Trice, cr such other sntity of the Tribe as the Tribe may from time to time 7:
writen actice to the State as the whoily-owned Tribal entity having full 3.
respensibility for the operation and management of Class !II Gaming Activitir

1.220 "Gaming services" means the providing of any goods or servic
for legal services, to the Tribe in connection with the operation of Class II! S-
Gaming Facility, including but net limited to equipment, transportation, ©:
janitorial supolies, maintenance or security services for the Gaming Facility, i. -
in excess of $10,000 in any singie month.

1,230 “Gross gaming revenue” means the ‘otal of ail cash recsis -
cash received in payment for credit extended by the Gaming Operation to a:
compensation received by the Gaming Cperation for conducting any game ‘r.
Gaming Operation is not a party to the wager, less the total of all cash paid 21. a
to oatrons.

1.240 "Internal control system" means written administrative and accour
procedures for the purpose of exercising effective control over the internal fiscal affair
the Gaming Operation.

1.250 “Interstate common pari-mutuel pool" means a pari-mutuel ae",
of pari-mutuel wagers placed at a track, its intrastate betting locations, other ju
and the off-track pari-mutuel wagers placed and accepted by pari-mutuel boc’

1.260 "License" means an approval issued by the Tribal Gaming Office io 27
natural person or entity to be involved in the Gaming Operation or in the providing o
Gaming Services to the Tribe.

1.270 "Licensee" means any natural person or entity who has been lic:
the Tribal Gaming Office to be involved in the Gaming Operation or in the provi | -°
Gaming Services to the Tribe.

. 1.280 “Live Broadcast" means an audio and video transmission of a -
series of races, as it occurs at a track, whether or not it is furnished by a dissemin

a fee.

41.290 “Management Contract" means a contract within the mearirg -
§$§2710(a}(9) and 2711.

1.300 "Management Contractor" means a natural person sr arty
artered intc a Management Contract with the Tribe or a Gaming Facility Ceeraicy
has been aperoved pursuant to 25 U.S.C. $$2710(d)(9) and 2711.

1.340 "Manufacturer" meas ural 2erson or antity that m.

12


CHAPTER 6

HEARINGS
§.010 Licensing hearings.
1. The Tribal Gaming Cffice may hold hearings to consider any aopile..:

a ‘license cr a finding of suitability. Written notice of such hearing shall pe mailed :o the
applicant, certified mail, return receipt requested, at least 20 days before tha hee

2. At the hearing, the applicant shall be allowed to present any felevun:
information pertaining to the application, including, but not limited to, the live testimony
witnesses. Any written documentation that the applicant intends to present at the he.
shall be provided to the Tribal Gaming Office at least seven days prior to the hearing °°
‘tmay be excluded from consideration. Representatives of the State Gaming Agency sh-
be allowed to be present at any such hearing and snall oe allowed to present
information relevant to the application.

3. Upon the conclusion of the hearing, the Tribal Gaming Office shall is-> -
decision upon the application. A-majerty-vete-oftke Tribal Gaming Office is-ror
may approve any application recommended for approval by the State Gaming .
A majority vote of the Tribal Gaming-Office- Council is required to approve any appiic>
recommended for denial by the State Gaming Agency.

6.020 Patron dispute hearings.

1. Refusal to Pay Winnings. Whenever the Gaming Facility Operator refus::
payment of alleged winnings to a patron, and the Gaming Facility Operator and the patron
are unable to resolve the dispute to the satisfaction of the patron and the dispute inv:

a. At least five hundred Dollars ($500.00), the Gaming Facility Operator

shall immediately notify the Tribal Gaming Office. The Tribal Gaming

- Office shall conduct whatever investigation it deems necessary and
shall determine whether payment should be made; or

b. Less than five hundred dollars ($500.00), the Gaming Fac’
Operator shall inform the patron of his or her right to request tho:
Tribal Gaming Office conduct an investigation. Upon request
patron, the Tribal Gaming Office shall conduct whatever inves
it deems necessary and shall determine whether payment snct
made.

Limitation 2f Liability. The ‘iabiiity of the Gaming Facility Dcac2t7-

°

33


CHAPTER 5

OPERATIONAL REQUIREMENTS

5.010 Methods of operation.

1. It is the policy of the Tribe to require that the Gaming Facility Operator, 4 and
all enterprises licensed or found suitabie in connection therewith, are conduct=+ °
manner suitable to protect the aublic health, safety, morals, good order arc
weifare of the Tribe.

2. Responsibility for the employment and maintenance of suitable “nz:
operation rests with the licensee and the Gaming Facility Ooerator and willful or pers.»
use or tcieration of methods of operation deemed unsuitable will constitute grour. >
license revocation or other discipiinary action.

5.020 Grounds for disciplinary action. The Tribal Gaming Office deems that any
activity on the part of the Gaming Facility Operator, Manager, or any licensee, his 7~ ~~
or employees, that is inimical to the public health, safety, morals, good order anc ~
welfare of the Tribe, or that would reflect or tend to reflect discredit upon the Trib-
Gaming Facility Operator, to be an unsuitable method of operation and shall be gr:
for disciplinary action, including summary suspension of any tribal license, by the
Gaming Office in accordance with the Compact and the regulations of the Tribal Gar.
Office. Without limiting the generality of the foregoing, the following acts or omissions
may be determined to be unsuitable methods of operation:

1. Failure to exercise discretion and sound judgment to prevent incidents +" ~
might reflect on the repute of the Tribe and act as a detriment to the developme:’:

Gaming Facility Operator.

2. Permitting persons who are visibly intoxicated to participate in gaming
activity.

3. Complimentary service of intoxicating beverages in the casino area °°
persons who are visibly intoxicated.

4, Catering to, assisting, employing or associating with, either soc...”
business affairs, persons who have been identified in writing by the Tribal Gam
or the State Gaming Agency as persons of ncterious or unsavory raoutation or:
extensive pciice records, or persons who have defied congressional inves gatve
committees or other officially constituted bodies acting on behalf of the United 2:
any state, or the employing either directly or througn a contract, or any 2ther ~~

29


ihings, cther than documents, then reasonably availabie to a party which are chan
intended to de offered as evidence in support of the party’s case in chief, and upon
request, arrange for the opposing parties to inspect, ccpy, test, or sample the sama ‘ini or
the supervision of the parties; and

c. Exchange written lists of persons each party then intends to call as 3
material witness in support of that party’s case in chief. Each witness shall be identi
by name, if known, position, business address, and a orief description of the purpose fur
which the witness will be called. If no business address is available, the party sh!
provide a home address for the witness, or shall make the witness available for servis
of orocess. For the purpose of this paragraph, a "material witness" is a person
testimony relates to a genuine issue in dispute which might affect the outcome 2

proceeding.

3. it shall be a continuing obligation of the carties to produce decumenis.
witness lists, and other matters governed by this section as such become identified 5. >
available to the parties. A party may amend its responses to the requirements of ius
section by informing the adverse party that documents previously produced or witnesses
previously listed, will not be introduced in that party’s case in chief.

7.080 Conduct of hearings. The following procedures will appiy
appropriate:

4. The respondent will be allowed to present and argue any legal objections to
the complaint set forth in the answer; the Executive Director may thereupon present his
answering argument; and thereafter the respondent may present rebuttal argument. The
matter will then be submitted to the Office hearing panel or decision. The Office hearing
panel may rule upon such objections immediately or take the matter under advisement
and proceed with the hearing.

2. The Executive Director will present his opening statement on the merits. Tr
respondent will then be permitted to make an opening statement of the defense, or he
may reserve the same until commencement of the presentation of the defense.

3. The Executive Director will then present his case in chief in support of the
complaint.
4, Upon conclusion of the Executive Direcior’s case in chief, the ses;

may move for dismissal of the complaint. The Gfice hearing panel may hear argur:
on the metion, or may grant, deny, or reserve decision thereon, with cr without argu

3. if no motion to dismiss is made, or if such motion is denied or
son, the rescondent shall thereupon present ‘ne case for :h3 te

38


13. Any cther information the Trice deems relevant, and

14. Fingerprints consistent with procedures adopted by ‘>< ~~’
according to 25 C.F.R. § 522.2fh).

(pb). The Tribe shail conduct an investigaticn sufficient ‘o
determinaticn under suosection 4. below. In conducting a background investi
Tribe er its agent shall premise to keep confidential the identity cf sach person !r:.
in the course of the investigaiion.

A Zligibility Determination

The Tribe shall review a person’s prior activities, criminal record, if arv
reoutaticn, habits and associations to make a finding concerning the ei:gibility -
amoicys.: or primary management official for employment in a gaming operation.

Tribe determines that employment of the perscn poses a threat :c the public inter: :
to the effective regulation of gaming, or creates or enhances dangers of unsuitable, —: :
or illegai practices and methods and activities in the conduct of gaming, a tribal gaming
operation shall not employ that person in a key employee or primary management officia’
position.

5. Procedures for Forwarding Applications and Reports". -
Employees and Primary Management Officials to the National _::
Gaming Commission

(a). When a key employee or primary management official begins work at
a gaming operation authorized by this ordinance, the Tribe shall forward to the National
Indian Gaming Commission a completed application for employment and conduct ‘he
background investigation and make the determination referred to in subsection 4. of this
section.

