe's Board of Directors 

shall be limited to issues of due process, civil rights and constitutionality, 

and shall not entail any determination regarding the merits or correctness 

of the underlying administrative decision and the Board's decision shall be 

final and not subject to any further rights of appeal. 

D. Investigations of Complaints. The YGC shall investigate all complaints alleging a 

violation of the terms of the Act, the Compact, this Chapter, andlor the Rules. 

Additionally, it shall investigate any reports that the Gaming Facility is not being 

properly maintained in accordance wit11 the terms of any Tribal Gaming Regulatory 

License or does not adequately protect the health, safety and welfare of the enlployees 

or patrons. 

E. YGC Notice of Complaint. The YGC shall give written notice of, and provide a copy 

of, the complaint to the Licensee and to the Gaming Facility Operator or by mailing 

such notice and complaint by certified or registered mail, return receipt requested. 

The Licensee shall file with the YGC a written reply to the co~nplaint within ten (10) 

calendar days of receipt of the notice and complaint. The YGC shall provide copies 

of the cornplaint and the Licensee's answer to the Tribe's Board of Directors. 

F. YGC Investigation of Complaint. Following receipt of the Licensee's response to the 

complaint, the YGC shall cause a full investigation to be made of the allegations of 

the complaint. If the YGC determines that a violation of the Act, the Compact, this 

Chapter andlor the Rules has occurred or is occurring, the Executive Director of the 

YGC shall issue a Notice of Violation in accordance with the provisions in Section 

24.14(C) hereof and the complainw'Notice of Violation shall be adjudicated in 

accordance with the procedures set forth in Section 24.14(C) (I), (2) and (3) hereof. 

G. Suspension or Revocation of Licenses. Any Tribal Gaming Regulatory License 

issued by the YGC under this Chapter shall constitute a privilege to conduct the 
licensed activity and shall not create a right to the Licensee to the conduct of that 

activity, Any such License may be suspended or revoked by the YGC for the breach 

of any of the provisions of the Act, the Compact, this Chapter, and/or the Rules, upon 

hearing before the YGC after prior notice to the Licensee and the Gaming Facility 

Operator. The Licensee and any persol? affected by the License shall have the right to 

be present at any hearing conducted in accordance with this clause and to offer sworn 

oral or documentary evidence relevant to the breach charged. No legal counsel shall 

be allowed to appear of record in any such hearing conducted by the YGC pursuant to 

this Chapter for or on behalf of any Licensee and for or on behalf of any person who 

testifies in the proceedings. In addition, a License may be summarily suspended by 

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

threat to the public health, safety or welfare. 

H. Rules of Procedure for YGC Hearing. All Application or License hearings conducted 

pursuant to this Chapter shall be governed by this Section 

I. Hearings. 

1. The YGC shall afford an Licensee or Applicant, as the case may be, an 

opportunity for a hearing in accordance with the terms of this Chapter 

and/or the Rules. No legal counsel shall be allowed to appear of record in 

any such hearings conducted by the YGC pursuant to this Chapter for or 

on behalf of any Licensee and for or on behalf of any person affected by 

the Licensee or the hearing. 

2. The YGC shall afford a Licensee or Applicant the opportunity for a 

hearing prior to taking final action resulting in the revocation or denial of a 

License or the imposition of any penalties which the YGC is authorized to 

impose pursuant to this Chapter and/or the Rules. 

3. Nothing in this Section shall limit the YGC's or the YGC's Executive 

Director's authority to issue a temporary order without a hearing pursuant 

to Section 24.4(1) of this Chapter. 

J. Notice of Hearink. 

1. The YGC shall provide witten notice to the Applicant or Licensee of the 

hearing at least fifteen (15) business days, excluding weekends and 

holidays, prior to the date set for the hearing. The day the Applicant or 

Licensee receives the notice shall be considered a full day's notice under 

this Section. The notice shall be sent by registered or certified mail, or 

may be personally served upon the Applicant or Licensee. The notice shall 

state the date, time and place of the hearing. The notice shall also contain 

an indication of the action@) being considered by the YGC, including, but 

not limited to: 

a, whether the YGC is holding the hearing for the purpose of 

obtaining further information from the Applicant; 
b. whether the YGC will be considering the grant or denial of the 

License Application or the revocation of the Licensee's License; 

c. whether the YGC will be examining any alleged violations of this 

Chapter, the Compact, the Act, the conditions of any License 

issued by the YGC, any order by the YGC; 

d. whether any other sanctions or penalties will be considered; or 

e. The notice shall also contain a short, plain statement of the reasons 

the YGC determines ihe hearing as necessary. 

I<. No Appearances through Legal Counsel. 

1. No appearances through legal counsel shall be allowed at any hearings 

governed by this Chapter. Parties to all hearings governed by this Chapter 

shall appear personally, except for any party whose attendance has been 

waived, in writing, by the YGC. 

2. Service of all notices, motions, orders, decisions and other papers shall be 

made upon each party involved, unless the party requests otherwise in 

writing. 

