Annette T. Brqwn 

,. - Assistant ~ribal Attorney 

'Colorado River Indian Tribes 

Route 1, Box 23-B 

Colorado kver Indian Reservation 

Parker, AZ 85344 

RE: Colorado River Indian Tribes' Gaming Ordinance Amendment 

Dear Ms. Brown: 

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

("NIGC") for the review and approval of an amendment to the Colorado River Indian 

Tribes' ("Tribes") Gaming Ordinance No. 01-01. This amendment effectively raises the 

age of persons allowed on the gaming floor from eighteen years to twenty-one. The 

Tribes adopted this amendment to the Ordinance by Resolution No. 03-06 on April 3, 

2003. This letter constitutes approval of your submission under the Indian Gaming 

Regulatory Act. 

Thank you for submitting the Tribes' amendment to their tribal gaming ordinance. The 

NIGC staff and I look forward to working with you and the Tribes on future gaming 

issues. If you have any questions or require further assistance, please contact Ms. 

Frances ~raguaat 202-632-7003. 

Sincerely, 

Philip N. Hogen 

Chairman 

cc: Daniel Eddy, Jr., Chairman, Colorado River Tribal Council 
Resolutton No .12Q=Q3 

RESOLUTION 

COLORADO RIVER TRIBAL COUNCIL 

A Resolution to Amend \;he Gaming Code of the Colorado River Indian Tribes 

Be it resolved by the Tribal Council of the Colorado River Indian Tribes, in eegdw-1 special meeting 

assembled on h.5a~,, '22003 

WHEREAS, the Colorado River Indian Tribes (Tribes) enacted a Gaming Code pursuant to Ordinance 

No. 0 1-0 1 ; and 

WHER.E.4S. the Trikes hzve sigaed z Coiorado River India11 'l'iib~ - Stare oi' Arizona Gaming 

Compact 2003; and 

WHEREAS, Section 3(w) (2) of said compact requires Tribes to amend its Gaming Code prior to May 

3 1,2003; 

NOW, THEREFORE, BE IT RESOLIVED that the Tribal Council hereby amends Section 903 of Gaming 

Code as follows: 

Effective June 1. 2003 no person under 2 1 years of age shall be permitted to place any 

wager, directly or indirectly, in any Gaming Facility. Nor shall any person under a 

years of age be permitted on the Gaming Flmr during the business hours of such facility. 

No person under 18 years of age shall be employed by the Tribal Gaming Enterprise or 

the Tribal Gaming Agency. No person under 2 1 years of age shall be employed in the 

service of alcoholic beverages at any Gaming Facility. The Tribal Gaming Agency shall 

by regulation establish measures by which the Tribal Gaming Enterprise shall enforce the 

provisions of this section. 

BE IT FURTHER AND FINALLY RESOLVED that the Chairman and Secretary of the Tribal Council, 

or their designated representatives, are hereby authorized to execute any and all 

documents necessary to implement this action. 

May 22, 2003 6 

The foregoing resolution was on duly approved by a vote of . * for? against and O abstaining, by the Tribal Couvl of the Colorado River Indian Tribes, I .a 

pursuant to authority vested in it by Section . Article of the Constitution and By laws of 

the Tribes, ratified by the Tribes on March 1, 1975 and approved by the Secretary of the Interior 

on May 29, 1975, pursuant to Section 16 of the Act of June 18, 1934, (46 Stat. 984). This resolution 

is effective as of the date of its adoption. 

COLORADO RIVER TRIBAL COUNCIL 
GAMING CODE 

ARTICLE 1 

Chapter I . Legislative Purpose. Intent and Summary of Statutory Scheme ..... 1 

Section 101 . Purpose ................................................. 1 

Section 102 . Intent .................................................. 1 

Section 103 . Summary of Statutory Scheme ............................. 1 

CHAPTER 2 . Definitions ..................................................... 2 

Chapter 3 . Tribal Ownership and Use of Net Revenue ......................... 5 

Section 301 . Tribal Ownership of Gaming Activities ................... 5 

Section 302 Use . of Net Revenues ..................................... 5 

CHAPTER 4 . Tribal Gaming Enterprise and Tribal Gaming Enterprise Board ..... 5 

Section 401 . Establishment of the Tribal Gaming Enterprise ........... 5 

Section 402 . Establishment of the Tribal Enterprise Board ............ 6 

Section 403 . Duties and Authority of the Tribal Gaming Enterprise 

Board ........................................................... 6 

Section 404 . Obligations of the Tribal Gaming Enterprise Board ....... 6 

Section 405 . Appointment, Eligibility and Compensation of 

Tribal Gaming Enterprise Boardmembers ............... 7 

Chapter 5 . The Tribal Gaming Agency ........................................ 8 

Section 501 . Establishment of The Tribal Gaming Agency. and 

Funding ............................................. 8 

Section 502 . Supervision of the Tribal Gaming Agency ................. 8 

Section 503 . Executive Director of the Tribal Gaminq Agency .......... 9 

Section 504 . Compensation and Removal of Commissioners ............... 9 

Section 505 . Powers and Duties of the Tribal Gaming Agency .......... 10 

Section 506 . Issuance of Regulations ................................ 11 

Section 507 . Petition for Self-Regulation ........................... 13 

CHAPTER 6 . Licenses Required for Participation in the Business of Gaming 

Activities ..................................................... 13 

Section 601 . Type of Licenses Required .............................. 13 

Section 602 . Standards of Suitability for the Issuance of Licenses .. 13 

CHAPTER 7 . License Application Procedure .................................. 16 

Section 701 . Application Requirements ............................... 16 

Section 702 . Processing of Applications for Licenses ................ 20 

Section 703 . Special Processing for Particular License 

Applications: Gaming Employee's License and Gaming 

Facility License ................................... 23 

Section 704 . Fees for Licenses and Renewal of Licenses .............. 25 

Section 705 . License Terms; Renewal ................................. 26 

Section 706 . Special Obligations of Corporate Licensees ............. 26 

CHAPTER 8 . Facility Inspection; Reporting Requirements .................... 27 

Section 801 . Facility Inspection .................................... 27 

Section 802 . Reporting Requirements ................................. 27 

Section 803 . Independent Audits ..................................... 28 

CHAPTER 9 . Gaming Operations .............................................. 29 

Section 901 . Scope of Permissible Gaming ............................ 29 

Section 902 . Hours. Days. Other Standards ........................... 30 

Section 903 . Employee and Player Age Limit .......................... 30 
Section 904 . Employee Gaming ......................................... 30 

Section 905 . Publication of Payoffs .................................. 30 

Section 906 . Slot Machines and Gaming Devices ........................ 30 

Section 907 . Unsuitable Methods of Operation ......................... 30 

Section 908 . Internal Controls ....................................... 32 

CHAPTER 10 . Notices of Violation; Complaints and Disciplinary Actions ...... 33 

Section 1001 . Notice of Violation .................................... 33 

Section 1002 . Investigation of Complaints ............................ 35 

CHAPTER 11 . Patron Disputes; Limits of Contractual and Tort Liability to 

Patrons and/or Other Individuals or entities .................... 36 

Section 1101 . Patron Disputes ........................................ 36 

Section 1102 . Limits of Contractual and Tort Liability ............... 36 

Section 1103 . Limits of Liability for Tribal Gaming Agency ........... 37 

CHAPTER 12 . Offenses and Remedies .......................................... 37 

Section 1201 . Offenses ............................................... 37 

Section 1202 . Penalties .............................................. 38 

Section 1203 . Civil Remedies ......................................... 38 
GAMING CODE 

ARTICLE I 

[Note: Except as otherwise noted, the provisions of Article I of the 

Gaming Code were enacted on August 31, 1994 by Ord. No. 1.1 

Chapter I. Legislative Purpose, Intent and Summary of Statutory Scheme 

Section 101. Purpose 

This Ordinance is enacted to implement the decision of the Tribal 

Council of the Colorado River Indian Tribes that in addition to other 

revenue-generating activities engaged in by the Tribe, Gaming Activities 

shall be permitted as a source of revenue-generation by, or authorized by the 

Tribes on Tribal Lands. 

Section 102. Intent. 

This Ordinance is enacted and shall be interpreted to ensure that any 

Gaming Activities permitted on Tribal Lands shall: 

(a) be conducted in a manner which maintains the highest standards 

of honesty and integrity; 

(b) be conducted in a manner which maintains the public's confidence 

and trust in the honesty and integrity of the Gaming Activities; 

(c) be conducted in a manner which generates the maximum reasonable 

economic return to the Tribes that is consistent with the 

safety, comfort and fair and reasonable expectations of the 

patrons of such activities; and 

(d) be conducted in compliance with all applicable laws of the 

Tribes and of the United States of America, including but not 

limited to the Indian Gaming Regulatory Act of 1988, and in 

compliance with any Gaming Compacts that have been or may in the 

future be entered into between the Tribes and the State of 

Arizona or the State of California. 

Section 103. Summary of Statutory Scheme 

This Ordinance establishes the following statutory scheme to administer 

the conduct of Gaming Activities on Tribal Lands: 

(a) A Tribal Gaming Enterprise is herein established to conduct, 

manage, administer, supervise and control the revenue-generating 

and/or business affairs of all Tribal Gaming Activities 

conducted on Tribal Lands, subject to the over all authority of 

the Tribal Council as more specifically set forth in Chapter 4 

of this Ordinance, and subject to the regulatory authority of 

the Tribal Gaming Agency; 

(b) A Tribal Gaming Agency is herein established to have and to 

administer all civil regulatory authority overall Gaming 

Activities conducted on Tribal Lands as more specifically set 

forth in Chapter 5 and following Chapters of this Ordinance, and 

(c) The role of the Tribal Council in Gaming Activities conducted on 
Tribal Lands will be to oversee the activities of both the 

Tribal Gaming Enterprise and the Tribal Gaming Agency, as more 

specifically set forth hereinafter, and to mediate between those 

entities in the event such mediation becomes necessary. 

CHAPTER 2. Definitions. 

Section 201. Definitions. 

For purposes of this Ordinance: 

(a) "ActM means the Indian Gaming Regulatory Act of 1988, 

Public Law 100-97, 25 U.S.C. §§ 2701-2721 and 18 U.S.C. §§ 

1166-1168, and all regulations promulgated pursuant 

thereto. 

(b) "Administrative Procedure Protocoln means the set of 

procedures adopted by the Tribal Gaming Agency to govern 

the promulgation of its regulations, the conduct of its 

hearings and disciplinary actions and the perfection of 

its appeals process, 

(c) "Class I Gaming" means all forms of gaming defined as 

Class I in section 4 (6) of the Act, 25 U.S.C. § 2703 (6). 

(d) "Class I1 Gamingt1 means all forms of gaming defined as 

Class I1 in section 4 (7) of the Act, 25 U.S.C. § 2703 

(7) 

(e "Class I11 Gamingu means all forms of gaming as defined in 

section 4 (8) of the Act, 25 U.S.C. § 2703 (8). 

(f) "Compactu means any Tribal-State Compacts entered into 

between the Colorado River Indian Tribes and the State of 

Arizona or State of California for the purpose of 

regulating Class I11 Gaming activities conducted on Tribal 

Lands, and all amendments and modifications thereto, 

pursuant to Section 11 (d) of the Act, 25 U.S.C. Sec. 2710 

(d) - 

(g) MCommissioner" means a commissioner of the Tribal Gaming 

Agency. 

(h) "Distributor" means a person who distributes Class 111 

Gaming Devices and/or component parts thereof. 

(i) "Executive Directoru means the Executive Director of the 

Tribal Gaming Agency. 

(j) "Gaming Activity,It unless specifically stated otherwise, 

means all forms of Class I, I1 or I11 Gaming conducted 

within Tribal Lands. 