(b). The Tribe shall forward the report referred to in subsection 6. of this
section to the National Indian Gaming Commission within 60 days after an employee
begins work or within 60 days of the approval of this ordinance by the Chairman of ihe
National Indian Gaming Commission.

{c). |The gaming operation shall not employ as a key employee cr >
management official a person who does not have a license after 90 days.

3. Revort to the National Indian Gaming Commission

(a). Pursuart to tne orecadures set cut in subsection 5 cf this se
shall orecare and forward to ‘the National Indian Gaming Comm
gative recert on eacn dackground investigation. An investigative secort >

oO


CHAPTER 9
CHIPS AND TOKENS

9.010 Definitions. As used in this Chapter:

1. "Chip" means a non-metal or partly metal representative of value,
redeemapie for cash, and issued and sold by the Gaming Facility Operator ‘or use at.
games or counter games at the Gaming Facility.

2. "Token" means a metal recresentative of value, redeemable ‘cr sas”
issued and sold by the Gaming Facility Operator fer use in slot machines > :
machines and at table games or counter games at the Gaming Facility.

9.020 Specifications for chips and tokens.

1. Chips and tokens must be designed, manufactured, and constructed in
compliance with all applicable statutes, regulations, and policies of the United S*°
Arizona, and other states, and so as to prevent counterfeiting of the chips and ‘<:
the extent reasonably possible. Chips and tokens must not deceptively sess:
current or past coinage of the United States or any other Tribe.

2. In addition to such other specifications as the Tribal Gaming Office ---
approve:

a. The name of the Gaming Facility Operator must be inscribed sr, =~
side of each chip and token;

b. The value of the chip or token must be inscribed on each side of =
chip and token, other than chips used exclusively at roulette if roulette is permitted 2,
Compact;

c. The manufacturer's name or a distinctive logo or other mark identif.
the manufacturer must be inscribed on at least one side of each chip and token; ar

d. Each chip must be designed so that wnen stacked with chip:
tokens of cther denominations and viewed on closed-circuit, black-and-white tele
the denomination of the chip can be distinguished from that of the other chips and ‘c.ts0
in the stack.

3.020 Specifications for chips.

48


Coerater regarding the existence or amount of the debt.

c. The Gamirg Facility Cperator settles the debt jor ‘ess .-.-
amount because the Gaming Facility Operator in good faith believes that ‘he saccr'3
business will be retained in the future, or the patron's business is in fact retained.

d. The Gaming Facility Operator settles the debt for less the~
amcunt to obtain a patron's business and to induce timely payment of *
instrument.

4. The Gaming Facility Operator snail snsure:

a. That a debt settled pursuant to subsection 3 is settled either «~
patron to whom the credit was initially extended or his personal representative.
purposes of this section, a personal representative is an individual who has DBel
authorized by the patron to make a seitlement on his behalf. The Garrir¢ =~
Operator shall document its reasonable basis for its belief that the patron has au...
the individual to settle the patron's debt.

b. That the settlement is authorized by persons designated °>
the internal control system, and the settlement agreement is reflected “ .
document prepared within 30 days of the agreement and the document inci... :.

(1) The patron’s name;

(2) The original amount of the credit instrument;
(3) The amount of the settlement stated in words;
(4) | The date of the agreement;

(5) The reason for the settlement;

(6) The signatures of the Gaming Facility Operator's empicyv2z3
who authorized the settlement;

(7) The patron’s signature or in cases in which ‘i.e :
signature /s not on the settlement document, confirmation from the patron ackno
the debt. {if confirmation from the patron is not available because of circum:
deyond the Gaming Facility Operator's control, the Gaming Sacility Operator shall ore
suca other informaticn regarding the settlement as is necessary ‘o confirm the debt 2. .
settlement.

fay

if the Tribal Gaming Cifice determines that it is necessary to indepencs>:-

46


otherwise disposed of in accordance with the provisions of this Chapter 220°" >=
and tokens, except that such other instrumentalities must be of s cn 2
cesign and have such other specifications as the Tribal Gamirg 7



4, Knowingly ‘o entice or induce another to go to any place where a gambiin;
game is 5eing conducted or operated in violation of the provisions of this chapter, with tha
intent that the other person play or participate in that gambling game.

5. To place or increase a bet after acquiring knowledge of the outcome of ths
game or other event which is the subject of the bet, including past-posting and pressina
bets.

6. To reduce the amount wagered or cancel the bet after acquiring knowledc>
ef the outcome of the game or other avent whicn is the subject of the det, inci...
pinching bets.

7. To manipulate, with the intent to cheat, any component of a gaming “>
in.a manner contrary to the designed and normal operational purpose for the compe. =
including, but not limited to, varying the pull of the handle of a slot machine, ‘wit:
knowledge that the manipulation affects the outcome of the game or with knowledce =!
any event that affects the outcome of the game.

11.030 Use of device for calculating probabilities. It is unlawful for any
person at the Gaming Facility to use, or possess with the intent to use, any device
assist:

1. In projecting the outcome of the game;

2. In keeping track of the cards played;

3. In analyzing the probability of the occurrence of an event relating to ine
game; or

4. In analyzing the strategy for playing or betting to be used in the gam=

11.040 Use of counterfeit or unapproved chips or tokens or unlawii.

coins or devices; possession of certain devices. equipment.

Products or materials.

1. It is unlawful for any licensed person enterprise, employee or cther person
to use counterfeit chips in a gambling game.

2. It is unlawful for any person, in playing or using any gambling game desig
to be played with, receive or be operated by chips or tokens approved oy the Troi

Gaming Office or oy lawful coin of the United States of America:

a. Knowingly to use other than chirps or tokens aporoved »y the Tribai
Gaming Office or lawful coin, iegal tender of the United States of America, or to us2 oc'>
net cf the same denomination as the ccin intended ‘o be used in that gambling gama, *~

56


2. the records required oy the internal control system.

3. The Gaming Facility Operator shail create and maintain ;eccrds -
accurately reflect gross gaming revenue and expenses relating sclely to tha.
Overation.

3.040 Standard financial statements.

4. The Gaming Facility Operator shall prepare a financial statement coverins
ail financial activities of the Gaming Facility Operator for each fiscal year ‘o inclucie *
or beverage iacilities at the Gaming Facility, in accordance with generally 2c
accounting standards. The Gaming Facility Operator shail submit the financial stater>
to the Tribal Gaming Office not later than four months following the end of the fisc
covered by the statement. Each financiai statement must de signed by an apor
representative of the Gaming Facility Operator who thereby attests to the compi
and accuracy of the statement.

2. If the Gaming Facility Operator changes its business year, or begins
operation, the Gaming Facility Operator shall prepare and submit to the Tribal Gaminc
Office audited or reviewed financial statements covering the "stub" period from :i.
of the previous business year to the beginning of the new business year not later :i1ai
days after the end of the stub period or incorporate the financial results of the sit:
in the statements for the new business year.

8.050 Internal control. Manager shall operate the Gaming Operation pursu2%: ‘>
an approved internal control system that meets the requirements of the Compzvi.
Manager shall provide a copy of the internal control system and any amendments ther®:>
to the Tribal Gaming Office and the State Gaming Agency.

8.060 Gross gaming revenue computations.

1. For each table game, gross revenue equals the closing bankroll plus credit
slips for cash, chips, or tokens returned to the casino cage, plus drop, less opering
ban«roll and fills to the table.

2. For each slot machine, gross revenue equals drop less fills to the m
jackpct paycuts, and the actual cost to the Gaming Facility Operator of any
proocerty (other than costs of travel, food, lodging, services, and food and bev«r
provided for or distributed to a patron as winnings. The initial hopper load is nct a 1.
does not aifect gross gaming revenue. The difference detween the initial hooper ‘co.
the total amount that is in the hopper at the end of each quarter must Se ac}..:

accordingly as an addition to or subtraction from the drop for that quarter.

3. For gach counter game, gross gaming sevenue 2cuals:

44


CHAPTER 2
ADMINISTRATION

2.010 Tribal Gaming Office. The Pascua Yaqui Tribal Gaming Office 3 «°° >:
esiablished. The Tribal Gaming Office shail consist of an Executive Director apodiric
by the Tribal Council and such other staff as the Executive Director may apc
Executive Director shail be a contract employee of the Pascua Yaqui Tride.
Chairman shall be authorized to negotiate and execute the terms of said employment
contract subject to the approval of ihe Tribal Council. -~ive-Compnissieners—apoolr > ‘

a-majority ofthe Tribal Geunei: The S issioners—-must be-a-menmbarshiha ~

2.020 Restrictions on Tribal Gaming Office. Coramissioners- The Execi i:
Director and other employees of the Tribal Gaming Office may not hold other ©

positions and-may_engage-in-_businessprovided,hewever, that they shalt not nor may
they engage in any business which is subject to the provisions of this Ordinance.

Gemmissioners- Tribal gaming employees may not gamble in the Gaming Facility nor may
they have any personal financial interest in any gambling by any patron of the Gaming

Facility.

2.030 Compensation. Goemmissieners The Executive Director shall be
compensated at the rate to be established annually by the Tribal Council—Germmissioners-

and shall be reimbursed for actual expenses incurred on Tribal Gaming Office business,
including necessary and reasonable travel expenses.