3. When a party shall sign all motions, notices, requests, and other papers on 

their own behalf. 

L. Discovery Procedures for Enforcenient Hearings. 

1. The YGC's legal counsel and the Applicant or Licensee shall exchange a 

list of persons that each party intends to call as witnesses no later than five 

(5) business days before a scheduled enforcement hearing. The day the list 

is received shall be considered a full day's notice under this Section. Each 

witness shall be identified by name, if known, position, and business 

address. If no business address is available, a home address for the 

witness shall be provided. Any witness not identified in accordance with 

this Section may be prohibited from testifying at a hearing in the YGC's 

discretion. 

2. The YGC's legal counsel, and the Applicant or Licensee shall exchange a 

copy of all documents or tangible things that they intend to offer as 

evidence in support of each party's case in chief. This exchange shall be 

made to the opposing party no later than five (5) business days before a 

scheduled enforcement hearing. The day the documents are received shall 

be considered a full day's notice tinder this Section. Failure to make 

available any document or tangible thing in accordance with this Section 
may, in the YGC's discretion, be grounds to deny the admission into 

evidence of such document or tangible thing. 

M. Confidential Mat-. 

1. Prior to maliing any documents available to the YGC's legal counsel or 

designated agent, the Applicant or Licensee may designate any document 

it believes to contain confidential information as "Subject to 

Confidentiality Claim" by so marking the document prior to providing a 

copy of the document to the YGC's legal counsel. 

2. Documents provided to the YGC's legal counsel or designated agent which 

have been marked in accordance with the Section above, and any nonpublic information contained within the document, shall not be made a 

part of the public record of the YGC proceedings otherwise disclosed by 

the YGC to any person (except as may be required under any applicable 

law, rule, regulation, court or administrative order, or the Compact, 

without first providing the applicant or licensee with the opportunity to 

seek a ruling by the YGC that the document or non-public information 

contained therein should not be made public. The request for such a ruling 

and any discussions relating to the document shall be heard and ruled upon 

by the YGC in an Executive Session meeting. If the request for such a 

ruling is made during a public hearing session, the hearing session shall be 

adjourned and the YGC shall conduct an Executive Session meeting in 

order to hear and rule upon the applicant's or respondent's request. The 

Applicant or Licensee may present to the YGC in Executive Session 

written and oral argument regarding the confidentiality claim, along with 

any facts the Applicant or Licensee believes to be relevant to such 

argument. 

3. In determining whether a document marked in accordance with 

Section 24,14(M)(l) above should be made part of the public record of the 

YGC proceedings on the Application, the YGC will balance the 

Applicant's or Licensee's claimed confidentiality concerns against the 

materiality of the information to the Application or License, the public's 

right to be made aware of the inFormation, and the YGC's need to make 

the information part of the public record in order to remain fully 

accountable for the licensing decision. In maliing this determination, the 

YGC shall consider all facts and circumstances relevant to male a proper 

ruling. 

4. In the event that the YGC rules during executive session that the document 

in question and/or informatio~i contained therein should be made part of 

the public record of rhe YGC1s proceedings on the Application or License, 

the document and/or information contained therein will be made part of 

the public record unless the Applicant or Licensee withdraws the 

document from the YGC's possession. In the event the Applicant or 

Licensee chooses to withdraw the document from the YGC's possession, 
the YGC will then weigh the withdrawal along with the other evidence in 

making its determination on the application. 

5. In the event that the YGC rules during Executive Session that the 

document andlor information contained therein should not be made part of 

the public record, the document shall be designated "Confidential" and 

will not be made part of the public record. The YGC inay consider the 

document and information contained therein "in camera" in making its 

determination on the Application or License. 

6. At the conclusion of the YGC's proceedings on the Application or 

License, the YGC will return to the Applicant or Licensee all docunients 

marked as "Subject to Confidentiality Claim" pursuant to Section 

24.14(M)(l) above that were not (i) made part of the public record of the 

gaming License application or (ii) designated as "Confidential" and 

considered by the YGC "in camera". 

N. Hearing Procedures. 

1. The YGC's Executive Director, or other YGC members as designated by 

the YGC, shall preside over all hearings of the YGC, and shall call the 

proceedings to order, control the presentation of evidence, the appearance 

of witnesses, and the order of the proceedings. 

2. The YGC may require any person including, but not limited to, any 

Applicant or Licensee, or any agent, employee or representative of any 

Applicant or Licensee, to appear and testify before it with regard to any 

matter within its jurisdiction at such time and place as it may designate. 

Such testimony shall be under oath and may include any matters which the 

YGC deems relevant to the discharge of the YGC's official duties. 

Testimony shall be recorded by a duly certified court reporter, or other 

means of recording providing full, verbatim transcript of the proceedings, 

and may be used by the YGC as evidence in any proceeding or matter 

before the YGC. 

3. Any party to the hearing may call and examine witnesses. The YGC shall 

exercise its discretion to limit the testimony of witnesses where that 

testimony is argumentative or repetitive. 