(k) "Gaming Devicev means an electronic game of chance, 

defined as follows: a microprocessor-controlled 

electronic device that allows a player to play games of 
chance, some of which are affected by skill, which device 

is activated by the insertion of a coin, currency, tokens, 

or by the use of a credit, and that awards game credits, 

cash, tokens, or replays, or a written statement of the 

player's accumulated credits, which written statements are 

redeemable for cash. Game play may be displayed by (i) 

video facsimile or (ii) mechanical rotating reels whereby 

the software of the device predetermines the stop 

positions and the presence, or lack thereof, of a winning 

combination and pay out, if any. 

(1) "Gaming Employeen means (i) any natural person employed as 

a primary management official or key employee of a Gaming 

Operation and (ii) any natural person employed in the 

operation of a Gaming Operation, including, but not 

limited to, any person whose employment duties require or 

authorize access to restricted areas of a Gaming Facility 

not otherwise open to the public. 

(m) "Gaming Facility" means the buildings or structures 

licensed and approved by the Tribal Gaming Agency in which 

Gaming Activities are conducted. 

(n) "Gaming Facility Operatoru means the Tribal Gaming 

Enterprise or such other wholly owned tribal entity having 

full authority and responsibility for the operation and 

management of Gaming Activities on Tribal Lands. 

(0) "Gaming Operationn1 means the total activities carried on 

by the Tribal Gaming Enterprise or such other wholly owned 

entity having full authority and responsibility of the 

operation and management of Gaming Activities on Tribal 

Lands. 

(p) "Gaming Ordinance" or "Ordinance" means this Ordinance, 

which governs the conduct of all Gaming Activities on 

Tribal Lands, including all amendments thereto, and all 

regulations promulgated by the Tribal Gaming Agency 

thereunder. 

(q) "Gaming services" means the provision of any goods or 

services to a Gaming Facility Operator directly in 

connection with the operation of Class I1 or Class 111 

Gaming in a Gaming Facility, including, but not limited 

to, equipment, merchandise, transportation, food, linens, 

janitorial supplies, maintenance, or security services for 

the Gaming Facility, in an aggregate of more than $10,000 

per year. 

(r) "Kenon means a house banking in which a player selects 

from one to twenty numbers on a card that contains the 

numbers one through eighty. The house randomly draws 

twenty numbers and players win if the numbers they 

selected correspond to the numbers drawn by the house, 

with the house paying all winners, if any, and collecting 

from all losers. 
"Key employee" means a Gaming Employee who performs one or 

more of the following functions: bingo caller; counting 

room supervisor, chief of security, custodian of gaming 

supplies or cash; floor manager; pit boss; dealer; 

croupier; approver of credit; or custodian of gambling 

devices including persons with access to cash and 

accounting records within such devices. In addition, any 

other person whose total cash compensation from the Gaming 

Operation is in excess of $50,000 per year, and the four 

most highly compensated persons in the Gaming Operation, 

shall also be deemed "key employees." 

"License" means an approval or certification issued by the 

Tribal Gaming Agency to any natural person or enterprise 

to be involved in the Gaming Operation or in the providing 

of gaming services to any Gaming Operation. 

llLicenseell means any natural person or enterprise who has 

been approved, licensed, certified or found suitable by 

the Tribal Gaming Agency to be involved in the Gaming 

Operation or in the providing of gaming services to the 

Gaming Operation. 

"Management ContractN means a management contract within 

the meaning of the Act, 25 U.S.C. §I 2710 (d) (9) and 2711. 

nlManagement Contractor" means a natural person or entity 

that has entered into a Management Contract as 

contemplated under the provisions of the Act, 25 U.S.C. 85 

2710 (d) (9) and 2711. 

"Net Revenue" means the gross revenues of any gaming 

activity less amounts paid out as, or paid for, prizes and 

total operating and capital expenses. 

"Office of Attorney General" means the Office of the 

Attorney General of the Colorado River Indian Tribes; 

llPrimary Management Officialu means the person having 

management responsibilities under a Management Contract; 

or any person who has authority to hire and fire employees 

or to set up working policy for the Gaming Operation; or 

the chief financial officer or other person or persons 

having financial management responsibility for a Gaming 

Operation. 

IIPrincipal" means with respect to any entity: (i) each of 

its officers and directors; (ii) each of its principal 

management employees, including any chief executive 

officer, chief financial officer, chief operating officer, 

or general manager; (iii) each of its owners or partners, 

if an unincorporated business; (iv) each of its 

shareholders who own more than ten (10) per cent of the 

shares of the corporation, if a corporation; and (v) each 

person other than a banking institution who has provided 
financing for the entity constituting more than ten (10) 

per cent of the total financing of the entity. 

(bb) "State" means the State of Arizona or State of California 

and the authorized officials, agents and representatives 

of each of those States, respectively. 

(cc) "State Gaming Agency" means the agencies of the State of 

Arizona or of the State of California which may from timeto-time be designated by written notice to the Tribes as 

the single agency of its respective State having the 

authority to act on behalf of its State regarding such 

State's role in the Tribe's Gaming Activities and 

Operations. 

(dd) "Tribal Council" means the Colorado River Tribal Council, 

as empowered and established by Article IV, Section 1 of 

the Constitution of the Colorado River Indian Tribes. 

(ee) "Tribal Gaming Agencyg1 means the regulatory entity, 

established by this Ordinance to have and to administer 

all civil regulatory authority over all Gaming Activities 

conducted on Tribal Lands. 

(if) "Tribal Gaming Enterprise" means the entity of the Tribes 

established by this Ordinance to conduct all Gaming 

Activities on Tribal Lands. 

(gg) "Tribal Lands" means the territory within the jurisdiction 

of the Colorado River Indian Tribes, as set forth in 

Article I of the Constitution of the Colorado River Indian 

Tribes, including territory which may be acquired by the 

Tribes in the future. 

(hh) "Tribes" means the Colorado River Indian Tribes. 

Chapter 3. Tribal Ownership and Use of Net Revenue. 

Section 301. Tribal Ownership of Gaming Activities 

All Class I, Class 11, and Class I11 Gaming Activities within the 

Tribal Lands shall be owned entirely by the Tribes and conducted and operated 

by a Tribal Gaming Enterprise under the direction of the Tribal Gaming 

Enterprise Board, except that Class I and Class I1 Gaming Activities may be 

authorized to be conducted by other entities on a per-event, charitable 

basis, pursuant to issuance of a permit by the Tribal Gaming Agency. 

Section 302. Use of Net Revenues 

The net revenues received by the Tribal Gaming Enterprise from all 

Gaming Activities shall be deposited into a Gaming Enterprise Fund controlled 

by the Tribes through Tribal Council, and shall be utilized exclusively for 

one or nore of the following purposes, according to periodic resolution of 

the Tri~al Council: 

(a) to fund government operations or programs of the Tribes; 
(b) to provide for the general welfare of the Tribes and members of 

the Tribes; 

(c) to promote the Tribe's economic development; and 

(d) to benefit charitable organizations within the Tribal Lands; and 

(e) to make per capita payments to members of the Tribes upon the 

preparation of a plan to allocate revenues consistent with the 

requirements of the Act and approval of this plan by the 

Secretary of the Interior. 

CHAPTER 4. Tribal Gaming Enterprise and Tribal Gaming Enterprise Board. 

Section 401. Establishment of the Tribal Gaming Enterprise. 

There is hereby established an enterprise of the Tribes to be known as 

the Tribal Gaming Enterprise. The Tribal Gaming Enterprise shall conduct all 

Tribal Gaming Activities licensed on Tribal Lands, shall be the exclusive 

Gaming Facility Operator licensed to conduct a Gaming Operation on Tribal 

Lands, and shall be wholly-owned by the Tribes. 

Section 402. Establishment of the Tribal Enterprise Board. 

The Tribal Gaming Enterprise shall be managed and directed by the 

Tribal Gaming Enterprise Board, which shall be comprised of three directors 

who are Tribal members and who, subject to the sentence immediately 

following, shall be appointed by Tribal Council for a two-year term. In 

constituting the initial Tribal Enterprise Board, the Tribal Council shall 

appoint two boardmembers for terms of two years and one boardmember for a 

term of three years, so that thereafter there shall be at least one 

boardmember appointed to his or her two-year term in every year. 

Section 403. Duties and Authority of the Tribal Gaming Enterprise Board 

The Tribal Gaming Enterprise Board shall manage, administer, supervise 

and control the business affairs of the Tribal Gaming Enterprise. In 

furtherance of these duties, the Tribal Gaming Enterprise Board shall have 

the following authority: 

(a) to make all management decisions concerning the day-to-day 

operations of the Tribal Gaming Enterprise, or to delegate such 

decisions to a general manager or managers to perform such dayto-day operating management; however, in the event of such 

delegation, the Tribal Gaming Enterprise will maintain 

responsibility for supervising and directing the activities of 

such manager(s) in the exercise of his duties; 

(b) to make decisions as to capital investments, to propose shortterm and long-term business plans, budgets, and internal 

reporting procedures for monitoring and evaluating the profit 

performance of the Tribal Gaming Enterprise, and to perform any 

other function necessary to carrying out the business of the 

Tribal Gaming Enterprise in a way consistent with maximizing its 

net revenues; and 
(c) to hire personnel and staff to perform the business of the 

Tribal Gaming Enterprise, to sponsor such personnel for the 

various licenses required under this Ordinance, and to draw upon 

the professional, legal and accounting resources of the Tribes 

for consultation and assistance, where appropriate. 

Section 404. Obligations of the Tribal Gaming Enterprise Board 

The Tribal Gaming Enterprise Board shall be answerable to, and subject 

to the overall control of, the Tribal Council. Such control will be 

facilitated by imposition of the following reporting obligations, as well as 

by any other obligations or procedures that may be imposed by the Tribal 

Council : 

(a) the Tribal Gaming Enterprise Board shall, at its first meeting, 

adopt Enterprise By-laws setting forth the procedures for 

meetings, notices, quorums, votes, amendments to the By-laws and 

delegations of Board authority which will govern the conduct of 

the Tribal Gaming Enterprise Board. Such Enterprise By-laws 

shall be submitted to Tribal Council for approval, as shall any 

proposed amendments to the By-laws which may from time to time 

be proposed; 

(b) the Tribal Gaming Enterprise Board shall submit the following 

documents to the Tribal Council for its approval: an annual 

business plan that includes three-to-five year projections of 

expenses and revenues and narrative explaining such projections; 

an annual line-item budget of all operations of the Tribal 

Gaming Enterprise; all requests for proposals (RFP's) or 

contracts that entail extraordinary or non-recurring expenses in 

excess of $100,000 expenditure by, or accrual of liability to, 

the ~ribal Gaming ~nterprise; and all plans or proposals for 

expansion, addition or construction of Gaming Facility physical 

plant; 

(c) the Tribal Gaming Enterprise Board shall submit the following 

reports to the Tribal Council for its review: monthly, 

quarterly, and annual financial statements, all prepared in 

accordance with General Accepted Accounting Principles, and in 

the case of monthly statements, presented within thirty calendar 

days after the closing of the calendar period for which the 

information is being supplied, and in the case of quarterly and 

annual statements, presented within forty-five calendar days 

after the closing of the calendar period for which the 

information is being supplied; an annual independent audit, 

presented within sixty calendar days after the closing of the 

calendar year for which the information is being supplied; 

minutes of all Board meetings furnished in a timely manner; and 

notices and reports of any violations or unusual occurrences 

concerning requirements of this Ordinance and any other 

applicable law or regulation, presented within three calendar 

days after such notice or report is made available to the Tribal 

Gaming Enterprise. 