18


any oroceeding under this Chaoter shail be limited ‘o the :
the alleged winnings and a patron shail not de entitled
special or punitive damages, or damages for mentai 4

2. Notice to Patrons. The Tribal Gaming Cffice shail mail written - .
certified mail, return receipt requested, to the Gaming Facility Operator and the patro

the decision resolving the dispute within thirty (20) days after the date that ‘:
Gaming Office first receives notification from the Gaming Facility Operator or a requesi
to conduct an investigation from the patron.

3. Effective Date of Decision. The decision of the Tribai
affective on the date it is received by the aggrieved party as reflected on ‘he
receiot.

4, Review of Decision. Within thirty (30) days after the date of -e
written decision, the aggrieved party may file a petition with the Tribal Gamir
requesting a review of the decision. The Tribal Gaming Office may set a hearing on tiie
matter or may make a decision based solely upon the prior decision and other
documentation provided to it by the patron and the Gaming Facility Operator. The Trihe!
Gaming Office shall then issue a written decision and mail it to the parties purs':*
procedures set forth in Section 14(b). The decision of the Tribal Gaming :
final and binding upon the patron and the Gaming Facility Operater and silt
subject to judicial review, dispute resolution or other legal action.

34


4.010 Property report 2... eee

4.020 Employee report .... 00... 2. eee 25
4.030 Key employees .............. 0.0.00 c eee ee eee qY
4.040 Loans to Gaming Facility Operater .................
4.050 Finding of suitability of a person holding an option ‘o acquire
an interest in a licensed enterprise ................... 22
4.060 Furnishing of reports to State Gaming Agency ......... 7
CHAPTER 5 OPERATIONAL REQUIREMENTS ............ . 29
5.010 Methods of operation... ee eee
5.020 Grounds for disciplinary action ...................00.
5.030 Publication of payoffs ...........0. 0.0.2.0... 08. .
5.040 Gaming by principals and key employees .............
5.050 Criminal convictions as grounds ‘or revocation or
suspension 2.0.0.0... eee .
5.060 Transfer of interest among licensees ................. oi
5.070 Transfer of interest to stranger to license .............. 31
5.080 Options ... 0... eee 32
5.090 Slot machines and gaming devices ................ :
CHAPTER 6 HEARINGS ............. 00.000 c eee eee
6.010 Licensing hearings ........... 0.00000.
6.020 Patron dispute hearings ...............0 000.2 c eee So
CHAPTER 7 DISCIPLINARY PROCEEDINGS REGARDING
LICENSES ............ 0.0.00. c eee eee eee 35
7.010 Applicability... 2.0... eee ra
7.020 Definitions ..... 0.2... eee eee 35
7.030 Service of complaint ............ 00.0000. eee eee 35
7.040 Answer; setting of hearing ................ cece eee 35
7.050 Appearance through counsel .. 36
7.060 Prehearing conferences; scheduling; management ....... 36
7.070 Discovery: mandatory exchanges ................0005 are
7.080 Conduct of hearings ........ 0.0... cee eee ee ara
7.090 Evidence: admissibility ....... 0.0.0.0... 00000000008 19
7.100 Evidence: authentication and identification ............. “
7.110 Failure or refusal to testify... eee 3
7.120 Continuances 2.0... ees a0
7.130 Defauis 2. eee 5

7.140 Decision of the SHHee 2 ee
7.150 Panaities 0... eee


fiing of the report for the next calendar year shail be recored to the Tribal Gamirg | ° 22
in ‘writing no less ‘han 10 days after the and of the caiendar quarter during «.-
cnange, addition, or deletion occurred.

4.030 Key employees.

1. Any employee as that term is defined in Section 2(v) of the Comoact ant
Chacter 7.000, 1.{a). of Part | of this Gaming Ordinance.

2. Whenever it is the ‘udgment of the Tribal Gaming Office that the policins +>:
forth in the Compact or this Ordinance will be served by requiring any principal -+
employee ‘o be licensed or found suitable, the Tribal Gaming Office shall serve ~
such determination upon the Gaming Facility Operator, Manager cr the licens=
appropriate. The Tribal Gaming Office shail not be restricted by the title of -
cerformed but shall consider the functions and responsibilities of the person invei:-
making its decision as to key smployee status. Grounds for requiring licensing :
employee which are deemed io serve the pubiic interest and the policies of °
include but are not limited to the following:

a. The key employee is new to the Gaming Facility Operator, Manac.~
or the business of the licensee, the position, or the level of influence or resp<:’.
which he has and the Tribal Gaming Office has little or outdated information coi. -
his character, background, reputation, or associations, or

b. Information has been received by the Tribal Gaming Office wi's>.
true, would constitute grounds for a finding of unsuitability to be associated with tne
Gaming Facility Operator, Manager or a licensee.

3. The Gaming Facility Operator, Manager, or licensee shall, within 30 <i:: :
following receipt of the notice of the Tribal Gaming Office's determination, preser :
application for licensing of the key employee to the Tribal Gaming Office or pru.....
documentary evidence that such key employee is no longer employed by the Gaminz
Facility Operator, Manager, or licensee. Failure of the Gaming Facility Operator, Manager,
or licensee to respond as required by this section shall constitute grounds for disciplinar;
action.

4.040 Loans to Gaming Facility Operator. Whenever the Gaming Facilit:
Operator applies for or receives, accepts, or makes use of any cash, property,
guarantee, or other form of security loaned ‘o, or provided for, or on behalf of the >~
Facility Operator, it shall notify the Tribal Gaming Office within 30 days of ;
transaction. Such notice shall 9e on ferms provided by the Tribal Gaming Office anc
include a recort of the names and addresses of all parties to the transaction, the a
and source of the funds, property or credit received or apolied, the nature and amc
s ity orovided by or on behalf of the Gaming Facility Operator, the curocse :/
transaction, and sucn other information as ‘he Tribal Gaming Office may 3

27


Devices and/or comconent parts thereof as defined by this Comoact for usa zr 27

Samirg Facilities.

1.320 "Net revenue" means gross revenues of a gaming activity less amo.7 > >
out as, or paid fer, prizes, winnings, and total operating expenses, excluding manag z
fees.

1,330 “Off-track pari-mutuel wager" means a wager placed by a pas. :
accepted by the Gaming Operation’s pari-mutuel 200k on a race or races offered as Dart
of an interstate common pari-mutuel oool whether or not the wager 's actuaily ‘nee 3)
the total amount of the interstate wagering pool.

1.340 "Ordinance" means this Pascua Yaqui Tribe Gaming Ordinance.

1,350 "Pazi-mutuei" means a system of wagering on a race or spor:
whereby the winners divide the total amount wagered, after deducting comm
and taxes, in proportion to the amount individually wagered.

1.360 "Principal" means with respect to any Person:
(1) Each of its officers and directors;
(2) Each of its principal management employees, includi> >

chief executive officer, chief financial officer, chief oo37:°
officer or general manager;

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

(4) Each of its shareholders who own more than ten (10) =: ":
of the shares of the corporation, if a corporation;

(5) Each person other than a banking institution who has provided
financing for the entity constituting more than ten (10) percer:
of the total financing of the entity, and

(6) Each of the beneficiaries, or trustees of a trust.

1,370 "Publicly traded corporation" means any corporation or other °2-!
except a natural person which has one or more classes of securities registerec 21
to section 42 of the Securities Exchange Act of 1934, as amended (15 U.S.C. 3
is an issuer supject to section 15(d) of the Securities Exchange Act of 1934, as 2
5 J.S.5. § 720).

upen inc.

1.330 “Race 500k" means the dusiness of acceoting

13


crovai of the Tribal Council to determine a budget for the wirrz aro.
cessary personnel, and to determine the qualifications sequired ‘cr *ir'-7.

2.080 Forms. Any application or reporting form utilized sy
Gaming Agency or the Arizona Gaming Commission shail 2e dees
requirements of this and other Gaming Ordinances with respect to ‘he =:

19


1.300 "Tribe" means the Pascua ‘/aaui Tt

recresentaives,

=
Or


reoon shail oe accompanied or suppiemented dy copies of documents, ara
supporting data as the Tribal Gaming Office may require. If, after such invesi:
tne Tribal Gaming Office deems appropriate, the Tribal Gaming Office
transaction is inimical to the neaith, safety, morals, good order and general w ”
Tribe, or would reflect, or tend to reflect, discredit upon the Tribe, the Tribal Gaming ~:
snail order the transaction rescinded within sucn time and upon such terms and conditiv. -
as it may deem aporcpriate.

4.050 Finding of suitability of a person holding an option to acquire an
interest in a licensed enterprise.

4. No person shail acquire or de granted an option ‘o purchase
security of a licensee without first notifying the Tribal Gaming Cffice, on such
may oe required by the Tribal Gaming Office, of the terms and conditions upen »
ootion was granted or acquired. Additionally, any such person shall comciv
applicabie requirements of the Compact and the Aci.

2. The Tribal Gaming Office may require the application of any person for a
determination of suitability for that person to hold an option to purchase or otherwise
cbtain an interest in a licensee.

4.060 Furnishing of reports to State Gaming Agency. The Tribal Gaming ~
shall furnish the State Gaming Agency with a copy of all reports filed unde: .
pursuant to applicable Compact provisions.

28


1,099 "Distributor" means a cerscn who distributes Ciass |] Gaming To>>s
and/or component parts therect.