4. The YGC shall have the authority to eject from the hearings any person, 

including, but not limited to, any person who is disruptive, disorderly, or 

who shows a lack of proper respect for the YGC or the nature of the 

proceedings. 

5. Persons shall be permitted to speak only when recognized by the hearing 

Chair. 

6. Any member of the YGC present at such hearing may ask questions of 

witnesses, and may request or allow additional evidence at any time. 

-37- 
7. Any party to the hearing inay conduct cross-exanlinations reasonably 

required for a full and true disclosure of the facts. 

8. In any hearing involving employees or agents of the Gaming Facility 

Operator, representatives of the Gaming Facility Operator as designated by 

gaming management insry be present and may offer such testimony, 

evidence or argument concerning the matters at issue as they inay deem 

appropriate. 

9. The YGC, in its discretion, has the power to sequester witnesses. 

0. Evidence. 

1. In hearings governed by this provision, the YGC shall not be bound by 

technical rules relating to evidence and witnesses. The YGC shall admit 

all testimony having reasonable probative value, but shall exclude 

immaterial, irrelevant or unduly repetitious testimony. The YGC shall 

give effect to the rules of privilege unless such privilege is waived. Basic 

principles of relevancy, materiality and probative force shall govern the 

proof of all questions of fact. Objections to evidentiary offers and offers 

of proof of evidence not admitted may be made and shall be noted in the 

record. 

2. All evidence, including records and documents in the possession of the 

YGC or which the YGC desires to avail itself, shall be d~lly offered and 

made a part of the record in the case. Every party shall be afforded 

adeq~~ate opportunity to rebut or offer countervailing evidence. 

3. The YGC may take official notice of any generally recognized fact or any 

established technical or scientific fact; but parties shall be notified either 

before or during the hearing or by full reference in preliminary reports or 

otherwise, of the facts so noticed, and they shall be afforded an 

opportunity to contest the vaiidity of the official notice. 

4. Documentary evidence may be received in the form of copies or excerpts, 

if the original is not readily available. Upon request, parties shall be given 

an opportunity to compae the copy to the original. 

5. The record in a hearing governed by this Chapter shall include: 

a. All Applications, intermediate rulings and exhibits and appendices 

thereto. 

b. Evidence received or considered, stipulations and admissions, 

including, but not limited to, confidential evidence received 

pursuant to the confidential materials provision of this Chapter. 

c. A statement of matters officially noticed. 
d. Questions and offers of proof, objections, and rulings thereon. 

e. Any decision, opinion, findings or report by the YGC 

f. The transcril~i prepared by a duly certified co~ut reporter, or other 

means of recording that provides a full, verbatim transcript of the 

proceedings. 

P. Determinirtions by the YGC. 

1. The YGC shall make all determinations of issues before it by a majority 

vote of the YGC or by the Chair of such hearing. 

2. All determinations made by the YGC involving the grant, denial, 

cancellation or revocation of a License, a finding of a violation of this 

Chapter, the Rules, the Compact, IGRA, the coilditions of any License 

issued by the YGC, any order by the YGC, and the imposition of any 

sanctions or penalties shall be made by motion and on the record. 

3. A copy of any resolution reached pursuant to this Section shall be served 

upon the Applicant or Licensee by registered or certified mail, or inay be 

served personally. 

Q. Sanctions. 

1. If any party fails to comply with any provision of this Chapter, the Rules 

developed by the YGC pursuant to this Chapter, the Compact, the Act, the 

conditions of any License issued by the YGC, or any order by the YGC, 

the YGC upon motion or upon its own initiative, may in its discretion 

impose upon such party or attorney, or both, appropriate sanctions in 

regard to the failure(s) as are just, including, but not limited to, the 

following: 

a. An order prohibiting the use of any witness, document or tangible 

thing which should have been disclosed, produced, exhibited or 

exchanged pursuant to the Rules or any order of the YGC. 

b. An order that designated facts shall be talten to be established; 

c. An order that the disobedient party may not support or oppose 

designated claims or defenses; 

d. An order striking any pleadings or parts thereof, or staying further 

proceedings or dismissing the proceeding or any part thereof, or 

entering a judgment by default against the disobedient party; 

e. A finding against the disobedient party; or 

f. Any sanction otherwise set forth in this Chapter. 
R. Appeals. 

1. Right of Appeal: Appeals Procedures. A Person directly affected by any 

finding of the YGC pursuant to this Chapter shall have the right to appeal 

such finding by filing a :.:Test for a rehearing before the YGC. Any such 

appeal must be filed with the YGC in writing on or before the tenth (10"') 

day following receipt by such affected Person of the written finding of the 

YGC. The YGC shall certify the hearing record within thirty (30) days of 

the date of the filing of the appeal. In any case which conles before the 

YGC for final action, the YGC may determine to review all findings of 

fact and of law, or proceed pursuant to a "de novo" standard. The YGC's 

decision on rehearing shall be final, and no further appeal may be had 

before the YGC. 