Section 405. Appointment, Eligibility and Compensation of Tribal Gaming 

Enterprise Boardmembers. 
(a) The three Tribal Gaming Enterprise Boardmembers shall be appointed 

by the Tribal Council and must meet the following minimum standards of 

eligibility: 

1. each Tribal Gaming Enterprise Boardmember must be over the 

age of twenty-one and must be a person of the utmost 

honesty and integrity in that he or she shall not have 

been convicted of a felony or a misdemeanor involving 

theft, embezzlement or a crime involving moral turpitude, 

and he or she shall be a person whose prior activities, 

reputation, habits and associations shall not pose a 

threat to the public interest or to the public image of 

Gaming Activities conducted on Tribal Lands; 

2. each Tribal Gaming Enterprise Boardmember must receive a 

Gaming Facility Operator's License from the Tribal Gaming 

Agency and must accordingly meet all criteria for such a 

license in advance of assuming his or her duties; 

3. each Tribal Gaming Enterprise Boardmember must pledge to 

the Tribal Council that he or she will not gamble in any 

Gaming Facility run by the Tribal Gaming Enterprise, and 

that he or she will not assume any personal financial 

interest in any gambling by any patron of the Gaming 

Facility. 

(b) Prior to the expiration of his or her term, a Tribal Gaming 

Enterprise Boardmember may resign at will, or may be removed from his or her 

position by a majority vote of the Tribal Council, but in the latter 

circumstance, only for cause and only after a plenary hearing before the 

Tribal Council, duly noticed and conducted. 

(c) Tribal Gaming Enterprise Boardmembers may hold other Tribal 

positions, except for positions on the Tribal Gaming Agency, in 

Tribal law enforcement, or in positions of appointment as public 

officials, and may engage in business; however, Tribal Gaming 

Enterprise Boardmembers shall not engage, or have any interest, 

whether financial, proprietary or other wise, in any business 

which is subject to the provisions of this Ordinance or which 

entails transactions with the Tribal Gaming Enterprise. Tribal 

Gaming Boardmembers shall be compensated for their services to 

the Tribal Gaming Enterprise at a rate to be established 

annually by the Tribal Council. 

Chapter 5. The Tribal Gaming Agency 

Section 501. Establishment of The Tribal Gaming Agency, and Funding. 

There is hereby established the Tribal Gaming Agency, which shall be 

part of the Tribal Government, and which shall have overall civil regulatory 

authority o-~er all Gaming Activities conducted on Tribal Lands, as set forth 

herein. From its General Fund the Tribal Council shall appropriate the 

annual budget of the Gaming Agency. 

Section 502. Supervision of the Tribal Gaming Agency. 
(a) The Tribal Gaming Agency shall be administered under the supervision of 

three Commissioners who shall be appointed by the Tribal Council and who 

shall serve for two-year terms. At least two of the Commissioners shall be 

Tribal members. At least one of the Commissioners shall possess strong 

managerial experience in gaming operations, gaming regulation or gaming 

audits and financial controls. All Commissioners must be over the age of 

twenty-five, must be persons of the utmost honesty and integrity, must never 

have been convicted of a felony or a misdemeanor 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 or the Tribe's and public's 

trust, confidence or interests. No Commissioner may be affiliated with or 

employed by the Tribal Gaming Enterprise in any capacity, and no Commissioner 

shall gamble in any Gaming Facility run by the Tribal Gaming Enterprise nor 

assume any personal financial interest in any gambling by any patron of the 

Gaming Facility. Spouses and household dependents of Commissioners shall 

likewise not gamble in any Gaming Facility owned by the Tribal Gaming 

~nterprise. 

(b) Unless otherwise specifically provided in this Ordinance, a 

majority vote of the Commissioners shall be deemed sufficient to effectuate 

any decision or action which this Ordinance authorizes the Commissioners to 

make. Further, unless otherwise provided in this Ordinance, a decision or 

action by the Commissioners shall be final and not subject to review by any 

Court or judicial forum. 

Section 503. Executive Director of the Tribal Gaming Agency. 

Tribal Council shall designate one of the three Commissioners as 

Executive Director of the Tribal Gaming Agency, and that individual shall 

serve as Executive Director for a term of one year, subject to renewal at the 

pleasure of the Tribal Council. The Executive Director shall have overall 

responsibility for the day-to-day administrative functions of the Tribal 

Gaming Office, including, but not limited to, the following: 

(a) serving as the formal liaison to the person holding the 

similarly titled position with the State Gaming Agency; 

(b) serving as the Tribe's designated agent for service of any 

official determination, order or notice of the National Indian 

Gaming Commission; 

(c) proposing, for the majority approval of the Commissioners and of 

Tribal council, an Administrative Procedure Protocol and any 

amendments thereto, covering: notices of proposed and final 

regulations propounded by the Tribal Gaming Agency (which, at a 

minimum, will adopt the provisions of Section 506 (herein); 

hearings and the conduct of hearings regarding such regulations; 

and due process and evidentiary standards for entertaining 

patron complaints, challenges to any ~ribal Gaming Agency 

determination by any affected person or entity, and disciplinary 

actions commenced against any person or entity for violations of 

this Ordinance, the Act or other applicable laws or regulations; 

(d) proposing, subject to the majority approval of the Commissioners 

and Tribal Council, an annual budget reflecting the anticipated 
expenses of running the Tribal Gaming Agency for the succeeding 

year. 

(e) performing all personnel responsibilities of the Tribal Gaming 

Agency, including hiring staff as required to perform the 

responsibilities and obligations of the Tribal Gaming Agency, 

and promulgating employment standards and regulations which may 

include a provision that an employee of the Tribal Gaming Agency 

may not simultaneously be affiliated with or employed by the 

Tribal Gaming Enterprise in any capacity and may not gamble in 

any Gaming Facility run by the Tribal Gaming Enterprise or 

assume any personal or financial interest in any gambling by any 

patron of the Gaming Facility, and, with respect to certain 

categories of Tribal Gaming Agency employees as may be 

determined, that the spouse and household dependents of such 

employees shall not gamble in any Gaming Facility run by the 

Tribal Gaming Enterprise; and 

(f) establishing the standard operating procedures by which the 

Tribal Gaming Agency shall perform its functions, and doing 

whatever else is necessary to see that the Tribal Gaming Agency 

accomplishes its purposes and responsibilities. 

Section 504. Compensation and Removal of Commissioners. 

(a) Prior to the expiration of his or her term, a Commissioner, 

including the Executive Director, may resign at will, or may be removed from 

his or her position by majority vote of the Tribal Council, but in the latter 

circumstance, only for cause and only after a plenary hearing, duly noticed 

and conducted. 

(b) Commissioners may hold other Tribal positions, except for 

positions on Tribal Council, or positions of appointment as public officials, 

and may engage in business; however, Commissioners shall not engage, or have 

any interest, whether financial, proprietary or other wise, in any business 

which is subject to the provisions of this Ordinance or which entails 

transactions with the Tribal Gaming Enterprise. Commissioners, including the 

Executive Director, shall be compensated for their services to the Tribal 

Gaming Agency at a rate to be established annually by the Tribal Council. 

Section 505. Powers and Duties of the Tribal Gaming Agency. 

Subject to all of the provisions of this Ordinance, the Tribal Gaming 

Agency shall have the following powers and duties, which it may exercise 

directly or through such agents or employees as it deems appropriate: 

(a) to have and to exercise full responsibility for the regulation 

of Gaming Activities within Tribal Lands; 

(b) to issue, limit, condition, restrict, renew, suspend and/or 

revoke licenses for Gaming Facility Operators, Gaming Managers, 

Gaming Manufacturers and Suppliers, Gaming Employees, and Gaming 

Facilities, as provided herein; and, pursuant to such licensing 

authority, to issue forms for license applications, to perform 

background investigations of license applicants, to withhold 

licenses pending investigation, to approve or deny applications, 

and to issue or require the issuance of employee identification 
cards and Gaming Facility Authorization Certificates; 

to issue per-event permits for the conduct of Class I or Class 

I1 Gaming Activities, whose sole purpose is to promote a 

charitable or public good and the revenues from which shall be 

used exclusively for charitable or public purposes, and not for 

private gain or profit; 

to enter at any time any Gaming Facility within Tribal Lands for 

the purpose of inspecting the 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 facility, and to 

make summaries or copies of any such documents or other records 

as the Tribal Gaming Agency deems useful or necessary to its 

purposes ; 

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; 

to summarily seize and remove from any Gaming Facility, and to 

impound, any equipment, supplies, documents or records for the 

purpose of examination; 

to review the terms of any and all proposed contracts between 

the Tribal Gaming Enterprise and any person or entity for the 

purpose of managing or operating the Tribal Gaming Enterprise's 

Gaming Facilities, as well as the terms of any lease of land for 

the location of such Gaming Facilities, for compliance with all 

applicable laws and regulations, and to make recommendations 

concerning such terms to the Tribal Gaming Enterprise and to the 

Tribal Council; 

to investigate any aspect of Gaming Activities within the Tribal 

Lands in order (i) to protect the public's interest regarding 

the integrity of such Gaming Activities and (ii) to prevent 

improper or unlawful conduct in the course of such Gaming 

Activities; 

to investigate any report of a failure by the Tribal Gaming 

Enterprise to comply with provisions of this Ordinance or any 

other applicable statute or regulation, and to direct the Tribal 

Gaming Enterprise to take remedial actions pursuant to terms and 

conditions that the Tribal Gaming Agency so specifies; 

to establish a list of persons who, because of their criminal 

history or association with career offenders or career offender 

organizations, pose a threat to the integrity of the Tribe's 

Gaming Operations and are accordingly barred from any Gaming 

Operation, Gaming Facility or Gaming Activity within the Tribal 

Lands, and to maintain and provide such list to the appropriate 

State Gaming Agency; 

to approve the rules of each game of chance operated by the 

Tribal Gaming Enterprise pursuant to Section 301 of this 

Ordinance; 
(1) to require that all gaming-related contracts or agreements for 

supplies, services or concessions in an amount in excess of 

$25,000 annually (except contracts for professional, legal or 

accounting services) be subject to annual audits by an 

independent certified public accountant licensed in the 

appropriate State and having in-depth knowledge about and 

experience with gaming; 

(m) to issue a notice of violation to, or impose a civil or 

administrative penalty upon, any person or entity for 

violation(s) of any provision(s) of this Ordinance, or other 

applicable laws or regulations; and 

(n) to do all other things, including the issuance of regulations as 

further amplified in Section 506 herein, reasonably necessary 

for the proper and efficient exercise of the other powers and 

responsibilities placed upon the Tribal Gaming Agency by this 

Ordinance, the Act and any other applicable laws or regulations. 

Section 506. Issuance of Regulations. 

(a) The Tribal Gaming Agency shall from time to time promulgate and 

issue regulations governing any aspect of its responsibilities under this 

Ordinance. Such regulations, so long as they are in furtherance of and not 

inconsistent with any provisions of this Ordinance, shall have the force of 

law. Without limitation, the matters to be addressed by such regulations may 

include the following: 

1. the timing, manner and procedures applicable to applying 

for licenses for Gaming Facility Operators, Gaming 

Managers, Gaming Manufacturers and Suppliers, Gaming 

Employees, and Gaming Facilities, including the 

information to be provided in connection with such 

application, and the manner in which such applications 

will be processed; 

2. the specific types of accounting, organizational and 

security measures to be in place and functioning at any 

Gaming Facility licensed under this Ordinance; 

3. the grounds for, and procedures for imposition of, any 

disciplinary action to be taken against licensees; 

4. the public health and safety standards governing the 

physical plant of the Gaming Facilities, the provision of 

food and beverages and the admission of patrons to the 

Gaming Facilities; and 

5. the procedures to be instituted by the Gaming Operation to 

ensure the physical safety of its employees and patrons, 

to safeguard its assets when being transported to and from 

the Gaming Facility and cashier's cage department, and to 

protect its property and the property of the patrons from 

illegal activity. 
:b) The Tribal Gaming Agency must approve its regulations in 

proposed form by a majority vote of the Commissioners, and must 

then submit such proposed regulations to public comment for a 

period of no less than thirty calendar days. The notice 

provisions for, and the procedures governing public comment on, 

such proposed regulations shall be set forth in the 

Administrative Procedure Protocol referred to in Section 503(c). 