1.100 "Enterprise" means any corporation (other than a "“publiciy
corporation" as defined hereinafter), firm, partnership, limited partnership, trust, -- ~°
form of business organization other than a Tribal enterorise wholly owned by the
orovided, however, that the ‘erm “enterprise” shail also include 2ach coroorati-
partnership, limited parinersnip trust or other form of business organization net a.
serson which, directly or indirectiy, owns, has the power or right to control or hoids ‘with
tne oower to vote ail cr any part of the outstanding voting securities, partnershio °
lirnited partnersnio interesis or beneficial interest in a trust which nolds or 20:
license or finding of suitability under the provisions of the Compact and this Cr

1.110 “Equity security" means for each of the following:

1. Corporation - Any voting stock, or similar security; and security conver:
with or without consideration, into such a security, or carrying any warrant or rignit io
subscribe to or purchase such a security; any warrant or right; or any security having a

direct or indirect participation in the profits of the issuer.

2. Limited partnership - an interest representing the right of a general =
partner to receive from a limited partnership: a share of the profits; an,
compensation by way of income; or a return of any or all of his contribution to cz~
ihe limited partnership; or the right to exercise any of the rights or powers provide: -
Limited Partnership Act in the Arizona Revised Statutes.

3. Partnership - an interest representing the right of a partner to receive from
a partnership: a share of the profits; any other compensation by way of income; or a
return of any or all of his contribution to capital of the partnership; or the right to ex="
any of the rights or powers provided in the Uniform Partnership Act of the Arizona Rev .. ...

Statutes.

1.120 "Executive Director" means the Executive Director appointed by the Tribal
Council.

1.130 “Finding of suitability" means an approval granted to a person 27
enterprise directly or indirectly involved with the Gaming Operation and relates only :

specified involvement for which it was made. If the nature of the involvement cha>
from that for which the applicant is found suitable, the Tribal Gaming Office may -2

the persen or anterorise to submit for a determination of suitacility in the new cac

1.140 "Game" and "gambling game" means ary game dlayed with
aguicment or any mechanical, elecircmechanical or electronic device or

10


5. A patron’s claim of having a mental or dehavicrai
gamoling:

a. Is not a defense in any action by the Gaming Faciiity ° of
perscn acting on behaif of the Gaming Facility Operator to enforce a credit insirumen
the debt that the credit instrument represents.

d. is not a valid counterclaim to such an action.
3. The failure of the Gaming Facility Coerator or Wanager
agpiicable, ‘o comply with the provisions of this section or the re
invalidate a credit instrument or affect the ability to enforce the credit ‘nst-.
debt that the credit instrument -soresents.



interior under 25 U.S.C. $ 2710(5)(3).'

CHAPTER 5.000 Audit

4. The Tribe shall cause to be conducted annually an indepa:..:
gaming operations and shail sudmit the resuiting audit reports to the

Gaming Commission.

2. All gaming related contracts that result in the purchase of supplies, services
essions in excess of 325,000.00 annually, except contracts for or :

and accounting services, shail De specifically included within the scoc2 7
is cescribed in subsection A. above.

CHAPTER 6.000 Protection of the Environment and Public Health an.

Ciass i! and Class !I] gaming facilities shail be constructed,
operated in a manner that adequately protects the environment and the public .:... . .
safety.

CHAPTER 7.000 Licenses for Key Employees and Primary manage-’.

The Tribe shall ensure that the policies and procedures set out in
implemented with respect to key employees and primary management offici='": ~~
at any Class Il or Class Ill gaming enterprise operated on Indian ‘ands:

1. Definitions

For the purposes of this section, the following definitions apply:

(a). Key employee means

1. A person who performs one or more of the following funcicns:
(1) Bingo Caller;
(2) Counting room supervisor
(3) Chief of security;
(4) | Custodian of gaming supplies or cash;
(5) Floor manager;
(6) Pit boss;
(7) Dealer;

Review and Aoproval
tors from the Assistant Sec

i>)


CHAPTER 4
REPORTING REQUIREMENTS

4.010 Property report.

1. Definitions. In addition to the terms defined in this Ordinance, the * :
definitions shall appiy:

a. "Lessor" means any person who ‘eases or rants any 2
personal, to the Gaming Operation.

b. "Lease" means any formal or informal, written or oral, contr
understancing of arrangement whereby any operating licensee obtains the -
possession of any property, real or personal, to be used, occupied, or posses
connection with the Gaming Operation. The term "lease" includes, without limitatwii,
payments made to an affiliated, controlled or not controlled, controlling or not controlling,
person under a real property lease, a personal property lease, an unsecured note, a deed
of trust, a mortgage, or a trust indenture.

2. Reports by Gaming Facility Operator. The Gaming Facility Operator -
report to the Tribal Gaming Office ail leases to which it is a party not later than 30 ©
after the effective date of the lease, unless required earlier by agreement, and =. .
include the following information:

a. The name, address, and a brief statement of the nature of ‘h>
business of the lessor.

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

c. A brief description of any business relationships between the operating
licensee and the lessor other than by the lease.

3. Periodic reports. The Gaming Facility Operator shall report to the Tribai
Gaming Office any changes in the lease within 30 days after such changes occur.

4.920 Employee report.

1. Annually, on or befora the 20th of April, the Gaming }
sucmit an employee reoort to the “ribal Gaming Office on a form to De furnisned
Trioal Gaming Cffice. The report snail identify avery individual who is directly or '
angaged in the adminisiration or supervisicn of the Gaming Operation or anysic:

cility Operater 3-

25


; money with the Tribe and may use all other property for any lawful purpose. The Tribal
Gaming Office may dispose of any property which cannot be used for any lawful purpose
in any reasonable manner.

3. Evidence which constitutes a device for cheating may not be returned to a
claimant and must be retained by the Tribal Gaming Office or the State Gaming Agency.
The Tribal Gaming Office and the State Gaming Agency shall periodically destroy such
devices in any reasonable manner.

11.110 Unauthorized Gaming. Any member of the Tribe or any non-
member Indian who commits any act of unauthorized gaming on the Reservation or 21
any Tribal ands shall be guilty of a crime and prosecuted in Tribal Court. Prosecution ‘or
such a crime in Tribal Court shall not be exclusive and a finding of guilt or innocence shal!
not deprive the federal government of criminal jurisdiction. However, it is hereby declarec
that Class |, Class Il and Class Ill gaming, when conducted on the Reservation or ire.
lands in full compliance with the provisions of the Compact, this Tribal Gaming Ordinance
and applicable federal law, shall be deemed lawful and not subject to the imposition of a7"
criminal penalties.

CHAPTER 12
REPEAL FORMER GAMING ORDINANCE

12.100 Ordinance Supersedes Former Gaming Ordinance. Ail
provisions formerly enacted regarding the subject matter of this ordinance are nerevy
repealed. The provisions of this Ordinance supersede all such formerly enacted secti: ~-
This Ordinance is effective immediately.

CHAPTER 13
- SEVERABILITY

13.100 Severability Clause. The provisions of the Pascua Y-
Gaming Ordinance shall be severable and if any phrase, clause, sentence o.
the ordinance is found to be contrary to the Pascua Yaqui Tribal Constitution, »
to be in violation of applicable Federal Law, or is held to be invalid, the valid
remainder of this ordinance shall not be affected and shall remain in full fore

61


cn In addition to any nonrefundable application fees paid, the Trioal =
Cffice cr State Gaming Agency may require an applicant to pay such supcleman
investigative fees and costs as may be determined by the Tribal Gaming Office = ~
Gaming Agency pursuant to the Compact. The Tribal Gaming Office or State
Agency may estimate the supplementary investigative fees and costs and rec:
deposit to be paid by the applicant in advance as a condition precedent to beginning 3r
continuing an investigation.

4. The Tribal Gaming Office will net take final action to approve any ap lication
unless all apclication and investigative fees and costs have Deen paid in full i
Saming Office may deny the application if the applicant nas failed or refu
apoiicaticn and investigative fees and cosis.

5. After ail supplementary investigative fees and costs have been paia 2.
aoolicant, the Tribal Gaming Office shall refund to the person who made the var..>
deposit any balance remaining in the investigative account of the applicant.

3.050 Summoning of applicants. The Tribal Gaming Office and Tribal police may
summon any person applying for a license, finding of suitability or employment to a7 > ~
and testify before it or its agents at such time and place as it may designate. *:
testimony may be under oath and embrace any matter which the Tribal Gaming
Tribal police, or its agents may deem relevant to the application. Failure to so appear ii
testify fully at the time and place designated, unless excused, constitutes grounc>
denial of the application without further consideration by the Tribal Gaming Office.

3.060 Hearing on applications. Upon the conclusion of a certification
investigation by the State Gaming Agency, the Trioal Gaming Office may, in its discretic...
hold a hearing to consider an application. The applicant shall be given at least 15
advance written notice of such hearing by certified mail, return receipt requested. Faiii :
of the applicant to appear at such hearing and testify fully at the time and place
designated, unless excused, constitutes grounds for denial of the application without
further consideration by the Tribal Gaming Office.

3.070 Withdrawal of application.

4. A request for withdrawal of an apclication may be made at any time -:
final action upon the application by the Tribal Gaming Office by filing a written rec...
withdraw with the Tribal Gaming Office.

2. The Tribal Gaming Cffice may, in its discretion, deny ‘he
the request with or without prajucice.

22


CHAPTER 3 ACCOUNTING REGULATIONS .............