2. Sovereign Immunity of thexa. The Tribe's Board of Directors confers 

on the YGC and its Commissioners, all of the Tribe's rights, privileges, 

immunities and sovereign immunity from suit, to the same extent that the 

Tribe would have such rights, privileges, if it engaged in the activities 

undertalcen by the YGC. 

3. Appeal to Tribe's Board of Directors. Subject to the burden of proof set 

forth in this Section, decisions of the YGC to affirm the denial, suspension 

or revocation of a License pursuant to this Chapter, may be appealed to the 

Tribe's Board of Directors by the aggrieved Person by written request 

submitted within ten (10) days following receipt of the notice of said YGC 

decision. In such instance, the Tribe's power of review shall be limited to 

issues of due process. civil rights and constitutionality, and shall not entail 

a "de novo" review of the evidence, merits or correctness of the underlying 

administrative decision. In all appeals before the Tribe's Board of 

Directors, there shall be deference given by the Board to the determination 

of the YGC as the body charged with the responsibility of enforcing this 

Chapter and interpreting its own regulations. In all such appeals to the 

Tribe's Board of Directors, the standard on review shall be a 

preponderance of evidence. The decisioil of the Tribe's Board of Directors 

shall be final and not subject to any further rights of appeal. 

S. Stay Pending Review. The effectiveness of any YGC action to suspend, revoke or 

review an existing License under Section 24.14(G) hereof shall be stayed during any 

period of an appeal. However, a License may be summarily suspended by the YGC if 

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

public health, safety or welfare. 

24.15 Gaming Operation and Management. 

A. Scope of Permissible Gaming. The Gaming Facility Operator may conduct only 

those Gaming Activities which may lawfully be carried on by the Tribe under 

applicable provisions of federal law including, but not limited to, the Act, subject to 

any limitations which may be imposed by the Compact and this Chapter. 
B. Hours. Days, Other Standards. Consistent with the provisions of the Compact, the 

Tribe may by regulation establish the permissible hours and days of operation of 

Gaming Activities. The regulations may authorize the Gaming Facility Operator to 

operate Gaming Facilities and conduct Gaming Activities twenty-four hours a day, 

seven days a weelt. The Tribe also may, by regulation, establish other standards of 

operation for such Ganling Facilities, as the Tribe deems appropriate; provided 

however, that with respect to the sale of liquor the Tribe shall comply with all 

applicable State of Arizona liquor laws at all Gaining Facilities. 

C. Emplovee and Player Age Limit. Iildividuals under twenty-one (21) years of age shall 

not play or place any wager, directly or indirectly, in any Gaining Activities. The 

Gaining Facility Operator shall talte reasonable steps to prevent underage individuals 

from playing or placing wagers in Gaming Activities. Neither the YGC nor the 

Gaming Facility Operator shall employ any individual under eighteen (18) years of 

age. The Gaming Facility Operator shall not permit any individual under nineteen 

(19) years of age to serve alcoholic beverages at any Gaming Facility, unless 

otherwise permitted under State law. The YGC may by regulation establish measures 

by which the Gaming Facility Operator shall enforce the provisions of this section. 

D. Management: Security. 

1. The Gaming Facility Operator shall have the responsibility for the on-site 

operation, management and security of each Gaining Facility, and shall 

comply with all requirements of this Chapter, the Compact and the Act. 

The Gaming Facility Operator shall adopt reasonable procedures, 

consistent with this Chapter, the Compact and the Act, designed to provide 

for the following: the physical safety of its employees; the physical safety 

of patrons in each Ganling Facility; the physical safeguarding of assets 

transported to and from each Gaming Facility and each cashier's cage 

department; and the protection of the patrons' and the Gaming Facility 

Operator's property from illegal activity. The Gaming Facility Operator 

shall adopt reasonable procedures, consistent with Section 3(v)(2) of the 

Compact, to advise individuals who inquire about the self-exclusion 

procedures established by the State. The Gaming Facility Operator shall, 

consistent with Section 3(v)(2) of the Compact remove all self-excluded 

persons from all mailing lists and revolte any slot or player's cards; take 

reasonable steps to ensure that cage personnel check a patron's 

identification against the Arizona Department of Gaming's list of selfexcluded persons before allowing the person to cash a check or complete a 

credit card cash advance transaction; take reasonable steps to identify selfexcluded persons who may be in a Gaming Facility and, once identified, 

promptly escort the self-excluded persons who may be in a Gaming 

Facility out of the Gamint: Facility; and to not pay any winnings or handpaid jackpot to a person who is on the Tribe's or State's self-exclusion list. 