Following the public comment period, the Commissioners will 

again consider their proposed regulations prior to finalization 

and will adopt final regulations by a majority vote. The 

Commissioners will then file final versions of such regulations 

with the Tribal Council and with the Tribe's Office of the 

Attorney General, and will include such final regulations in a 

volume of "Tribal Gaming Agency Regulations" to be maintained at 

the offices of the Tribal Gaming Agency, and to be furnished in 

true copies to any requesting person or entity for a reasonable 

fee to be established by the Tribal Gaming Agency. 

(c) In the event the Tribal Gaming Agency determines that immediate 

administrative action is necessary to avoid serious jeopardy to the integrity 

of any Gaming Activity under its jurisdiction, the Agency may, upon making an 

express written finding as to the urgency of the situation, issue an interim 

regulation which shall take immediate effect as if final, and shall remain in 

effect until the procedures for public comment as set forth in the 

Administrative Procedure Protocol can be concluded. 

(d) The following regulations are adopted as final regulations of the 

Tribal Gaming Agency and are exempt from the provisions of subsections (b) 

and (c) of this Section: 

1. Regulations Covering Operational Standards, 

Specifications, and Minimum Internal Control Standards for 

Electronic Games of Chance; 

2. Regulations Covering Operational Standards, 

Specifications, and Minimum Internal Control Standards for 

Keno (computerized), as agreed to, or to be agreed to, by 

the Tribes and the Arizona State Gaming Commission; and 

3. Minimum Internal Control Standards for Internal Audits. 

Section 507. Petition for Self-Regulation. 

As soon as the Tribal Gaming Agency determines that the Tribes are 

eligible therefor, the Tribal Gaming Agency shall submit to the National 

Indian Gaming Commission an application for a Certificate of Self-Regulation, 

under the provisions of 25 U.S.C. 5 2710 (c) (4) . The Tribal Gaming Agency 

shall do everything necessary and appropriate to obtain such Certificate and 

to maintain the Certificate in good standing. 

CHAPTER 6. Licenses Required for Participation in the Business of Gaming 

Activities. 

Section 601. Type of Licenses Required. 

The Tribal Gaming Agency shall issue the following categories of 

licenses : 
(a a Gaming Facility License, which is required to be obtained by 

the Tribal Gaming Enterprise for each Gaming Facility it 

operates, and which will explicitly set forth the type of gaming 

allowed in each of such facilities. Separate Gaming Facility 

Licenses shall be issued and must be obtained for each place, 

facility or location on Tribal Lands where Class I1 or I11 

gaming is to be conducted under this Ordinance; 

(b) a Gaming Facility Operator's License, which is required to be 

obtained by the Tribal Gaming Enterprise as well as by all 

Tribal Gaming Enterprise Boardmembers prior to their 

confirmation; 

(c) A Gaming Manager's License, which is required to be obtained by 

any management contractor or any general manager employed or 

retained by the Tribal Gaming Enterprise, and in the case of a 

corporation, partnership or other entity, by each principal of 

the corporation, partnership or other entity; 

(d) a Manufacturer/Supplier License, which is required to be 

obtained by each manufacturer and each supplier of Gaming 

Devices, and by each manufacturer and each supplier of Gaming 

Services that are sold, leased or provided to the Tribal Gaming 

Enterprise and have a value in excess of $10,000 per year, and 

by any person, corporation, partnership or other entity 

extending or guarantying financing for the Gaming Operation or 

the Gaming Facilities, unless such person, corporation, 

partnership or entity is an agency of the United States; 

(e) a Gaming Employees License, which is required to be obtained by 

any Gaming Employee (as defined in Section 201(1)) employed by 

the Tribal Gaming Enterprise. 

No person or entity shall participate in the business of any Gaming 

Activities on Tribal Lands without first obtaining an appropriate license. 

Section 602. Standards of Suitability for the Issuance of Licenses. 

The Tribal Gaming Agency shall issue licenses only in accordance with 

the following general standards governing each respective license category: 

(a) a Gaming Facility License shall not be issued to any separate 

place, facility, or location on Tribal Lands where Class I1 or 

Class I11 gaming is to be conducted unless the Tribal Gaming 

Agency shall make the following determinations as to such 

facility, place or location: 

1. the physical plant of the Gaming Facility is designed and 

constructed so as to assure the health and safety of all 

employees and patrons of such activities, and to protect 

the natural environment from any contamination due to 

discharge of waste or unreasonable disturbance of land 

surf ace ; 

2. the Gaming Activities to be conducted within the facility 
may be conducted lawfully by an Indian tribe within the 

State under the Act and the Compact, and may be 

accommodated comfortably and appropriately by the 

facility; 

the facility is or will be adequately staffed and equipped 

to ensure the safety, comfort and convenience of the 

patrons and employees thereof through the implementation 

of pre-planned regimens to provide sufficiently for 

traffic control, parking, food, drink, sanitation, 

security and law enforcement; 

4. the Tribal Gaming Enterprise has procured all licenses and 

permits necessary under the law for the operation of 

Gaming Activities, and can certify that those persons or 

entities with whom it contracts have also obtained all 

necessary licenses; and 

in all other relevant respects, the facility will be 

operated in a way that is fully consistent with the 

provisions and purposes of this Ordinance. 

(b) a Gaming Facility Operator's License shall not be issued unless 

the Tribal Gaming Agency is satisfied that the Tribal Gaming Enterprise is 

established and organized pursuant to a plan of operation consistent with 

Chapter 3 of this Ordinance and with the desires of the Tribal Council. 

Further, a Gaming Facility Operator's License shall not be issued to a Tribal 

Gaming Enterprise Boardmember if the Tribal Gaming Agency determines that 

such person has been convicted of any felony or gaming offense, has knowingly 

or willfully provided materially important false statements or information on 

his or her license application, or is a person whose prior activities, 

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

to the public interest or to the effective regulation and control of gaming; 

(c) A Gaming Manager's License shall not be issued: 

1. in the case of an individual if the Tribal Gaming Agency 

determines that such person has been convicted of any 

felony or gaming offense, has been the subject of any 

criminal investigation by any law enforcement authorities 

within the last fifteen years, has knowingly or willfully 

provided materially important false statements or 

information on his or her license application, or is a 

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

reputation, habits or associations pose a threat to the 

public interest or to the effective regulation and control 

of gaming; and 

2. in the case of a corporation, partnership or other entity, 

the Tribal Gaming Agency is not satisfied that such 

corporation, partnership or other entity; 

(i) is organized and in good standing under the laws of 

the jurisdiction where it was established; 

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

financial statement certified by a certified public 
accountant to be a current, complete and accurate 

depiction of the organization's financial status; 

(iii) is not now and has not been in the past fifteen 

years the subject of any criminal investigation by 

any law enforcement authorities, as shown by an 

affidavit of principals of the organization having 

personal knowledge thereof; 

(iv) has established a reputation for financial integrity 

and sound business practices, or, if the 

organization 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 involvement in the Gaming 

Activities of the Tribal Gaming Enterprise will be 

in the best interests of the Tribes as set forth in 

this Ordinance. 

(d) a Manufacturer/Supplier License shall not be issued: 

1. In the case of an individual if the Tribal Gaming Agency 

determines that such person has been convicted of any felony or gaming 

offense, has knowingly or willfully provided materially important false 

statements or information on his or her license application, or is a person 

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

associations pose a threat to the public interest or to the effective 

regulation and control of gaming; and 

2. in the case of a corporation, partnership or other entity, 

the Tribal Gaming Agency is not satisfied that such corporation, partnership 

or other entity: 

(i) is organized and in good standing under the laws of 

the jurisdiction where it was established; 

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

financial statement that is a current, complete and 

accurate depiction of the organization's financial 

status; 

(iii) is not now and has not been in the past fifteen 

years the subject of any criminal investigation by 

any law enforcement authorities, as shown by an 

affidavit of principals of the organization having 

personal knowledge thereof; 

(iv) has established a reputation for financial integrity 

and sound business practices, or, if the 

organization 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 involvement in the Gaming 

Activities of the Tribal Gaming Enterprise will be 

in the best interests of the Tribes as set forth in 

this Ordinance. 

Further, a license will not be issued to any manufacturer or 

distributor of Gaming Devices unless such manufacturer and distributor 

verify, under oath, on forms provided by the Tribal Gaming Agency, that the 

Gaming Devices manufactured or distributed by them for use or play at the 

Gaming Facilities meet the operational requirements specified by the Tribal 

Gaming Agency. 

(e) 1. In the case of an individual applying for a position of 

primary management official or key employee, a Gaming Employee's License 

shall not be issued if the Tribal Gaming Agency determines that the 

individual applying for such license has been convicted of any felony or 

gaming offense, has been the subject of any criminal investigation by any law 

enforcement authorities in the past fifteen years, knowingly or willfully 

provided materially important false statements or information on his or her 

license application, or is a person whose prior activities, criminal record, 

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

interest or to the effective regulation and control of gaming, or create or 

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

activities in the conduct of gaming. 

2. In the case of an individual applying for a position other 

than that of a primary management official or key employee, a Gaming 

Employee's License shall not be issued if the Tribal Gaming Agency determines 

that the individual applying for such license has been convicted of any 

felony or gaming offense, knowingly or wilfully provided materially important 

false statements or information on his or her license application, or is a 

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

or associations pose a threat to the public interest or to the effective 

regulation and control of gaming. 

CHAPTER 7. License Application Procedure. 

Section 701. Application Requirements. 

(a) Application submissions shall be as follows: 

1. Each application for any category of license described in 

Chapter 6 of this Ordinance must be submitted to the 

Tribal Gaming Agency on forms provided by the Tribal 

Gaming Agency, and must be accompanied by the required fee 

(as set forth in Section 703 hereof) and by such 

supporting information as the Tribal Gaming Agency shall 

prescribe by regulation. 

2. Each application for a Gaming Manager's License, a 

Manufacturer/Supplier License or a Gaming Employee's 

License shall be accompanied by a Certification of 
Sponsorship from the Tribal Gaming Enterprise, which 

Certification shall state that the Tribal Gaming 

Enterprise wishes to engage the applicant for certain 

services, and intends to do so upon the issuance of an 

appropriate license. 

3. Each application for a Gaming Manager's License, for a 

~anufacturer/Supplier License or, in the case of an 

individual who is not an enrolled member of the Tribes, 

for a Gaming Employee's License, shall also be submitted 

to the appropriate State Gaming Agency, together with 

applicable fees, for State Certification. 

4. In addition, as set forth in Section 703 (b) , (c) and (d) 

hereof, the applications of, and reports concerning, key 

employees or primary management officials engaged by, or 

applying for engagement by, the Tribal Gaming Enterprise, 

shall be submitted to the National Indian Gaming 

Commission for further review and action, prior to the 

application's receiving final action from the Tribal 

Gaming Agency. 

(b) The Tribal Gaming Agency will at a minimum require the following 

information in support of any and all license applications. 

Applicants are advised that the information submitted with their 

applications shall be checked and verified with independent 

sources pursuant to internal security and operational procedures 

established by the Tribal Gaming Agency. Submission of such 

applications shall be considered agreement by any applicant that 

such independent verification can and shall be conducted by the 

Tribal Gaming Agency. 