8.010 Definitions ©... eee
3.020 Tribal Gaming Office audit procedures .............
8.030 Accounting records ....... 0.0.0.0... eee eee
8.040 Standard financial statements ............-.....0....
8.050 Internal control 2... eee .
8.060 Gross gaming revenue computations .................
8.070 Treatment of credit for purposes of computing gross
TEVENUS Le eee ee .
3.080 State Gaming Agency .......... 000.00. eee

CHAPTER 9 CHIPS AND TCKENS ..................

9.010 Definitions... ee
9.020 Specifications for chips and tokens ...................
9.030 Specifications for chips ..........0... 0000002 ee eee its)
9.040 Specifications for tokens .............00 00.00.00 eee 49
9.050 Use of chips and tokens .............-....00005 .. 30
9.060 Redemption and disposal of discontinued chips ar!
fOkKENS 2. eee ee .
9.070 Destruction of counterfeit chips and tokens ............
9.080 Other instrumentalities ...................00. 0000.0.

CHAPTER 10 ENFORCEABILITY OF CREDIT INSTRUMENTS ... 5c
10.010 Enforceability of credit instruments .................. 53
CHAPTER 11 CRIMES AND LIABILITIES CONCERNING
GAMING ........ 00.0... eee ees
41.010 "Cheat" defined; applicability of definitions in the
Compact .........0 00... 55
11.020 Fraudulent acts 55
11.030 Use of device for calculating probabilities ......... 36
11.040 Use of counterfeit or unapproved chips or tokens or

unlawful coins or devices; possession of certain
devices, equipment, products or materials
11.050 Cheating 2.0... ee
41.060 Uniawiul manufacture, saie, distribution, mark’
altering or modification of acuipment and cevi
associated with gaming; uniawful insiructicon
41.979 Pengities .. 0. ee



4.010 Property report
4.020 Employee report
4.030 Key employees .
4.040 Loans to Gaming Facility Operator .............
4.050 Finding of suitadility of a person holding an option to acquirs

an interest in a licensed enterprise ................. “
4.060 Furnishing of reports ic State Gaming Agency .......

CHAPTER 5 OPERATIONAL REQUIREMENTS .............. 29

5.040 Methods of operation ©... eee .
§.C20 Grounds jer disciplinary action ................000.
5.030 Publication of payoffs ................... ..
5.040 Gaming by principals and key employees ............
§.050 Criminal convictions as grounds fer revocation :-

suspension 26... eee
5.060 Transfer of interest among licensees .................
5.070 Transfer of interest to stranger to license
5.080 Options 0... eee eee 32
5.090 Slot machines and gaming devices beeen

CHAPTER 6 HEARINGS .......... 0.00.00
6.010 Licensing hearings ............. 0.000000... 0000. .
6.020 Patron dispute hearings ........... 00.000. c eee eee ae

CHAPTERISCIPLINARY PROCEEDINGS REGARDING LICENSES ... 35
7.010 Applicability .... 0... eee 2 F
7.020 Definitions .. 6.6... eee
7.030 Service of complaint ............0. 200... e eee eee 36
7.040 Answer; setting of hearing .............. 0.00. e ee eee 35
7.050 Appearance through counsel ....................0.-. 36
7.060 Prehearing conferences; scheduling; management ....... 36
7.070 Discovery: mandatory exchanges .................... 37

7.080 Conduct of hearings ........... 00.0.0. .0 00000000.
7.090 Evidence: admissibility ................. 00000000005

Evidence: authentication and identification ........... .
Failure or ‘efusal to testify
Continuances
Defauits
Decision <
Penaities



money, orceerty, checks, credit or any *epresentative of value, including any 2arnc* 7 7
cercentage game.

41.150 "Gaming" or “gambling” or "Gaming Activity" means to deai, 72°07
carry on, conduct, maintain or expose for play any game, slot machine, gaming .
pari-mutuei operation, off-track pari-mutuel operation, interstate common pari-mutual rocl.
er race Dcok as defined in the Compact or this Ordinance and means all forms ~°
ll and Class {Il gaming owned and operated cy the Tribe and conducted within tne
Lands of the Tribe.

1.160 "Gaming device" orf “Electronic Game of Chance”
microprocessor-controlled electrcnic device whicn allows a player to play
chance, some of which are affected by skill, which device is activated by the }
a coin, currency, tokens or by the use of a credit, and which awards game credit
tokens, reolays or a receipt that can be redeemed by the player for any of the ior
Game play may be displayed by:

(1) Video facsimile; or

(2) | Mechanical rotating reels whereby the software of vs
predetermines the stop positions and the presence,
thereof, of a winning combination and pay out, if any.

1.170 "Gaming employee" means any person employed as a 7)
Management Official or Key Employee of a Gaming Operation of the Tribe and any persor
employed in the operation or management of a Gaming Operation, including, but not
limited to, any person whose employment duties require or authorize access to restricted
areas of a Gaming Facility not otherwise open to the pubiic.

1.180 "Gaming equipment" means any equipment or mechana...
electromechanical or electronic contrivance, component or machine used remotely or
directly in connection with gaming, any game that would not otherwise be classified as a
gaming device, including dice, playing cards, equipment which affects the proper report'*5
of gaming revenue, computerized systems for monitoring gaming devices and devices for
weighing or counting money.

1.190 "Gaming Facility" or “gaming facilities" means the
improvements and facilities in which Class Il] gaming, as authorized by the >
conducted and also includes where Class II gaming is conducted.

1.260 "Gaming Operation" means any Gaming Activity conducted within a...
Gaming Facilities.

1.210 “Gaming Facility Cperator" means the Tribe, an anterorss Sr

11


PART |

BE IT ENACTED BY THE COUNCIL OF THE PASCUA YAQUI TRIBE OF AR”.
AN ORDINANCE: (PART 1) AUTHORIZING CLASS I] AND CLASS ‘ll 2
OPERATIONS ON THE PASCUA YAQUI INDIAN RESERVATION; (PA.
ESTABLISHING A TRIBAL GAMING OFFICE, PROCEDURES FOR LICE’’”
REPORTING REQUIREMENTS, OPERATIONAL REQUIREMENTS, HEARINGS
PATRON DISPUTES, DISCIPLINARY PROCEEDINGS, ACCOUNTING REGULATIONS,
SPECIFICATION OF CHIPS AND TOKENS, ENFORCEASILITY OF 27
INSTRUMENTS.

CHAPTER 1.000 Purpose

The [Tribal Council of the Pascua Yaqui Tribe (hereinafter "Tribe"), ampowe-..
the Tribe’s Constitution to enact ordinances, hereby enacts this ordinance in order --
the terms for Class II and Class Ill gaming operations on tribal lands and to comply with
the requirements of the National Indian Gaming Commission.

CHAPTER 2.000 Gaming Authorized

Class I! gaming as defined in the Indian Gaming Regulatory Act, P.L. 100-447.
U.S.C. Section 2703(7)(A) ("IGRA") and by the regulations promulgated by the Ne:
Indian Gaming Commission at 25 C.F.R. § 502.3 (as published in the Federal Reg:.-:°
at 57 FR 12382-12393, April 9, 1992) and Class Ill gaming as defined in 25 U.S.C.
Section 2703(8) as authorized by the Tribal-State Compact executed June 24, 1993 is
hereby authorized.

CHAPTER 3.000 Ownership of Gaming

The Tribe shall have the sole proprietary interest in and responsibility for ine
conduct of any gaming operation authorized by this ordinance.

CHAPTER 4.000 Use of Gaming Revenue

1. Net revenues from Class I! and Ciass {Il gaming shall be used only * ~~
following purposes: to fund tribal government operations and programs; provide *
generai welfare of the Tribe and its members; promote tribal economic dev
conaie to charitar e organizations; cr nelp fund cperations of local government

@ slects to make per capita paymenis to tribal memce
oniy pon apersval of a clan suomitted to the Sec:



2.060- Que rum—- querum shal asistof 3m: r5-of-the Trib
Ad-desisions—shait-t Sy a-maisHiy ex 5§—ih. aie. ing

indlsated_stherwise—p his Ordinance

iF

2.040 Quarterly Reports. The Tribal Gaming Office shall make quarte:.
to the Council within 30 days after the close of the calendar quarter for wi.:
information is being required. The reports shail include a full and complete :
gaming revenues paid to the Tribe, expenses and ail other financial ‘rarsac:'.
Tribal Gaming Office and a summary of all licensing and enforcement actions.