Any jackpot won by a person on the State's self-exclusion list shall be 

donated by the Tribe to an Arizona-based nonprofit charitable 

organization. 
2. The Gaming Facility Operator or the YGC may temporarily or 

permanently ban individuals from the Tribe's Gaming Facilities and the 

surrounding premises controlled by the Gaming Facility Operator for such 

reasons as the Gaming Facility Operator or the YGC shall determine 

appropriate. The Gaming Facility Operator may detain individuals briefly 

for purposes of obtaining identification from the individuals in coilnection 

with the issuance of a banning notice and may detain individuals who may 

be involved in illegal activities, for purposes of notifying and summoning 

appropriate law enforcement authorities. If the Gaining Facility Operator 

requests that an individual leave a Gaming Facility or the surrounding 

premises for any reason and the individual refuses to do so, the Gaming 

Facility Operator may eject the individual using such force as may be 

necessary under the circumstances or request the Yavapai-Prescott Tribe's 

Police Department to remove the individual. The Gaining Facility 

Operator shall not pay any jackpot or prize won andlor claimed by any 

banned individt~al. 

3. The Tribe shall pay to the Arizona Department of Gaming the Tribe's 

regulatory costs and tribal contributions required under Section 12 of the 

Compact, in accordance with the directives of the Tribe's Board of 

Directors. 

4. The Gaming Facility Operator shall designate an agent for service of any 

official determination, order or notice of the NIGC. 

E. Internal Controls. 

1. Pursuant to Section 24.4(F)(26) hereof, the YGC shall implement MICS, 

subject to final approval of the Tribe's Board of Directors, applicable to 

the Gaining Facility Operator and the Gaming Facilities to provide 

reasonable assurance that the following objectives will be maintained: 

a. Assets are safeguarded and accountability over assets is 

maintained; 

b. Liabilities are properly recorded and contingent liabilities are 

properly disclosed; 

c. Financial records including records relating to revenues, expenses, 

assets, liabilities, and equitylfund balances are accurate and 

reliable; 

d. Transactions are performed in accordance with the general or 

specific authorization of the Gaming Facility Operator's 

management; 

e. Recorded accountability for assets is compared with actual assets at 

frequent intervals and appropriate action is talcen with respect to 

any discrepancies; 

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f. Functions, duties and responsibilities are appropriately segregated 

and performed in accordance with sound practices by competent 

and qualified personnel; and 

g. Access to assets is permitted only in accordance with the specific 

authorization of the Gaming Facility Operator's management. 

2. The Gaming Facility Operator shall operate each Gaming Facility pursuant 

to its written ICS. The ICS shall (1) satisfy the requirements of Section 11 

of the Compact; and (2) conlply with and implement the MICS established 

by the YGC pursuant to Section 24.4(F)(26) hereof. The ICS shall include 

the following internal control system components: 

a. An organizational chart depicting appropriate segregation of 

functions and responsibilities for all positions in the Gaming 

Operation; 

b. A description of the duties and responsibilities of each position 

shown on the organizational chart; 

c. A detailed narrative description of the administrative, operational, 

and accounting procedures designed to satisfy the requirements of 

Section 1 l(a) of the Compact; 

d. A description of procedures governing the maintenance and 

preservation of security and surveillance information; and 

e. The minimum internal control standards established by the YGC 

and approved by the Tribe's Board of Directors. 

f. In addition, the ICS shall include a plan of organization to 

implement the MICS and all of the coordinate methods and 

measures adopted within a Gaming Operation to safeguard assets, 

check the accuracy and reliability of its accounting data, promote 

operational efficiency and ensure adherence to prescribed 

managerial policies. The plan of organization shall be 

diagrammatic and narrative describing the interrelationship of 

functions and the division of responsibilities upon which the 

system of internal controls relative to gaming operations is based. 

Generally, the ICS shall include a system of accounting controls 

and a system d administrative controls and achieve the objectives 

set forth in Section 24,15(E)(l) above. The ICS, or any proposed 

changes thereto, shall be reviewed and approved in writing by the 

YGC prior to implementation pursuant to Compact Section 1 l(c) 

and this Chapter. 

3. The Gaming Facility Operator shall provide the YGC with copies of its 

ICS and/or any proposed changes before implementation. Within ten (10) 

business days after submission by the Gaming Facility Operator, the YGC 

- 43 - 
shall issue a letter approving the ICS or any approved changes unless the 

ICS or any proposed changes (or any part thereof) are inconsistent with the 

MICS established by the YGC. If the ICS or any proposed changes (or any 

part thereof) are inconsistent with the MICS established by the YGC, the 

YGC shall issue a lei~t~ of disapproval, which shall set forth the 

inconsistencies found by the YGC. 

4. The Gaming Facility Operator shall provide written notice to the YGC 

identifying all bank accounts maintained by the Gaming Facility Operator 

by bank and account number and identifying by name all individuals with 

authority to sign on each account. The Gaining Facility Operator shall 

provide written notice to the YGC of any changes to this information 

within five (5) business days of any changes. 