1. In the case of all individual persons, application and 

application materials will include: 

(i the applicant's full name, including any aliases 

(oral or written) by which the applicant has ever 

been known; 

(ii) the applicant's social security number(s) and tax 

identification number; 

(iii) the applicant's date and place of birth, 

citizenship, gender and all languages spoken or 

written; 

(iv) the applicant's residential addresses for the past 

ten years; 

(v) the applicant's employment history for the last 

twenty years, including the addresses of the 

employers for which the applicant was employed; 

(vi) the applicant's driver's license number; 

(vii) a complete listing of all licenses issued to, and 
all disciplinary actions taken against, the 

applicant by any federal, state or tribal gaming 

agency, and by any professional, licensing or 

regulatory body or entity ever having jurisdiction 

over the applicant's professional or business 

activities, whether related to gaming or not; 

(viii) The name and address of any licensing or 

regulatory agency with which the applicant has 

filed an application for an occupational 

license or permit, and/or for a permit related 

to gaming, whether or not such license or 

permit was granted; 

(ix) a complete listing of all criminal proceedings, 

whether for felony or misdemeanor offenses, except 

minor traffic offenses, in which the applicant has 

ever been a defendant or a target of 

investigation, including the charge or subject 

matter of the proceeding, the name and address of 

the court involved and the date, status and 

disposition of the matter, if any; 

(XI a set of the applicant's fingerprints taken 

consistently with procedures adopted according to 

25 C.F.R. 5 522.2 (h); 

(xi ) a current photograph of the applicant; 

(xii) the applicant's complete and current financial 

disclosure statement. 

2. In addition to the above requirements for individuals, 

individuals who are applicants for positions of key 

employees or primary management officials must also 

furnish as part of their applications: 

(i For the previous twenty years, all businesses and 

enterprises in which the applicant held an equity, 

ownership or creditor interest, other than 

publicly traded entities, and the title, status 

and responsibilities for each and every position 

which the applicant held in such business or 

enterprise. For each such business or entity, the 

applicant shall provide the address of such 

business or entity. 

(ii) The names and current addresses of at least three 

personal references, including one personal 

reference who was acquainted with the applicant 

during each period of residence listed under 

Section 701 (b) (1) (iv) . 

(iii) Current business and telephone numbers; 

(iv) A description of any existing and previous 
business relationships with the gaming industry 

generally, including ownership interests in those 

businesses. 

3. In the case of corporations, partnerships or other entities: 

(1) the name, address and social security number of 

each of its principals and of each person (or in 

the case of an entity, principals or such entity) 

having a direct financial interest in, or 

management responsibility for the corporation, 

partnership or entity, including boardmembers and 

individual shareholders holding (directly or 

indirectly) 10 percent or more of issued and 

outstanding stock; 

(ii) a detailed description of any previous gaming 

experience that each person listed pursuant to 

Section 701 (b) (2) (i) of this Ordinance has had 

concerning other Indian tribes, management 

contracts, or the gaming industry generally, 

including the name and address of any gaming 

licensing or regulatory agency under whose 

jurisdiction such person has ever conducted gaming 

business; 

(iii) a complete financial statement of each person 

listed pursuant to Section 701(b) (2) (i) of this 

Ordinance; 

(iv) a tax identification number 

(c) In the case of an application for each new or amended 

Gaming Facility License, the Tribal Gaming Agency shall at 

a minimum require the following information from the 

Tribal Gaming Enterprise in support of its application for 

each such facility: 

1. the name and specific position of each person to be 

employed as primary management officials or key 

employees at the facility; 

2. job descriptions of every other position for which 

persons will be employed at the facility, and a 

complete organizational chart; 

a detailed description of each Gaming Activity to be 

conducted at the facility, together with expected 

payouts to winners; 

detailed plans for the physical plant of the 

facility, including landscaping, traffic controls, 

parking, food and drink services, and other physical 

aspects of the building and layout; 

a detailed description of how security will be 
maintained at the facility, identifying the persons, 

agencies or entities that will provide such 

security; 

6. a detailed description of how gaming proceeds will 

be accounted for and disposed of on a day by day 

basis; 

7. a copy of any proposed management agreement or other 

contractual arrangements by which the activities at 

the facility are to be managed; 

8. a description of provisions for dealing with fire or 

other emergencies involving potential evacuation or 

medical evacuation at the facility; 

9. a detailed description of how sewage and other waste 

products from the facility will be handled and 

disposed of; 

10. any other information relevant to the proposed 

operation of the facility. 

In addition, the Tribal Gaming Enterprise must apply for an amendment 

of its Gaming Facility license in the event that it intends to alter the 

design, layout or other physical aspects of a licensed facility, including 

expansion thereto, or if it intends to alter existing management personnel or 

gaming parameters. In such case, the Tribal Gaming Enterprise must provide 

detailed specifications of the nature and extent of such alteration. 

Section 702. Processing of Applications for Licenses. 

The Tribal Gaming Agency shall maintain the following general 

guidelines for the processing of license applications: 

(a) the Tribal Gaming Agency and its staff will assist any 

applicant in assembling all information required for 

processing of the application, but no application will be 

processed until it is complete. The Tribal Gaming Agency 

may at any time after an application is submitted request 

the applicant in writing to supply additional information 

to enable the Tribal Gaming Agency to complete the 

processing of the application; 

(b) in connection with the application, the applicant shall 

consent in writing, on a form provided by the Tribal 

Gaming Agency, to the release of any information that may 

be relevant to the Tribal Gaming Agency's inquiry into the 

applicant's background from any person or entity. The 

form on which the applicant will give his or her consent 

to such release of information will clearly state that any 

and all information obtained by the Tribal Gaming Agency 

in the course of reviewing a licensing application shall 

remain confidential, and shall not be released by the 

Tribal Gaming Agency to any other person or agency without 

the applicant's written consent, except in the following 
circumstances: (i) such information is required by the 

Compact to be disclosed to the State Gaming Agency, or 

(ii) such information is required by the Act to be 

disclosed to the National Indian Gaming Commission, or 

(iii) such information is ordered to be disclosed by 

judicial subpoena or court order for use in a judicial 

proceeding in which the applicant is a party. The Tribal 

Gaming Agency shall be bound by the terms of such consent 

form; 

(c) Further to the immediate preceding section and to the 

procurement of the consent form provided therein, every 

application form provided by the Tribal Gaming Agency to 

be filled out by any prospective employee of the Tribal 

Gaming Enterprise, whether a primary management official 

or key employee or other, shall contain the following 

statement: "In compliance with the Privacy Act of 1974, 

the following information is provided: Solicitation of 

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

2701, et seq. The purpose of the requested information is 

to determine the eligibility of individuals to be employed 

in a gaming operation. In the case of persons applying 

for key personnel or primary management official 

positions, the information will be used by National Indian 

Gaming Commission members and staff who have need for the 

information in the performance of their official duties. 

The information may be disclosed to appropriate Federal, 

Tribal, State, local, or foreign law enforcement and 

regulatory investigations or prosecutions or when pursuant 

to a requirement by the Tribal Gaming Agency or the 

National Indian Gaming Commission in connection with the 

hiring or firing of an employee, the issuance or 

revocation of a gaming license, or investigations of 

activities while associated with the Tribes or a gaming 

operation. Failure to consent to the disclosures 

indicated in this notice will result in the inability of 

this Tribal Gaming Agency to issue you a license and of 

the Tribal Gaming Enterprise to hire you." 

In addition, the following legend will be inscribed on all 

application forms for employee licenses: "A false 

statement on any part of your application may be grounds 

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

work. Also, in the case of key employees or primary 

management officials, you may be punished by fine or 

imprisonment. (U.S. Code, Title 18, Section 1001.)"; 

(d) the Tribal Gaming Agency shall subject every applicant for 

a license to a thorough background investigation, and such 

investigations shall be updated upon an application for a 

renewal of such license, and at such other times as the 

Tribal Gaming Agency may determine to be appropriate. 

Such background investigations shall be performed 

according to an investigative system, regularly updated 

and improved, that will comply with the requirements of 

this Ordinance, the Act and any other applicable laws or 
regulations. At a minimum, such investigative system 

shall include utilization of records of all available 

Tribal, State and Federal law enforcement agencies, 

resources of the National Indian Gaming Commission, 

communications with other Indian tribes engaged in Gaming 

Activities, and any other sources of information 

accessible to the Tribal Gaming Agency for this purpose. 

The Tribal Gaming Agency shall maintain files that shall 

contain all information acquired in the course of its 

background investigations of license applicants. Such 

information and files shall be secured in such a way that 

the identities of confidential informants and the 

information itself will be protected from the inadvertent 

disclosure so as to comply with the applicable provisions 

of federal statutes protecting individual privacy. All 

applicants will be notified of their rights under the 

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

(e) the Tribal Gaming Agency shall review each license 

application and all information pertinent thereto. 

Applicants shall be made aware that copies of completed 

license applications and of reports on background 

investigations shall be submitted to the National Indian 

Gaming Commission, and that the Tribal Gaming Agency shall 

consider additional information regarding the applicant 

which the National Indian Gaming Commission may provide. 

Within ninety calendar days of the completion of the 

application or such longer period as the Tribal Gaming 

Agency designates in a written statement giving reasons 

why action cannot be taken within ninety calendar days, 

the Tribal Gaming Agency shall issue a decision issuing a 

license or denying the application; 

(f) in the event an application is denied, the Tribal Gaming 

Agency shall inform the Applicant by notice sent by 

registered or certified mail, return receipt requested, 

and shall inform the appropriate State Gaming Agency, 

giving the reasons and substantiating documentation for 

its decision. The applicant may then appeal such decision 

to the Commissioners of the Tribal Gaming Agency within 

fifteen calendar days of the denial of such application, 

except that, in the event the Tribal Gaming Enterprise 

withdraws its Certificate of Sponsorship for such 

applicant, there will be no right of appeal. The 

procedures applicable to such an appeal shall be those set 

forth in the Tribal Gaming Agency's Administrative 

Procedure Protocol; 

(g) The Tribal Gaming Agency shall notify all applicants for a 

Gaming Manager's or Gaming Employee's License for a 

position of key employee or primary management official 

that upon temporary issuance of a license to the 

applicant, the Tribal gaming Agency must, within sixty 

calendar days, give notice thereof to the National Indian 

gaming Commission. In the event the Tribal Gaming Agency 

receives, within thirty calendar days of giving such 
notice to the National Indian Gaming Commission or a 

longer period described in subsection (h) hereto, an 

advice from the National Indian Gaming Commission that 

such primary management official or key employee does not 

meet the standards established in the Ordinance or in the 

Act for issuance of such a license, the Tribal Gaming 

Agency shall immediately suspend such license and give 

notice thereof to the licensee. In such circumstance, the 

licensee may, within fifteen calendar days of receiving 

notice of the suspension, request that the Tribal Gaming 

Agency reconsider its action. Upon such request for 

reconsideration, the Tribal Gaming Agency shall consider 

the advice of the National Indian Gaming Commission, and 

shall also consider such oral statement(s) or written 

documentation as the licensee may present to the Tribal 

Gaming Agency at the time and place designated by the 

Tribal Gaming Agency at the time and place designated by 

the Tribal Gaming Agency. Within fifteen calendar days of 

receipt of such statement(s1 or documentation, or the 

licensee's request for reconsideration, whichever is 

later, the Tribal Gaming Agency shall issue a written 

decision. If the Agency's decision is adverse, then the 

licensee may appeal the license suspension to the 

Commissioners of the Tribal Gaming Agency within fifteen 

calendar days of receiving notice thereof. The procedures 

applicable to such an appeal shall be those set forth in 

the Tribal Gaming Agency's Administrative Procedure 

Protocol. 

(h) After an application for a key personnel or primary 

management official is submitted to the National Indian 

Gaming Commission, if the National Indian Gaming 

Commission requests more information, the Tribal Gaming 

Agency shall ensure that such information is provided. 