2.050 Necessary Powers. The Tribal Gaming Office snail 2 ;
necessary to effectuate the purposes of this Tribal Gaming Ordinance. The Tric-
Cffice may exercise any proper power and authority necessary to perform
assigned to it by this Tribal Gaming Ordinance or the Tribal Council, and is not ...
the enumeration of powers in this Ordinance. the+ribal-Saming-Ofice-sral- ==

2.060 Regulations. The Tribal Gaming Office is empowered to adc: :
and repeal regulations subject to final approval by the Tribal Council to ei.
provisions of the Compact, this Tribal Gaming Ordinances and the Tribe's gar
Regulations shall be adopted, amended or repealed in accordance with the +

procedures:

1. At least 10 days before the initial meeting of the Tribal Gaming Office anc
5 days before any subsequent meeting at which the adoption, amendment or repeal of a
regulation is considered, notice of the proposed action must be:

a. Published in such locations as the Tribal Gaming Office 3:

b. Mailed to the State Gaming Agency and to every person who has ji
a request therefor with the Tribal Gaming Office; and

c. When the Tribal Gaming Office deems advisable, mailed to any >:
whom the Tribal Gaming Office believes would be interested in the proposed actiom.
published in such additional form and manner as the Tribal Gaming Office 3°

2 The notice of proposed adoption, amendment or repeal must in.

a. A statement of the time, piace and natura of the procs. t
adection, amendment cr repeal;

. Reference to the authcrity under which che action 's 27. -


NATIONAL

INDIAN

GAMING JUN | 3 19°
COMMISSION

Albert V. Garcia, Chairperson
Pascua Yaqui Tribe of Arizona
7474 S. Camino de Oeste —
Tucson, Arizona 85746

Dear Chairperson Garcia:

This letter responds to your request to review and approve the
amendment to the tribal gaming ordinance of the Pascua Yaqui
Tribe of Arizona (the Tribe). The amendment was adopted by the
Tribe on April 28, 1994.

Under the IGRA and the regulations of the National Indian Gaming
Commission (NIGC), the Chairman is directed to review amendments
to ordinances with respect to the requirements of the IGRA and
the implementing regulations. Thus, the scope of the Chairman's
review and approval is limited to the requirements of the IGRA
and the NIGC regulations.

Since the amendments adopted by the Tribe do not relate to the
requirements of the IGRA and the NIGC's regulations, they are not
within the scope of the NIGC's review and therefore do not
require approval by the Chairman.

It is important to note that the Tribe must continue to submit
amendments to their gaming ordinance to the NIGC so that the NIGC
may determine whether or not the amendments are within the scope
of the IGRA.

Thank you for submitting the amendment to the tribal gaming
ordinance of the Pascua Yaqui Tribe. The NIGC staff and I
continue to look forward to working with you and the Tribe in
implementing the IGRA.

Sincerely yours, :
Anthony J. Hops

Anthony J. Hope
Chairman

WRIT

DAT

NAM

DAT



theratrom that such testimony cr answer would have been adverse to his case.

2. If any person controlling, controlled by, or under common control with, <r
employed by, or an agent of, a respondent fails to respond to a subpoena, or asse
claim of privilege with respect to any question propounded to him, the Agerey hearinc
panel may, taking into account ail of the circumstances, infer that such testimony
nave been adverse to the respondent.

RQw

3. if, on a ground other than the properly invoked privilege agains; ::
incrimination, a respondent fails to respond to a subpoena, or fails or refuses to 2:
a material question prcpounded to him, the Agency hearing pane/ may deem such fai
or refusal to be independent grounds for granting the relief requested by the Exec.’
Director in the complaint with respect to that respondent.

7.120 Continuances. Continuances will not be granted except for good 22.
shown. A motion to continue a hearing must be made at least 10 calendar days prior io
the hearing date and may be granted or denied in the discretion of the Chairperson.

7.130 Defaults. Failure of a respondent to file an answer to the complaint «i
request a hearing, or to appear personally at a hearing on the merits without ner
obtained a waiver of appearance, shall constitute an admission of all matters and ¥
contained in the complaint filed with respect to such respondent, and shall be deemes =
waiver of the right to an evidentiary hearing. In such cases the Office hearing panel may
take action based upon such admission or upon any other evidence, including affidavits,
and without any further notices whatever to respondent.

7.140 Decision of the Office Hearing Panel.

1. Findings of fact shall be based upon a preponderance of the eviderc>
standard.

2. The "preponderance of the evidence" standard is such evidence as when
considered and compared with that opposed to it, has more convincing force, and
produces in the minds of the members of the Gffice hearing panel a belief that what ‘c
sought to be proved is more likely true than net true.

3. The decisicn shall be in writing and shall be issued within 30 days af::- ° -
hearing and served upon the parties personally, by certified mail, return receipt reques:z::,
or by registered mail. A copy shall also be provided to the State Gaming Agency 2: *
same time.

7.480 Penalties. The Sfise rearing panel may suscend, revoke, limit or cond: :’
the licanse or finding of suitability of any person or enterprise, or may order se
suspensicn or termination of any saming employee, found to have violated the provisions

40


oficial cr key employee cosition.

The disclosure of your Social Security Number (SSN) is voluntary. However, totus
to supply a SSN may result in errors in processing your application.

(b). Existing key employees and primary management officiais 3,
notified in writing that they shail either:

41. Complete a new application form that contains a Privacy Ac:
notice; or
2. Sign a statement that contains the Privacy Ac:

consent to the routine uses described in that notice.

fc}. The following netice shail be placed on the application ‘orn
ampicyee or a primary official before that form is filled out sy an apei t

A false statement on any part of your application
may be grounds for not hiring you, or for firing
you after you begin work. Also, you may be
punished by fine or imprisonment.

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

({d). The Tribe shall notify in writing existing key employees «77
management officials that they shall either:

a. Complete a new application form that contains a notice
regarding false statements; or

b. Sign a statement that contains the notice rege.c.-5
statements.

3. Background Investigations

(a). The Tribe shall request from each primary management official and
from each key employee all of the following information:

1. Full name, other names used (cral or written), sociai :
number(s), birth date, place of birth, citizenship, 52
languages (spoken or written);

2. Currently and for the previous 3
emoloyment pesiticns held, ownersni
cusinesses, Susiness and residence ac

ie}


(8) Croupier;

(9) Approver of credit; or

(10) Custodian of gambling or gaming devices ‘>
persons with access to sasn and accountirs
within such devices;

2. If not ctherwise included, any other person whose ~~
compensation is in excess of $2C,°CO per year; or

If act otherwise included, the four most highly serv:
persons in the gaming operation.

oO

(b). Primary management official means

1. The person having management -escomsid't:
management contract;

2. Any person who has authority:

(11) To hire and fire employees; 2

(12) To set up working policy for the gaming =

3. The chief financial officer or other person who has ~
management responsibility.

2. Application Forms

(a) The following notice shall be placed on the application form for >*
employee or a primary management official before that form is filled out by an apyi...

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 sea.
The purpose of the requested information is to determine the eligibility of individuals
to be employed in a gaming operation. The information will be used by National
Indian Gaming Commission members and staff who have need for the informati:~
in the performance of their official duties. The information may be disclose
appropriate Federal, Tribal, State, local, or foreign law enforcement and requis
agencies when relevant to civil, criminal or regulatory investigations or prosec:
or when pursuant to a requirement dy a irice or the National Indian
Commission in connection with the hiring or firing sf an employee, the ° sssuans
ion of a gaming license, or investigations of activities while ass:
ora gaming operation. Failure to consent to the cisciosures indie
netic? will resuit in a cribe’s being unable ‘o hire vou in a primary mar



CHAPTER 10
ENFORCEABILITY OF CREDIT INSTRUMENTS
10.010 Enforceability of credit instruments. Credit instruments accepted oy

Tribal Gaming Facility Operator are valid and enforceable and may be enforced ‘hr-
legal process in the Tribal courts. Except as may be provided in the Compact, |
debts not evidenced by a credit instrument are void and unenforceable and do not give
rise to any administrative or civil cause of action.

1. The ‘Saming Facility Operator may accept an incomplete credit insir
which is signed by a patron and states the amount of the debt in figures, and ~
complete the instrument as is necessary for the instrument to de presented for

2. The Gaming Facility Operator or person acting on behalf of the Grr: ~
Facility Operator:

a. May accept a credit instrument that is dated later than the date of its
execution if that later date is furnished at the time of the execution of the credit instr. ~
by the patron.

b. May not accept a credit instrument which is incomplete and cée."’
lawfully be completed to comply with the requirements of the laws of the State gove>
negotiable instruments.

c. May accept a credit instrument that is payable to an affiliated company
or may complete a credit instrument in the name of an affiliated company as payee if. .
credit instrument otherwise complies with this subsection and the records of the affilic‘=
company pertaining to the credit instrument are made available to agents of th: ©
Gaming Office upon request.

- d. May accept a credit instrument either before, at the time, or after :. 3
patron incurs the debt. The credit instrument and the debt that the credit instrum:°:
represents are enforceable without regard to whether the credit instrument was accep?
before, at the time or after the debt is incurred.

3. This section does not prohibit the establishment of an account by a ws:
of cash, recognized traveler's check, or any other instrument which is equivalent ‘o 2:

4. If a credit instrument is lost or destroyed, the debt represented by the crecit

instrument may de enforced by the Gaming Facility Operator cr Manager if they san >>
the exiscence of the credit instrument.

53


4. State in short and plain terms his defenses to each claim asse

2. Admit or deny the facts alleged in the complaint.

3. State which allegations he is without knowledge or information >..'7
form a celief as to their truth. Such allegations shall be deemed denied.

4. Affirmatively set forth any matter which constitutes an avoicarce
affirmative defense.

5. May demand a hearing. failure to demand a nearing sonsiit
of that rignt but the Office may order a hearing even if the respondent waives :
if a hearing is ordered, the Chief Tribal Court Judge of the Pascua Yaqui T”’:
appoint a three member panei to hear and decide the issues and render a dec. .
majority vote.

6. Failure to file an answer or to appear at the hearing constitutes an adi:...
by the respondent of all facts alleged in the complaint. The Office may take action based
on such an admission an on other evidence without further notice to the respondent.