F. Annual Independent Audit. 

1. Within one hundred and ten (1 10) days after the end of each fiscal year, 

the Gaming Facility Operator shall provide the YGC with an audit of its 

financial statements for the prior year, along with any reports or 

management letter(s) the accountant has prepared. The audit shall be 

conducted by an independent certified public accountant licensed in the 

State of Arizona, in accordance with generally accepted auditing 

standards. The audit shall be prepared at the Tribe's expense. The auditor 

shall prepare an audit report expressing an unqualified or qualified opinion 

on the financial statements or, if appropriate, disclaim an opinion on the 

financial statements taken as a whole. The exanlination and audit shall 

disclose whether the accounts, records, internal controls, and accounting 

procedures of the Gaming Facility Operator are in con~pliance with this 

Chapter, the Compact, and the Act. The audit shall comply with the 

requirements of Section 12(g) of the compact; it shall audit and report the 

Tribe's Class 111 Net Win. It shall also include or be supplemented with an 

attestation by the auditor that Class I11 Net Win is accurately reported 

consistent with the terms of Compact Appendix I. 

2. All gaming related contracts that result in purchases of supplies, services, 

or concessions in an d~iir)unt exceeding twenty-five thousand dollars 

($25,000.00) in any year (except contracts for professional legal or 

accounting services) shall be specifically included within the scope of the 

audit conducted under this scction. 

3. To facilitate the completion of such audits, the Gaming Facility Operator 

shall make and maintain coliiplete, accurate, and legible records of all 

transactions pertaining to any Gaming Activities and any other revenue 

producing activities conducted by the Gaming Facility Operator at or in 

conjunction with any Gaming Facility. The Gaming Facility Operator 

shall maintain its financial records in accordance with generally accepted 

accounting principals and silall keep those records in a form suitable for 

audit under the standards of the American Institute of Certified Public 
Accountants. The Gaming Facility Operator shall maintain the records, as 

well as all original entry transaction records, until the later of five (5) years 

from the date on which they are made or the term of record retention 

required by the Compact. The records shall be maintained at a Gaming 

Facility or in other locations approved by the YGC. 

4. The Gaming Facility Operator shall maintain and provide to the Tribe: 

a. Accurate, complete, legible and permanent records of all 

transactions pertaining to the Gaming Operation in a manner 

suitable for a~~dit under the standards of the American institute of 

Certified Public Accountants; 

b. General accounting records using a double entry system of 

accounting with transactions recorded on a basis consistent with 

Generally Accepted Accounting Principles; 

c. Detailed supporting and subsidiary records; 

d. Detailed records identifying revenues, expenses, assets, liabilities 

and fund balances or net assets for the Gaming Operation; 

e. All records required by the internal control system including, but 

not limited to, those relating to any Gaming Activity authorized by 

the Compact; 

f. Journal entries for the Gaming Operation; 

g. Detailed records sufficient to accurately reflect gross income and 

expenses relating to its operations on a monthly and year-to-date 

basis; 

h. Detailed records of any reviews or audits, whether internal or 

otherwise, performed in addition to the annual audit required in 

this Section, including, but not limited to, management advisory 

letters, agreed upon procedure reviews, notices of non-compliance 

and reports on the internal control system; and 

i. Records of any proposed or adjusting entries made by an 

independent certified public accountant. 

5. The Gaming Facility Operator shall use a uniform chart of accounts and 

accounting classifications to assure consistent and effective disclosure of 

financial information ar.d shall submit to the YGC a copy of any changes 

to its chart of accounts. 

6. The YGC, when it deems necessary, may request information regarding 

the Gaming Facility Operator's financial statements, its audits, or both 

from the Gaming Facility Operator. The YGC also may require the 
Gaming Facility Operator to have its independent accountant provide such 

information to the YGC. If the Gaming Facility Operator receives any 

written communications from its independent accountant regarding 

internal control matters. the Gaming Facility Operator shall provide copies 

of those communications to the YGC within thirty (30) days after 

receiving the communications. 

7. The YGC shall provide copies of the Gaming Facility Operator's annual 

reports and management letters setting forth the results of the annual audit 

to the NIGC within one hundred and twenty (120) days after the end of 

each fiscal year for the Gaming Facility Operator and to the State in 

accordance with the requirements of the Compact. The YGC shall 

cooperate with the NIGC with respect to any additional inforination the 

NIGC may request. 

G. Patron Disputes. 

1. Refusal to Pay Winnings. Whenever the Gaming Facility Operator refuses 

to pay winnings alleged to be owed to a patron, and the Gaming Facility 

Operator and the patron are ilnable to resolve the dispute to the satisfaction 

of the patron: 

a. If the dispute involves five hundred dollars ($500.00) or more, the 

Gaming Facility Operator shall immediately notify the YGC. The 

YGC shall conduct whatever investigation it deems necessary and 

shall determine whether payment shall be made. 

b. If the dispute involves less than five hundred dollars ($500.00), the 

Gaming Facility Operator shall inform the patron of his or her right 

to file a complaint with the YGC requesting that it investigate. 