Such a request from the Tribal Gaming Agency shall suspend 

the thirty day period provided for in subsection (g) 

above, until the Chairman of the National Gaming 

commission receives the additional information. 

Section 703. Special Processing for Particular License Applications: Gaming 

Employee's License and Gaming Facility License. 

(a) In the case of an application for a Gaming Employee's License, the 

Tribal Gaming Agency shall issue a temporary Gaming Employee's License within 

twenty calendar days of the receipt of a completed application (or within a 

longer period for good written cause shown by the Tribal Gaming Agency) 

unless the background investigation undertaken by the Tribal Gaming Agency 

discloses that the applicant has a criminal history, or unless other grounds 

sufficient to disqualify the applicant pursuant to this Section are apparent 

on the face of the application or are discovered during the initial phases of 

a background investigation. The temporary license shall become void and be 

of no effect upon either the issuance of a Gaming Employee's License or upon 

issuance of a denial of the license application, but in no event can a 

temporary license be in effect for longer than ninety calendar days. 

(b) In the case of an application for a Gaming Employee's License 
concerning positions for key personnel or primary management officials, the 

Tribal Gaming Agency shall submit the following to the National Indian Gaming 

Commission: (i) a completed application for a license; (ii) a report on 

the background investigation undertaken by the Tribal Gaming Agency 

concerning the applicant; and (iii) a determination that the applicant is 

suitable to assume his or her duties in that the applicant poses no threat to 

the public interest or to the effective regulation of gaming, and does not 

create or enhance dangers of unsuitable, unfair, or illegal practices and 

methods and activities in the conduct of gaming. Such information shall be 

submitted as soon as practicable after the collection of the required 

information, but in no event later than 60 days following the applicant's 

completion of his/her application and of a grant of a temporary license. 

(c) In the case of applicants for key personnel or primary management 

officials, the report on the background investigation undertaken by the 

Tribal Gaming Agency shall detail; (i) the steps taken in conducting the 

background investigation; (ii) the results obtained; (iii) the conclusions 

reached; and (iv) the bases for those conclusions. 

(d) The procedures to be followed by the Tribal Gaming Agency for 

conducting the background investigations and suitability determinations for 

key personnel and primary management official applicants are as follows: 

1. There shall be a clear Agency-wide statement that the Tribal 

Gaming Agency, and only the Tribal Gaming Agency, is 

responsible for the conduct of the background investigations 

and suitability determinations; 

2. There shall be maintained by the Tribal Gaming Agency a 

chart or statement showing the positions or people 

responsible for (i) conducting and causing to be conducted 

the background investigations; (ii) reviewing and approving 

the investigative work done; (iii) reporting the results of 

the background investigation to the National Indian Gaming 

Commission; (iv) obtaining and processing fingerprints in 

conjunction with a recognized law enforcement agency; and 

(v) making the suitability determinations; 

3. There shall be an internal memorandum maintained in the 

office of the Executive Director explaining how the 

positions and people identified in Subsection (2) above were 

selected; 

4. There shall be a list maintained in the office of the 

Executive Director setting forth the standard operating 

procedures for investigations, which at a minimum shall 

include the following: 

(i) verification in writing of all information 

submitted by the applicant; 

(ii) inquiry into the applicant's prior activities, 

criminal record, if any, and reputation, 

habits and associations; interview by 

telephone or meeting of a sufficient number of 

knowledgeable people such as former employers, 
personal references, and others identified on 

his/her application; exchange of information 

with all appropriate agencies; 

(iii) identification of, and documentation of, all 

potential problem areas and/or disqualifying 

information, and written disposition of all 

inquiries into such matters. 

(e) In the event a Gaming Employee's License is not issued 

to an applicant for a key personnel or primary 

management official position, the Tribal Gaming Agency 

shall notify the Indian National Gaming Commission and 

shall forward its eligibility determination and 

investigation report to the National Indian Gaming 

Commission for inclusion in the Indian Gaming 

Individuals Records System. 

Further, with respect to key employees and primary 

management officials, the Tribal Gaming Agency shall retain 

applications for employment and reports of background 

investigations for inspection by the Chairman of the 

National Indian Gaming Commission or his or her designee for 

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

employment. 

(g) In the case of an application for a Gaming Facility License or 

a renewal, modification or 

amendment thereto, the following 

protocols will apply: 

1. Officials of the Tribal Gaming Agency and officials 

of the Tribal Gaming Enterprise shall exchange 

information, plans and predispositions prior to the 

filing of a license application; 

2. Once the application is filed, the Tribal Gaming 

Agency may specify any terms or conditions it 

believes necessary or appropriate to assure the 

health and safety of patrons and employees of any 

such facility, to ensure the integrity of the Gaming 

Activities carried on at such facility, to protect 

the security of gaming proceeds, and to promote 

other interests of the Tribes in furtherance of and 

consistent with the provisions of this Ordinance; 

however, the Tribal Gaming Agency shall not deny an 

application for a Gaming Facility License unless it 

concludes that under no set of circumstances can the 

proposed facility be operated in a manner consistent 

with the requirements and purposes of this 

Ordinance; 

3. If dissatisfied with any terms or conditions imposed 

by the Tribal Gaming Agency as a prerequisite for 

granting a Gaming Facility License to it, the Tribal 

Gaming Enterprise may request that the Tribal Gaming 
Agency reconsider its determination. Upon such 

request for reconsideration, the Tribal Gaming 

Agency shall issue a written decision within fifteen 

calendar days of its receipt of the request for 

reconsideration. That decision shall be final and 

binding except that, in the event the Tribal Gaming 

Enterprise continues to be dissatisfied with the 

Tribal Gaming Agency's determination, the Tribal 

Gaming Enterprise may, within fifteen-calendar days 

of the Tribal Gaming Agency's decision, formally 

present the issue or issues to Tribal Council for a 

binding and final decision. At a hearing before 

Tribal Council, both the Tribal Gaming Enterprise 

and the Tribal Gaming Agency, shall present relevant 

evidence as to the merits of their respective 

positions. 

Section 704. Fees for Licenses and Renewal of Licenses 

Applications for licenses or for renewal of licenses must be 

accompanied by nonrefundable fees for the following categories of licenses. 

Such fees shall be set by regulation of the Tribal Gaming Agency and shall be 

assessed to enable the Tribal Gaming Agency to defer the cost to the Tribal 

Gaming Agency of processing such applications: 

(a) Fees for Gaming Facility Operator: 

1. Initial application fee. 

(A) Tribal Gaming Enterprise; 

(B) Member, Board of Directors. 

2. Annual renewal fees. 

(A) Tribal Gaming Enterprise. 

(B) Member, Board of Directors. 

(b) Fees for Gaming Manager's License: 

1. Initial application fee; 

2. Annual renewal fee. 

(c) Fees for ~anufacturer/Supplier License: 

1. Initial application fee 

(A) Manufacturer/Supplier for Gaming Devices. 

(B) Supplier of Gaming Services. 

(C) Third Party Financier. 

2. Annual renewal fees 

(A) ~anufacturer/~upplier of Gaming Devices. 

(B) Supplier of Gaming Services. 

(C) Third Party Financier. 

(d) Fees for Gaming Employee's License: 
1. Initial application fee. 

2. Annual renewal fee. 

(e) Fees for Gaming Facility License. 

1. Initial application fee. 

2. Fee for the application for amendment of an existing Gaming 

Facility License. 

3. Renewal fee. 

(f) The Tribal Gaming Agency may by regulation prescribe such other 

fees as it deems appropriate. 

Section 705. License Terms; Renewal. 

(a) Each Gaming Facility Operator's License, Gaming Manager's License, 

~anufacturer/Supplier License and Gaming Employee's License shall have a 

primary term of one year. Such license may be renewed for subsequent oneyear periods upon proper application therefor, on forms specified by the 

Tribal Gaming Agency, but no licensee shall have any vested right to renewal 

of any of the licenses mentioned in this subsection. 

(b) Each Gaming Facility License issued by the Tribal Gaming Agency 

shall have a primary term of one year. Such license may be renewed for 

subsequent periods of one year upon proper application therefor, on forms 

provided by the Tribal Gaming Agency. 

Section 706. Special Obligations of Corporate Licensees. 

As a condition of any license other than a Gaming Facility License, the 

Tribal Gaming Agency shall require by regulation that any licensed 

corporation, partnership or other entity shall give notice to the Tribal 

Gaming Agency of any material change in any information disclosed in the 

application for such license, including but not limited to, any change in its 

principals, within ten calendar days of such change. 

CHAPTER 8. Facility Inspection; Reporting Requirements 

Section 801. Facility Inspection. 

The Tribal Gaming Agency shall, no less than monthly and at such other 

times as it believes is warranted, cause detailed inspections to be made of 

each licensed Gaming Facility to assure that such facility is being operated 

in accordance with the terms of the license and of the provisions of this 

Ordinance, the Act and any other applicable laws or regulations, and that in 

all other respects the facility's operation is in furtherance of the purposes 

of this Ordinance. 

Section 802. Reporting Requirements. 

(a) The Tribal gaming Agency shall require the Tribal gaming 

Enterprise to file periodic Property Reports, which shall advise the Tribal 

Gaming Enterprise of all leases for real or personal property entered into by 

the Tribal Gaming Enterprise. Such reports shall be filed not later than 

thirty calendar days after the effective date of the lease and shall include 
the following information: 

1. The name, address, and a brief statement of the nature of 

the business of the lessor; 

2. A brief description of the material terms of the lease 

In the event the terms of the lease are changed during its life, such changes 

shall be reported to the Tribal Gaming Agency within thirty calendar days of 

their xcurrence. 

(b) The Tribal Gaming Agency shall require the Tribal Gaming 

Enterprise to file an annual Employee Report, which shall be submitted on a 

form to be provided by the Tribal Gaming Agency. The report shall identify 

every individual who is directly or indirectly engaged in the administration 

or supervision of the Gaming Operation or physical security activities of the 

Gaming Operation. The following classes of gaming employees shall be 

presumed to be actively and directly engaged in the administration or 

supervision of gaming: 

1. All individuals who are compensated in excess of $50,000 

cash compensation a year; 

2. All individuals who may approve or extend gaming credit in 

any amount, or whose recommendations in this regard are 

ordinarily sought or followed; 

3. All individuals who have authority to hire or terminate 

employees of the Gaming Operation; 

4. All individuals who have the authority to supervise or 

direct a shift of any gaming or security activity, including 

but not limited to supervision of the pit area, keno or 

bingo games and slot machines, or any persons having 

authority to supervise or direct such persons; 

5. All individuals who regularly participate in the count more 

frequently than one day in each week or who actually 

participate in the count more than ten days in any thirtyday period; 

6. All individuals who may approve or extend in casino patrons 

complimentary house services other than beverages only; 

7. All individuals who supervise or direct other employees 

engaged in the control of gaming assets and revenues and 

record keeping, including the recording of cash and 

evidences of indebtedness, and in the maintenance, review or 

control of the records, accounts and reports of transactions 

which are required to be kept; 

8. Any individual who has been specifically represented to the 

Tribal Gaming Agency by the Tribal Gaming Enterprise as 

being important or necessary to the operation of the Gaming 

Facility; 
9. All persons who individually or as part of a group formulate 

management policy. 

The annual Employee Report shall also include a description of the 

gaming duties, casino responsibilities, and casino authority delegated to 

each individual identified in the report. Any changes, additions, or 

deletions to any information contained within the annual Employee Report 

which occurs subsequent to the filing of the report and prior to the filing 

of the report for the next calendar year shall be reported to the Tribal 

Gaming Agency in writing no less ten calendar days after the end of the 

calendar quarter during which the change, addition or deletion occurred. 