7. The Office shall serve notice of the hearing date within seven
receipt of respondent's answer and shall conduct the hearing within 60 days 2; ;
of said notice, unless the proceedings are continued for good cause.

7.050 Appearance through counsel.

4. Parties to proceedings governed by this Chapter may appear personally >r
through an attorney, except that the parties must personally attend any hearing o:: -
merits unless such attendance has been waived.

2. When a party has appeared through an attorney, service of all notices,
motions, orders, decisions, and other papers shall thereafter be made upon the attorney.

~ 3, When a party is represented by an attorney, the attorney shall sign ail
motions, oppositions, notices, requests, and other papers on behaif of the party.

7.060 Prehearing conferences; scheduling; management.

1. After the respondent files an answer to the complaint, the Chairperse
hearing panel may direct the parties to participate in a conference crc ences
the nearing on the merits, for such purposes as expediting the disposition of the ...:
resolving discovery issues, and facilitating the settlement of ‘ne case.

2. The participants at any prehearing conference under ‘his sec!

36


2. No license or finding of suitability shall be granted to a manags”
coniractor unless and until the applicant has satisfied the Tribal Gaming Office ‘r::
funding of the enterprise is (a) adequate for the nature of the enterprise, and (b)
suitable source. The suitapility of the source of funds shall be determined dy :3
standards enumerated in paragraph 1(a), (b) and (c) above. Prior to issuing any license
or finding of suitability, the Tribal Gaming Cffice shall notify the Commission of the r=" >
of the investigation.

3.120 Licensing of a natural person under the age of eighteen Bronibites 1.
Trial Gaming Office wiil not grant a license or finding of suitability to an in:
eighteen years of age. No person under 21 years of age shail be emplcyed in the 5 Se
of alcoholic beverages at any Gaming Facility, unless otherwise permitted under
liquor laws and regulations.

3.121 Duration and Renewal of Tribal Licenses and State Certifications.
Tribal license or State Certification shall be effective for one (1) year from the dais -
issuance; provided, that a licensed or certified employee or person that has applied for
renewal may continue to be employed or engaged under the expired license or State
Certification until action is taken on the renewal Application by the Tribal Gaming ~
or the State Gaming Agency. Applicants for renewal of a license or certificatic:
provide updated material as requested, on the appropriate renewal forms, but shail
required to resubmit historical data already available to the Tribal Gaming Office <r
State Gaming Agency. Additional background investigations shall not be require:
Applicants for renewal unless new information concerning the Applicant's continuing
eligibility for a license or a State Certification is discovered by either the Tribal Gaming
Office or the State Gaming Agency.

3.122 Identification Cards. The Gaming Facility Operator shall require all Gar
Employees to wear in plain view, identification cards, issued by the Tribal Gaming —:
which include photograph, first and last name and an identification number unique to ir2
individual Tribal license and which shall include a Tribal seal or signature, and a date of

expiration.

24


of the Compact, Trioal Gaming Ordinances or tribal gaming reguia
nearing panel may impose a civil fine of not more than $5,000 for eacn
Ail fines must be paid to the Tribe within 15 days after the de: ,
fine unless otherwise ordered Sy che Office hearing panel.

41


3. If a request for withdrawal is granted with orejudice, the apolicar:
aligibie to apgly again for ticensing or aperoval until after expiration of one year <7 73
date of such withdrawal.

3.080 Application after denial. Any person or enterprise whose applicaiic.:
been denied is not eligible to apply again for a license, finding of suitability or ac -
until after expiration ct one year from the date of such denial, uniess the Tribal -
Cffice advises that the denial is without prejudice as to delay in reapplication.

3.000 Applications for employment after cenial or revocation. =o
decision by the Tribal Gaming Office to deny an application for employmeni
oursuant to the provisions of the Compact, or to revoke a work permit, a succ-~
application for employment must not be entertained by the Tribal Gaming Office
period of two years from the date of zhe Tribal Gaming Office's decision on the or
application.

3.100 Unsuitable affiliates. The Tribal Gaming Office may deny, revoke, suspend.
limit, condition, or restrict any license or finding of suitability or application therefor upar
the grounds that the enterprise or person licensed or found suitable is associated -
controls, or is controlled by, or is under common control by, an unsuitable er.

3.110 Standards for licensing.

1. Tribal Employment Standards: Neither the issuance ofa license by the Tris.z:
Gaming Office nor the issuance of certification by the State Gaming Agency creates or
implies a right of employment or continued employment. The Gaming Facility Operater
shall not employ, and if already employed, shall terminate, a Gaming Employee 7 :
determined by the Tribal Gaming Office, that the Applicant:

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

b. has knowingly and willfully provided materially important
statements or information or omitted materially important informa’
on his or her employment Application for employment at the Gamii;
Facility or background questionnaire, or

c. is determined to be a person whose prior activities, criminal
if any, or reputation, habits, and associations pose a threat
public interest or to the effective regulation and control cf gam!
create or enhance the dangers of unsuitable, unfair, or :
oracticas, and methods, and activities in the conduct of gaming
carrying on of the ousiness and jinancial arrangements in:
thereto.

23


Gaming Facility.

4. State authorities right to detain and question under this Chapter #03 :42
reservation is restricted to the Gaming Facility boundaries unless cross-deputizad as
Tribal police and in the supervisory presence of a Tribal police officer. Nothing in this
Chapter shall be construed to grant to the State of Arizona criminal prosecut>*-!
jurisdiction over Tribal members or non-member indians for acts committed
Reservation or Tribal Lands.

11.100 Disposition of evidence seized by agent of the Tribal 3
Office or the State Gaming Agency.

1. After the final adjudication of a complaint involving a violation of the C-
or-this Chapter, or of any other complaint involving the seizure of evidence by an age: i
of the Tribal Gaming Office or the State Gaming Agency, a court of competent jurisdiction
may enter an appropriate order disposing of all physical evidence pertaining *9 **>
complaint, whether or not the evidence was introduced as an exhibit.

2. Except as otherwise provided in subsection 3, evidence seized by an agent
of the Tribal Gaming Office or the State Gaming Agency which does not resi:
complaint charging a violation of the law and evidence for which an order of dis: .
is not entered pursuant to subsection 1, must be disposed of as follows:

a. The Tribal Gaming Office shall notify by certified mail each poter =.
claimant of the evidence that he has 30 days after receipt of the notice within which ‘ ° -
a written claim with-the-beard for return of the evidence.

b. If more than one person files a claim for the evidence:

(1) The claimants may agree among themselves as to new +
wish to divide the evidence, subject to the approval of the Tribal Gaming Office;

(2) The claimants may agree to submit the matter to binding
arbitration or any claimant may institute legal proceedings before the Tribal Court to
determine the proper disposition of the evidence. The Tribal Gaming Office shall recurr
the evidence to the claimants in accordance with any agreement approved by the Trib<
Gaming Office, final judgment or award made pursuant to the provisions of this -

c. A person who receives property from the Tribal Gaming :
pursuant to this section shall execute such documents as are required by the
Gaming Office to defend, hold harmless, indemnify and release the Tribal Gamix -
from any liability arising from the delivery of the property to the claimant.

d. lf no claim is submitted, the Tribal Gaming Office shail de;

60


11.090

11.110

SHAPTER 12

CHAPTER 13

13.100

Uniawful dissemination of information sencernirg

racing; exemptions; penalty ...................

Crdinance Supersede

Cetention and questioning of person suspec

Ss Former Gam'-y


of any avent held at a ‘rack whica uses ‘he oari-mutuel system of wagerics.

1.390 "Regulation" means a ruie, standard, directive or statemer.:
applicability which effectuates the provisions and policy of the Compact, ‘F's
er the policy of the Tribe.

1.400 “Reservation” or "Tribal lands" means Pascua Yaqui Trit:
as defined sy 25 U.S.C. § 2703 (4)(A) and (B), subject io the provisions sf. ... .
2719,

1.410 “Slot machine" means and includes Gaming Device as thai:
in Section 2(!) of the Compact and Section 1.170 of this Ordinance.

1.420 "State" means the State of Arizona, its authorized officials, +=
recresentatives.

1.430 "State Gaming Agency" means the agency of the State which the Governor
may from time to time designate by written notice to the Tribe as the single state agenc.
which shall act on behalf of the State under this Compact.

1.440 "Subsidiary" means a corporation all cr any part of whose -
voting securities are owned, subject to a power or right of control, or held wi...
vote by a publicly traded corporation or other holding company.

1.450 "Track" means an in-state or out-of-state facility licensed to operate fici>>
or other racing where pari-mutuel wagering on races is conducted. Where applicable, the
term also includes a person or governmental agency in Arizona or outside Arizona ‘>: :
operates a track or shares in its revenues and also includes an association of tracks.

1.460 "Tribal Council" or "Council" means the Tribal Council of the »~.-
Yaqui Tribe.

1.470 "Tribal Gaming Office" means the department or agency eF-cere.
designated by action of the Tribal Legislative Council as the Tribal entity which =F
exercise the civil regulatory authority of the Tribe over Class Ill Gaming Activities »i0.~

the Tribe.

1.480 "Tribal law enforcement agency" means the police force «/ -
astablished and maintained by the Tribe pursuant to the Tribe's powers of se.’ :
10 carry out iaw enforcement within the Tribal Lands.