2. Complaint. If a patron files a complaint with the YGC alleging that the 

Gaming Facility Operator has failed to pay winnings owed to the patron, 

the YGC shall promptly provide a copy of the complaint to the Gaming 

Facility Operator. Within fifteen (15) days after notifying the YGC of a 

patron dispute or within fifteen (15) days after receiving from the YGC a 

copy of a complaint filed by a patron, whichever is later, the Gaming 

Facility Operator shall file with the YGC a written statement setting forth 

its position regarding the dispute. The YGC shall cause a full 

investigation to be made of the patron's allegations and the Gaming 

Facility Operator's response, and shall determine whether the patron's 

co~nplaint is valid, whether tlie patron is entitled to any relief, and if so, 

the relief to which the patron is entitled. 

3. Notice to Patrons. The YGC shall mail written notice by certified mail, 

return receipt requested, to the Gaming Facility Operator and the patron of 

its decision resolving the dispute within thirty (30) days after the date that 
the YGC is notified of a dispute by the Gaming Facility Operator or a 

request to conduct an investigation from the patron, whichever is later. 

4. Effective Date of Decision. The decision of the YGC is effective on the 

date it is received by the aggrieved party as reflected on the return receipt. 

5. Review of Decision. (i) Within thirty (30) days after the date of receipt of 

the written decision, the aggrieved party may file a petition with the YGC 

requesting reconsideration of the decision. The YGC 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 YGC shall then issue a written decision within 

sixty (60) days of the filing of the petition and mail it to the parties by 

certified mail, return receipt requested. The written decision of the YGC 

shall be the final decision of the YGC. (ii) A patron whose dispute 

involves at least five hundred dollars ($500.00) may file a complaint in 

Tribal court within sixty (60) days of receipt of the YGC's written decision 

as referenced in Section 14(d)(l) of the Compact. The courts of the Tribe 

shall have jurisdiction to hear and render decisions on such disputes. The 

court's of the Tribe shall review the dispute and issue a decision thereon. 

Disposition of the action in the courts of the Tribe shall be final, not 

subject to further appeal and be binding upon all parties in accordance 

with the laws of the Tribe. 

I-I. Play by Employees. No Primary Management Official, Key Employee, member of 

the Board of Directors of the Gaming Facility Operator, or Management Contractor, 

and no employee of the YGC under the age of twenty-one (21), shall play or place any 

wager, directly or indirectly, in any (ian~ing Activities. The Gaming Facility Operator 

shall prepare and submit to the YGC a written Employee Play Policy that is consistent 

with this Section and shall take reasonable steps to prevent such individuals from 

playing or placing wagers in Gaming Activities. 

I. Financial Services at Gamine. Facilities. The Gaming Facility Operator is prohibited 

from: 

1. Locating an a~~toma~ic teller machine ("ATM") adjacent to, or in close 

proximity to, any Gaming Device; 

2. Locating in a Gaming Facility an ATM that accepts electronic benefit 

transfer cards issued pursuant to a state or federal program that is intended 

to provide for needy families or individuals; 

3. Accepting checlcs or other non-cash items issued pursuant to a state or 

federal program that is 'intended to provide for needy families or 

individuals; and 

4. Extending credit to any patron of a Gaming Facility for Gaming Activities. 
J. Advertising Guidelines. In accordance with the requirements of Section 3(x)(3) of 

the Compact, the Gaming Facility Operator shall adopt and shall comply with 

guidelines for the advertising and marketing of Gaming Activities that are no less 

stringent than those contained in t!le American Gaming Association's general 

advertising guidelines. 

K. Notice of Gamine Services to YGC. The Gaming Operation shall submit notice to 

the YGC of its intent to accept Gaming Services from any company that is not 

licensed by the YGC. This notice shall be transmitted to the YGC at the earliest 

possible date, prior to the execution of any contract for such Gaming Services and 

prior to the expenditure of any Tribal funds. This notice shall only be required when 

the total amount of Gaming Services is in excess of Ten Thousand Dollars 

($10,000.00) in a single month. The notice shall be in a form required by the YGC. 

24.16 Violations and Remedies. 

A. Violations. It shall be a violation of this Chapter for any Person to: 

1. Conduct, participate in or operate any Gaming Activities within the 

interior boundaries of the 'Tribe except as provided in this Chapter; 

2. receive, distribute, apply or direct any property, funds, proceeds or other 

asset of any Gaming Activities to the benefit of any individual or other 

Person except as authorized by this Chapter or by any duly enacted 

Resolution of the Tribe's Board of Directors; 

3. tamper with or manipulate any equipment used in the conduct of Gaming 

Activities with the intent to cause any Person to win or lose any wager 

other than in accordance with the publicly announced rules of such 

Gaming Activities or with lu~owledge that the tampering or manipulation 

xffects the outcome of the game or with knowledge of any event that 

affects the outcome of the ganie; 

4. claim, collect or take, or attempt to claim, collect or take, money or 

anything of value made in or from a Gaming Device or Gaming Activity, 

with intent to defraud, willlout having made a wager thereon, or to claim, 

collect or take an amount greater than the amount won; 

5. do any other act in connection with the conduct of any Gaming Activities 

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

with the publicly announced rules of such Gaming Activities; 