(c) The Tribal Gaming Agency shall require the Tribal Gaming 

Enterprise to file a Loan Report whenever the Tribal Gaming Enterprise 

applies for or receives, accepts or makes use of any cash, property, credit, 

guarantee or other form of security loaned to, or provided for, or on behalf 

of, the Gaming Operation. Such Loan Report shall be filed within thirty 

calendar days of the transaction to be reported, and shall be submitted on 

forms provided by the Tribal Gaming Agency. Loan Reports shall include a 

listing of the names and addresses of all parties to the transaction, the 

amount and source of the funds, property or credit received or applied, the 

nature and amount of security provided by or on behalf of the Gaming 

Operation, the purpose of the transaction, and such other information as the 

Tribal Gaming Agency may require. 

Section 803. Indevendent Audits: 

(a) The Tribal Gaming Enterprise shall provide to the Tribal Gaming 

Agency an audited financial statement for each of its licensed Gaming 

Facilities at its own expense and at least annually, on a date to be 

established by the Tribal Gaming Agency and at such times as the Tribal 

Gaming Agency may require. 

(b) The Tribal Gaming Enterprise's annual audit shall be performed by 

an independent certified public accountant engaged by and reporting to the 

Tribal Council licensed in the appropriate State, having in-depth knowledge 

of and experience with the accounting standards and auditing procedures 

appropriate for the gaming industry. Such independent certified public 

accountant shall submit an audit report expressing an unqualified or 

qualified opinion or, if appropriate, disclaim any opinion on the financial 

statement taken as a whole in accordance with generally accepted auditing 

standards published by the American Institute of Certified Public 

Accountants. The examination and audit shall disclose whether the accounts, 

records and internal controls and accounting procedures maintained by the 

licensed Gaming Facility are as require by this Ordinance, the Act and any 

applicable laws or regulations. To ~acilitate the completion of such audits 

and presentation of such financial statements: 

(i The Tribal Gaming Enterprise shall make and maintain 

complete, accurate and legible records of all 

transactions pertaining to any Gaming Activities and any 

other revenue producing activities conducted by the 

Tribal Gaming Enterprise at or in conjunction with any 

Gaming Facility licensed hereunder. Such records as 

well as all original entry transaction records shall be 

maintained for at least five years from the date on 
which they are made, and shall be maintained on the 

licensed premises; 

(ii) The Tribal gaming Enterprise shall maintain general 

accounting records on a double entry system of accounting 

with detailed, supporting subsidiary records sufficient to 

furnish the information required for the standard 

financial reports to adequately reflect gross income and 

expenses related to gaming and subsidiary operations; and 

(iii) The Tribal Gaming Agency shall from time to time prescribe 

a uniform chart of accounts and accounting classifications 

in order to assure consistent and effective disclosure of 

financial information. 

(c) The Tribal Gaming Enterprise shall, within the context of the 

annual audit, also cause to made an independent audit of all gaming-related 

contracts that result in the purchase of supplies, services, or concessions 

in excess of $25,000.00 annually, except contracts for professional legal and 

accounting services. 

(d) The Tribal Gaming Agency, when it deems necessary, may request 

additional information, from either the Tribal Gaming Enterprise or the 

independent accountant through the Tribal Gaming Enterprise, regarding either 

the financial statement, the audit or both. In addition, copies of all 

letters from the independent accountant to the Tribal Gaming Enterprise 

regarding internal control matters shall be provided to the Tribal Gaming 

Agency within thirty calendar days after receipt by the Tribal Gaming 

Enterprise. 

(e) The Tribal Gaming Agency shall provide copies of all annual audits 

of Gaming Activities and Gaming Operations to the National Indian Gaming 

Commission and/or to the State Gaming Agency, as require by law. Nothing 

herein shall limit the Tribal Council or the Tribal Gaming Agency to require 

such further internal intermittent, or other audits as may be deemed 

appropriate. 

CHAPTER 9. Gaming Operations; Internal Controls. 

Section 901. Scope of Permissible Gaminq. 

The Gamins Activities ~ermitted to be conducted within a licensed 

Gaming Facility-on Tribal ~an;is are those which may lawfully be carried out 

by an Indian tribe within the State under applicable provisions of federal 

law including, but not limited to, the Indian Gaming Regulatory Act. Such 

Gaming Activities shall include all forms of Class I and Class I1 Gaming, and 

permissible forms of Class I11 Gaming, as provided in this Compact. All such 

Gaming Activities are to be conducted in a manner suitable to protect the 

public health, safety, morals, good order and general welfare of the Tribes. 

Section 902. Hours, Days, Other Standards. 

Consistent with the provisions of the Compact, the Tribal Gaming Agency 

may be regulation establish the permissible hours and days of operation of 

Gaming ~ctivities authorized herein, but such regulations may provide that 

licensed Gaming Facilities may remain open and conduct Gaming Activities 

twenty-four hours a day, seven days a week. The Tribal Gaming Agency may 
also establish order standards of operation for such facilities, as it deems 

appropriate, including a provision that patron payments for wagers must be in 

cash or cash equivalent, or by credit card or check. 

Section 903. Employee and Player Age Limit. 

Effective June 1, 2003, no person under 21 years of age shall be 

permitted to place any wager, directly or indirectly, in any Gaming Facility. 

Nor shall any person under 21 years of age be permitted on the Gaming Floor 

during the business hours of such facility. No person under 18 years of age 

shall be employed by the Tribal Gaming Enterprise or the Tribal Gaming 

Agency. No person under 21 years of age shall be employed in the service of 

alcoholic beverages at any Gaming Facility. The Tribal Gaming Agency shall 

by regulation establish measures by which The Tribal Gaming Enterprise shall 

enforce the provisions of this section. 

(Amended by Tribal Council resolution No. 120-03 May 22, 2003) 

Section 904. Employee Gaming 

The Tribal Gaming Agency shall consider, in its further regulations, 

whether any person who is an employee of the Tribal Gaming Agency or of the 

State Gaming Agency, or is an agent or employee of the Tribal Gaming 

Enterprise, shall participate as a player in any Gaming Activities conducted 

by the Tribal Gaming Enterprise. 

Section 905. Publication of Payoffs. 

Payoff schedules or award cards applicable to every licensed game, slot 

machine and gaming device shall be displayed at all times either on the table 

or machine or in a conspicuous place immediately adjacent thereto. Payoff 

schedules or award cards must accurately state actual payoffs or awards in a 

clear, unambiguous and immediately accessible manner. 

Section 906. Slot Machines and Gaming Devices. 

The Gaming Operation shall offer only slot machines and gaming devices 

for play by the public at the Gaming Facility which have been approved under 

the provisions of the Compact, or have otherwise been authorized by the 

Tribal Gaming Agency. The Tribal Gaming Agency may require the testing of 

any slot machine or gaming device to ensure compliance with the requirements 

of this section. 

Section 907. Unsuitable Methods of Operation 

Neither the Tribal Gaming Enterprise nor any of its employees, agents 

or affiliates shall, in the course of involvement with Gaming Activities, 

undertake any conduct or commit any action that is inimical to the public 

health, safety, morals, good order and general welfare of the Tribe, or that 

would impose or tend to impose discredit upon the Tribe or its Gaming 

Operations. The undertaking of any such conduct or commission of any such 

action shall be deemed to be an unsuitable method of Gaming Activity 

operation and shall be grounds for disciplinary action by the Tribal Gaming 

Agency in accordance with the regulations of the Tribal Gaming Agency. 

Without limiting the generality of the foregoing, the following acts or 

omissions may be determined to be unsuitable methods of operation: 
Negligently failing to take reasonable precautions or 

actions to prevent incidents which might reflect on the 

repute of the Tribe and act as a detriment to the 

development of the Gaming Operation; 

Permitting persons who are visibly intoxicated to 

participate in Gaming Activities; 

Extending service of intoxicating beverages in the casino 

area to persons who are visibly intoxicated; 

Catering to, assisting, employing or associating with, 

either socially or in business affairs, persons who have 

been barred from Tribal Gaming Facilities pursuant to 

Section 505(i) of this Ordinance, or with persons who have 

been identified in writing by the Tribal Gaming Agency or 

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 

investigation committees or other officially constituted 

bodies acting on behalf of the United States or any state 

with regard to Gaming; 

Employing in any position any person who has been denied a 

license for such position from the Tribal Gaming Agency, 

and employing any person lacking a Tribal Gaming Agency 

license in any position for which such a license is 

required; 

Contracting for the provision of gaming services or gaming 

devices with any person or entity who has been denied a 

license to supply gaming services or gaming services by 

the Tribal Gaming Agency, and contracting for the 

provision of services, merchandise or equipment with any 

person or entity who has failed to obtain a license to 

supply services, merchandise or equipment from the Tribal 

Gaming Agency; 

Employing in the Gaming Operation any person whom the 

Tribe or any court has found guilty of cheating or using 

any improper device in connection with any game, whether 

as a licensee, dealer or player at a licensed game or 

device; as well as any person whose conduct of a licensed 

game as a dealer or other employee of a licensee resulted 

in revocation or suspension of the license of such 

licensee; 

Failing to comply with or make provision for compliance 

with all Tribal, Federal and state laws and regulations 

pertaining to the operation of Gaming Activities; 

Conducting, carrying on or operating any Gaming Activities 

on Tribal Lands which are not conducted, carried out on or 

operated on the premises of a licensed Gaming Facility, 

except in the event of a Class I or Class I1 per-event 
Gaming Activity conducted pursuant to a permit issued by 

the Tribal Gaming Agency; 

Conducting, carrying on or operating any cheating or 

thieving game or device on or off the Gaming Facility 

premises, either knowingly or unknowingly, which may have 

in any manner been tampered with or otherwise placed in a 

condition, or operated in a manner, which tends to deceive 

the public or which might make the game more liable to win 

or lose, or which tends to alter the normal random 

selection of criteria that determine the results of the 

game ; 

(k) Denying any agent of the Tribal Gaming Agency, the 

appropriate State Gaming Agency, the Colorado River Indian 

Tribes police or other officials having jurisdiction, upon 

proper and lawful demand, access to, and inspection or 

disclosure of, any portion of the Gaming Facility, as 

authorized by applicable laws and regulations. 

Section 908. Internal Controls. 

(a) The Tribal Gaming Agency shall by regulation establish minimum 

standards of internal controls to be in place at each Gaming Facility 

licensed hereunder. Internal controls include the plan of organization and 

all of the coordinate methods and measures adopted within a Gaming Operation 

to safeguard its assets, check the accuracy and reliability of its accounting 

data, promote operational efficiency and encourage adherence to prescribed 

managerial policies. Generically, internal controls shall include a system 

of accounting controls and a system of administrative controls. 

(b) The system of accounting controls shall be governed by the 

following considerations: 

1. It shall provide a plan of organization and a description 

of procedures and records that will permit reasonable 

assurance that the following objectives will be 

maintained: 

(i) safeguarding of assets; 

(ii) reliability of financial records; 

(iii) execution of transactions in accordance with 

management's general or specific authorization; 

(iv) recording of transactions as necessary to permit 

recording of gaming revenue and to maintain 

accountability for assets; 

(v) access to assets only in accordance with 

management's authorization; 

(vi) comparison of records of assets with existing assets 

at reasonable intervals with provision for 

appropriate action with respect to any differences. 
2. In order to accomplish the objectives stated in the 

preceding paragraph, the system of accounting controls 

shall, according to regulations prescribed by the Tribal 

Gaming Agency, at a minimum include a detailed system for 

counting cash receipts and gross revenues at least daily, 

which system shall be appropriate to the types of Gaming 

Activities carried on at the facility and the physical 

characteristics of the system utilized for collection of 

cash at the facility. 

3. The Tribal Gaming Agency may prescribe accounting 

regulations detailing treatment of credit for purposes of 

computing gross revenue. 

4. As part of a system of accounting controls, the Tribal 

Gaming Agency shall require that all bank accounts 

maintained by the Tribal Gaming Enterprise shall be made 

known to it and that such bank accounts shall be 

identified by bank and account number and that all 

signatories to such accounts shall be identified by name. 

(c) The system of administrative controls shall be governed by the 

following considerations: 

1. It shall at a minimum include a complete plan of 

organization that will set forth an organizational chart 

showing appropriate segregation of functional 

responsibilities and a regimen of sound practices to be 

followed in the performance of such segregated functional 

responsibilities. 

2. The plan of organization shall be both diagrammatic and 

narrative and shall clearly describe and depict the 

interrelationship of organizational job functions and the 

division of functional responsibilities upon which the 

system of internal organizational 

and administrative control is based. 

(d) The overall system of accounting and administrative internal 

controls shall be accompanied by a report of an independent public 

accountant licensed in the appropriate State stating that the system 

conforms in all material respects to the standards of internal controls 

established by the regulations of the Tribal Gaming Agency, or 

alternatively setting forth in what material respects it does not so 

con£ orm . 

CHAPTER 10. Notices of Violation; Complaints and Disciplinary Actions 

Section 1001. Notice of Violation. 

(a) The Executive Director of the Tribal Gaming Agency shall issue a 

notice of violation to any person or entity determined by the Tribal Gaming 

Agency to be in violation of any provision(s) of this Ordinance (including, 

but not limited to, any of the grounds for disciplinary action listed in 
Section 907), the Act or any other applicable laws or regulations. A copy of 

such notice shall also be forwarded to the appropriate State Gaming Agency. 

(b) A notice of violation shall contain: 

1. a citation to the Ordinance, regulation, Compact provision 

or federal law that has been or is being violated; 

2. a description of the circumstances surrounding the 

violation, set forth in common and concise language; 

3. the action(s) which must be taken to correct the 

violation; 

4. notice that the violation must be corrected within fifteen 

calendar days from receipt of the notice of violation or, 

if contested or explained in writing pursuant to 

Subsection (b) (6) hereof, within fifteen calendar days of 

the Tribal Gaming Agency's ultimate determination on the 

matter; 

5. notice of the civil fine or other enforcement action that 

will or could be imposed if the violation is not 

corrected; 

6. notice that a written response to the notice of violation 

must be submitted to, and received by, the Tribal Gaming 

Agency within fifteen calendar days of the receipt of the 

notice of violation; and 

7. notice that the notice of violation shall be the written 

decision of the Tribal Gaming Agency in the event that no 

written response to the notice of violation is submitted 

to the Tribal Gaming Agency within the time provided in 

this Section. 

(c) in the event the violation is not corrected, or a written response 

to the notice of violation is not made within fifteen calendar days following 

receipt of the notice of violation, the Tribal Gaming Agency may take one or 

more of the following actions: 

1. suspend or revoke the license of the person or entity to 

whom the notice of violation was directed; 

2. assess of civil penalty in accordance with the provisions 

of this Ordinance; 

3. forcibly remove the violator from the Gaming Facility; 

4. seize the Gaming Facility and all equipment, records and 

proceeds of the Gaming Activities located within the 

Gaming Facility; or 

5. upon consultation with the Tribe's Attorney General, 

initiate in the Tribal Court a civil complaint to enforce 

the Ordinance, regulations of the Tribal Gaming Agency, 
the Compact or the Act. 

!d) Each person or entity to whom a Notice of Violation is issued 

shall submit a written response to the Tribal Gaming Agency within fifteen 

calendar days of the receipt of the Notice of Violation, together with any 

additional information the person believes that the Tribal Agency should 

consider. Upon receipt of the written response, the Tribal Gaming Agency 

shall issue a written decision within fifteen 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 Tribal Gaming Agency, the party 

responding to the notice of violation may, within fifteen calendar days, 

appeal the matter to the consideration of the Commissioners of the Tribal 

Gaming Agency pursuant to procedures set forth in the Tribal Gaming Agency's 

Administrative Procedure Protocol. The decision of the Commissioners of the 

Tribal Gaming Agency shall be final unless the Tribal Gaming Enterprise 

determines that it is in its best interests to appeal the matter to the 

Tribal Council, in which case a notice of appeal must be made within five 

calendar days of the Commissioners' decision. In the event of an appeal from 

the Commissioners' decision, Tribal Council shall exercise its discretion 

about whether to entertain the appeal, and if it does choose to entertain the 

appeal, shall decide the issue according to fair and impartial principles of 

due process. Any decision by Tribal Council shall be final and not subject 

to appeal or review by Tribal Court or any other judicial forum. 

(e) In the event of an adverse decision from the Commissioners and a 

refusal (by referral or otherwise) by Tribal Council to entertain an appeal, 

the party responding to a notice of violation may appeal the matter to Tribal 

Court. In such instance, however, the Court's power of review 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. In addition, if the Tribal Gaming Agency 

takes any summary action pursuant to subsection (f) hereof, the party against 

whom such action is taken may move the Tribal Court for a restraining order 

and the Tribal Court shall have the power to review such application 

according to its normal procedures and standards of decisions. 

(f) No action to enforce a notice of violation shall be taken by the 

Tribal Gaming Agency until the Tribal Gaming Agency issues its decision or, 

if applicable, the Commissioners render their decision; however, the Tribal 

Gaming Agency may summarily suspend any license issued under this Ordinance 

or take such other immediate action if the continued licensing of, or conduct 

by, a person or entity constitutes an immediate threat to the public health, 

safety or welfare. 

Section 1002. Investigation of Complaints. 

(a) The Tribal Gaming Agency shall investigate all sworn complaints 

that are filed with the Tribal Gaming Agency alleging that a licensee is 

acting in violation of the terms of any license, or a Gaming Facility is not 

being properly maintained in accordance with the terms of any license or does 

not adequately protect the health, safety and welfare of the employees or 

patrons. 

(b) The Tribal Gaming Agency shall give written notice of, and provide 

a copy of, the sworn complaint to the licensee by mailing such notice and 
complaint to the licensee by certified or registered mail, return receipt 

requested. The licensee shall file with the Tribal Gaming Agency a written 

reply to the complaint within fifteen calendar days of receipt of the notice 

and complaint. The Tribal Gaming Agency shall provide copies of the 

complaint and the licensee's answer to the Tribal Attorney General's office 

and to Tribal Council. 

(c) Following receipt of the licensee's response on the complaint, the 

Tribal Gaming Agency shall cause a full investigation to be made of the 

allegations of the complaint. If the Tribal Gaming Agency determines that a 

violation of the Ordinance, the Compact or the Act has occurred or is 

occurring, the Executive Director shall issue a notice of violation in 

accordance with the provisions of this Chapter. 

CHAPTER 11. Patron Disputes; Limits of Contractual and Tort Liability to 

Patrons and/or Other Individuals or entities. 

Section 1101. Patron Disputes. 

The Tribal Gaming Enterprise shall notify the Tribal Gaming Agency of 

every dispute with a patron; moreover 

(a) Whenever the Tribal Gaming Enterprise refuses payment of 

alleged winnings to a patron, the Tribal Gaming Enterprise and 

the patron are unable to resolve the dispute to the 

satisfaction of the patron, and the dispute involves: 

1. ~t least five hundred dollars ($500) , the Tribal Gaming 

Enterprise shall immediately notify the Tribal Gaming 

Agency; or 

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

Enterprise shall inform the patron of his or her right to 

request that the Tribal Gaming Agency shall conduct 

whatever investigation it deems necessary and shall 

determine whether payment should be made. 

(b) The Tribal Gaming Agency shall mail written notice by certified 

mail, return receipt requested, to the Tribal Gaming Enterprise and the 

patron of its decision resolving the dispute within thirty calendar days 

after the date that the Tribal Gaming Agency first receives notification from 

the Tribal Gaming Enterprise or a request to conduct an investigation from 

the patron. 

(c) The decision of the Tribal Gaming Agency is effective on the date 

it is received by the aggrieved party as reflected on the return receipt. 

(d) Within thirty calendar days after the date of receipt of the 

written decision, the aggrieved party may file a petition with Tribal Gaming 

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

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

decision and other documentation provided to it by the patron and the Tribal 

Gaming Enterprise. The Tribal Gaming Agency shall then issue a written 

decision and shall mail it to the parties by registered mail or certified 

mail, return receipt requested. The decision of the Tribal Gaming Agency 

shall be final and binding upon the patron and the Tribal Gaming Enterprise 
and shall not be subject to judicial review or other legal action. 

Section 1102. Limits of Contractual and Tort Liability: 

The Tribal Gaming Enterprise shall enjoy sovereign immunity as an 

entity of the Tribe's Government, but shall waive such sovereign immunity and 

be subject to suit in Tribal Court only, and to such damages as are provided 

hereinafter. The Tribal Gaming Enterprise may be sued for breach of 

contract; however, the liability of the Tribal Gaming Enterprise in contract 

shall be limited to actual contractual losses and/or any appropriate 

injunctive relief, but shall not include special damages or punitive damages. 

The Tribal Gaming Enterprise may be sued for intentional or negligent 

tortious conduct, including wrongful death; however, the liability of the 

Tribal Gaming Enterprise in tort shall be limited to compensatory damages not 

in excess of the liability limits under the insurance coverage maintained by 

the Tribal Gaming Enterprise, and shall not include anticipated profits, 

damages for mental distress, punitive damages or any other measure of damages 

in excess of the actual sustained loss. 

Section 1103. Limits of Liability for Tribal Gaming Agency 

The Tribal Gaming Agency is entitled to exercise an absolute defense of 

sovereign immunity against any suit brought against it, except such suits and 

actions as are provided for in this Ordinance, or such suits or actions for 

which the Tribes unilaterally agree to waive the sovereign immunity defense 

of the Tribal Gaming Agency. 

CHAPTER 12. Offenses and Remedies 

Section 1201. Offenses 

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

(a) conduct or operate any Gaming Activities within Tribal 

Lands except as provided in this Ordinance; 

(b) receive, distribute, apply or direct any property, funds, 

proceeds or other asset of any Gaming Activity to the 

benefit of any individual or other person except as 

authorized by this Ordinance or by any duly enacted 

Resolution of the Tribal Council: 

(c) tamper with 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 Activity; 

(d) 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 accord with the publicly announced 

rules of such Gaming Activities; 

(e) participate as a player in any Gaming Activities conducted 

by the Tribal Gaming Enterprise, while such person is the 

Executive Director, a Commissioner of the Tribal Gaming 

Agency, or a Boardmember of the Tribal Gaming Enterprise; 
and 

(f) participate as a player in any Gaming Activities conducted 

by the Tribal Gaming Enterprise, while such person is 

listed as a person barred from the Tribe's Gaming 

Facilities pursuant to Section 505 (i) of this Ordinance. 

(g) enter the Gaming Facilities while bearing firearm or other 

deadly weapon unless specifically authorized by the Tribal 

Gaming Agency to do so. 

Section 1202. Penalties. 

Any individual who violates any provision of this Ordinance or the 

Compact shall be subject to civil penalties including exclusion from 

employment by a Gaming Facility Operator, exclusion from attendance at any 

Tribal Gaming Facility, exclusion from the Tribal Lands if a non-member of 

the Tribes, or a civil penalty of not more than $10,000 for each such 

violation. Such penalty shall be within the jurisdiction and discretion of 

the Tribal Gaming Agency as set forth in Chapter 10 of this Ordinance. 

Section 1203. Civil Remedies. 

The Tribal Gaming Agency may in the name of the Tribes bring any civil 

action in the Tribal Court to enforce the provisions of this Ordinance or the 

Compact or to enjoin or otherwise prevent any violation of this Ordinance, 

the Compact or the Act occurring on Tribal Lands.