6. participate as a plaq.er in any Gaming Activities if such individual is 

prohibited under Sections 24.1 5(C) or (D)(2) hereof from participating in 

such Gaming Activities; 

7. participate as a player in any Gaming Activities while such individual is 

listed as an individual -barred from the Tribe's Gaming Facilities as 

provided in Sections 24.4(F)(10); 

- 48 - 
use toltens or chips other than those approved by the YGC or coin or 

currency other than lawful, legal tender of the United States of America, or 

use a coin or currency not of the sanle denomination as the coin or 

currency intended to be used in the Gaming Device or Ganing Activity; 

possess, with the intent to use, or to use any device to assist in projecting 

the outco~ne of the game, in keeping track of the cards played, in analyzing 

the probability of the occurrence of an event relating to the game, or in 

analyzing the strategy for playing or betting to be used in the game; 

use any device or means to cheat, or possess any such device, at a Gaming 

Facility; 

assist, enable or allow any person under the age of twenty-one (21) to 

place a wager in any Gaming Facility or to place a wager in any Gaming 

Facility either directly or indirectly, if that Person is under the age of 

twenty-one (21); 

enter any Gaming Facility while bearing a firearm or other deadly weapon, 

as defined in the Tribe's Law and Order Code, unless specifically 

authorized by the YGC to do so; 

permit persons who are obviously intoxicated to participate in Gaming 

Activities; 

knowingly cater to, assist, employ or associate with, in business affairs, 

persons who have been barred from the Gaming facilities, or with persons 

who have been identified in writing by the NIGC, the YGC or the State 

Gaming Agency as persons of notorious or unsavory reputation, or with 

persons who have extensive police records, or with persons who have 

defied congressional investigative committees or other officially 

constituted bodies acting on behalf of the United States, the Tribe, the 

State of Arizona or any other state. 

employ in any position any person who has been denied a Tribal Gaming 

Regulatory License for such position by the YGC, and contracting for the 

provision of services, merchandise or equipment with any person or entity 

who has hiled to obtain a license from the YGC to supply, services, 

merchandise or equipment, if required, or receive any monetary benefit or 

kiclt-back, directly or indirectly, from (1) any person or entity, contracting 

with the Tribe or Gaming Facility Operator; or (2) any person or entity 

providing or desiring to piovide services, merchandise or equipment to the 

Tribe's Gaming Operation: 

deny any agent of the YGC, the appropriate State Gaming Agency, the 

Tribe's police department or other officials having jurisdiction, upon 

proper and lawful, demand, access to and inspection or disclosure of, any 

portion of any Gaming Facility, as authorized by applicable laws, 

rebxlations or the Compact; 

-49- 
17. conduct Gaming Activities within the Tribe without coinplying with the 

terms and conditions of the Chapter, the Compact, or the Act; or 

18, fail to comply with any other provision of this Chapter. 

B. Civil Penalties. Any Person who violates, attempts to violate, or conspires to violate, 

any provision of this Chapter, the Compact, or the Act is subject to civil penalties, 

including exclusion from any Gaming Facility, exclusion or termination from 

employment by the Tribe, denial, suspension or revocation of a Tribal Gaming 

Regulatory License by the YGC, exclusion from the Tribe's Reservation if a nonmember of the Tribe, or with respect to any person who is subject to the civil 

jurisdiction of the Tribe, the iinposition by the YGC of civil fines of up to five 

thousand dollars ($5,000.00) for each such violation, the exact amount of which shall 

be as determined by the YGC. Any violation of this Chapter by any individual or 

entity also may be referred to the appropriate law enforcement agency for prosecution. 

C. Civil Remedies. The YGC may in the name of the Tribe bring any civil action in the 

courts of the Tribe to enforce the provisions of this Chapter, the Compact, or the Act 

or to enjoin or otherwise prevent my violation of this Chapter, the Compact, or the 

Act occurring within the territorial jurisdiction of the Tribe. 

24.17 Transition Provisions. 

A. Existing Games Lawful. Subject to the provisions of the Coinpact and 

notwithstanding any other provision of this Chapter, any Gaming Facilities otherwise 

legally situated within the Tribe, and Gan:ing Activities carried on at such facilities as 

of the date on which this Chapter becomes effective, shall be lawful until the day that 

is 120 days after the date on which applications for licenses of such facilities and 

personnel are due to be submitted, to the YGC established hereunder; provided, that 

the YGC may, upon application by the Gaming Facility Operator, extend such period 

to permit proper processing of any duly filed application. 

B. Repeal of Prior Chapters and Resolutions. Upon enactment of this Chapter, 

Ordinance 13 (1995 Revision) (referred to as the Tribe's Gaming Ordinance), and any 

other Resolutions or Ordinances of fills "Tribe which are inconsistent with this Chapter, 

are hereby superceded and repealed. 

24.18 Amendments. 

A. Amendments. This Chapter may be amended by action of the Tribe's Board of 

Directors.