490 "Tribal" means the Pascua Yaqui Tribe its autherized

14


outstanding at the time of discontinuance pursuant to a clan orepared dy the
Facility Operator and approved by the Tribal Gaming Cffice and ‘the State
-

Agency.

9.070 Desiruction of counterfeit chips and tokens.

4. As used in this section, “counterfeit chips or tokans" means any 2n!:
token-like cojects that have not been approved pursuant to this Chapter, including odjev:s
commonly referred to as “slugs,” but net including coins of the United States or any other
Tribe.

2. Unless a peace officer instructs or a court of competent jurisdiction sr. :
otherwise in a particular case, the Gaming Facility Operator shail destroy or cthan
dispese of counterfeit chips and tokens discovered at the gaming facilities in such =
as it ceems apprcoriate.

3. Unless a peace officer instructs or a court of competent jurisdiction oruc..
otherwise in a particular case, the Gaming Facility Operator may dispose of coins of the
United States or any other nation discovered to have been unlawfully used at their
establishments by including them in their coin inventories or, in the case of foreign ~
by exchanging them for United States currency or coins and including the samo .
currency or coin inventories, or by disposing of them in any other lawful manné:.

4. The Gaming Facility Operator shall record:

a. The number and denominations, actual and purported, of the coins
and counterfeit chips and tokens destroyed cr otherwise disposed of pursuant to th’s
Chapter;

b. The month during which they were discovered;

c. The date, place, and method of destruction or other disposition,
including, in the case of foreign coin exchanges, the exchange rate and the identity of ':>
bank, exchange company, or other business or person at which or with whom the coins
are exchanged; and

d. The names of the persons carrying out the desiruction
dispesition on behalf of the Gaming Facility Cperator.

5. The records required by subsection 4 must be retained for a verice 77
years.

.080 Other instrumentalitizs. Other instrumentaiities with which 3a
concucted must be designed, manufactured, approved, used, discentinued, zest:

51


1. It is unlawful to manufacture, sell or distribute any cards, chips, dice, -
or device which is intended to be used to viclate any provision of the Compact or
Chapter.

2. it is unlawful to mark, alter or otherwise modify any gaming equipmes: :
gaming device, as defined in the Compact, in a manner that:

a. Affects the result of a wager by determining win or loss; or

dD. Alters the normal criteria of random selection, which
operation cf a game or which determines the outcome of a game.

3. It is unlawful for any person to instruct another in cheating or in the .
any device for that purpose, with the knowledge or intent that the information or use . :
conveyed may be employed io violate any provision of the Compact or this Chapter.

41.970 Penalties.

1. Any indian person who violates any provision of this Chapter or any rule >>
regulation authorized thereunder, shall be guilty of a criminal offense punishable by -
of not more than five hundred dollars ($500.00) or by imprisonment for not more ‘r.:
(8) months, or both.

2. Any person who violates any provision of this Ordinance, or any rule
regulation authorized thereunder, shail be liable for a civil penalty not to exceed *
hundred dollars ($500.00), plus court costs, for each violation.

3. The Tribal Courts shall have jurisdiction over all violations of this Ordinaii...
and over all persons who are parties to a management contract as defined in
Ordinance and may, in addition to the penalties prescribed in subsection 1 and 2 abewe,
grant such other relief as is necessary and proper for the enforcement of this Ordinanc :
and of the provisions of any management contract, including but not limited to injunctive
relief against acts in violation thereof, subject to arbitration procedures, if any, applical' .
to any management contract. Nothing, however, in this Ordinance shall be construed ic
authorize or require the criminal trial and punishment of non-Indians except to the exter:
allowed by any applicable present or future Act of Congress or any applicable federzi
court decision.

41.080 Unlawful_dissemination of information concerning raci: *:
exemptions; penalty.

1. It is unlawful for any person to furnish or disseminate any information ‘n
regard to racing or races, from any point within the State to any point outside the 3
by ‘elepnene, telegraph, teletype, radio or any signaling device, with the intention :+



awards apolicable to the particular game or device and shall not de worded 'n
manner as to misiead or deceive the public. Maintenance of any misleading or de
matter on any payoff schedule or award card or failure on the part of the Gaming
Operater to make payment in strict accordance with posted sayoff schedules >r
cards may be deemed an unsuitable method of operation.

5.040 Gaming by principals and key employees. No person who is ticer=
found suitable as a principai or key employee of the Gaming Facility Operz:.
Management Contractor, nor any key employee who actively participates in the
management of the Gaming Facility or the conduct of its licensed games, shail play :;
permitted to play, either directly or indirectly through another person, any gamblinc -
including slot machines and gaming devices, but net including poxer in the Gar
Facility.

5.950 Criminal convictions as grounds for revocation or suspension.
Tribal Gaming Office may revoke or suspend the license or finding of suitability </
person who is convicted of a crime, even though the convicted person’s postconviciic.
tights and remedies have not been exhausted, if the crime or conviction discredits or
tends to discredit the Tribe.

5.060 Transfer of interest among licensees. If a person who is the ownz:
interest in a licensed enterprise proposes to transfer any portion of his interest to a ¢
who is then the owner of an interest in such licensed enterprise, both parties shall
written notice of such proposed transfer to the Tribal Gaming Office, including the na
and addresses of the parties, the extent of the interest proposed to be transferred and tic
consideration therefor. In addition, the proposed transferee shall furnish to the Tribai
Gaming Office a sworn statement setting forth the source of funds to be used by him in
acquiring such interest; and he also shall furnish to the Tribal Gaming Office such furthe:
information as it may require. The Tribal Gaming Office shall forward the information ’
the State Gaming Agency who may conduct such investigation pertaining to .
transaction as it deems appropriate and shall report the results thereof to the Tribai
Gaming Office within 15 days. If the Tribal Gaming Office does not give notice of
disapproval of the proposed transfer of interest within 15 days after the receipt by it of the
report of the State Gaming Agency, the proposed transfer of interest will be deemed
approved and the transfer of interest may then be effected in accordance with the terms
of transfer as submitted to the Tribal Gaming Office. The parties shall immediately nc**:
the Tribal Gaming Office when the transfer of interest is actually effected.

5.070 Transfer of interest to stranger to license.

1. No individual who js the owner of any interest in a licensed enterprise =.
in any manner whatsoever transfer any interest therein representing more than 10% < of tha
equity securities of the enterprise to any cerson, firm or corporation not then an cw:
an interest therein, and no such transfer shail become effective for any purpose . °

31


zrocosed ‘transferee or transferees shall have made application ‘or and 22>
suitacie or licensed, as approcriate. Transfers of 10% or less of the squity secur
a licensed enterprise snail be governed by the provisicns of Section 5.060.

2. Applications for a transfer of interest to a stranger to the licensa >
made by the transferee applying for licensing or a finding of suitability under the srovisicns
of the Compact and this Crdinance.

3. Evidence of the trarsferor's agreement to transfer the interest anolied ‘cr
must accompany the application. Licensing or a finding of suitability of the tran

De deemed to constitute aporoval of the transfer dy the Tribal Gaming Off.

5.080 Options. Every person or enterprise who grants an option to ou":
equity security of a licensed enterprise shail report the grant of such cption in
the Tribal Gaming Office within 30 days after the cption the agreement becomes
The exercise cf any such option shall oe governed by the provisions of Sec’
and 5.070.

5.090 Slot machines and gaming devices.

1. The Gaming Facility Ocerator shall only expose slot machines .
devices for play by the public at the Gaming Facility that:

a. Have been approved under the provisions of the Compact, 2: ~ . -
otherwise been authorized by the Tribal Gaming Office and the State Gaming Agency; 2°

figacc 4

b. Have been leased, purchased or otherwise obtained from ‘i
manufacturers and distributors as required by the Compact.

2. The Tribal Gaming Office shall require each licensed manufacturs: :
distributor to verify under oath, on forms provided by the Tribal Gaming Office, that :-<
slot machines or gaming devices manufactured or distributed by them for use or play at
the_Gaming Facility meet the requirements of this section.

3. The Tribal Gaming Office or the State Gaming Agency may require -"3
testing of any slot machine or gaming device to ensure compliance with the requirsr:
of this Section. Any such testing shail be conducted by persons selected by °>.:
requiring ithe testing and shall be at the expense of the licensed manufnac:.*.-
otherwise agreed.


verify the existence or the amount of a settlement made pursuant to subsecticn 3
Gaming Facility Operatcr shail allow the Tribal Gaming Office to confirm the setti
and its terms and circumstances with the patron to whom the credit was initially =~

8. The Gaming Facility Operator shall include in gross gaming rever
money, and the net fair market vaiue of property or services received by the
Facility Cperator in payment of credit instruments.

7. The Gaming Facility Operator may exclude money received in payment ~*
credit instruments from gross revenue if the Gaming Facility Operator notifies :-s ~
Gaming Office in writing within 45 days of the Gaming Facility Operator's discows7’
alleged criminal misaporooriation of the money by an agent or employee of the G:
Facility Operator where the agent, employee, or person was involved in the 27>"
process, and if the Gaming Facility Operator:

a. Files a written report with an appropriate law enforcement ~-
other than the Tribal Gaming Office, alleging criminal misappropriation of the mor.zy
furnishes a copy of such report to the Tribal Gaming Office within 45 days of its request;
or

b. Files and prosecutes a civil action against the agent, ‘
person for recovery of the misappropriated money and furnishes copies of lege. . -
to the Tribal Gaming Office within 45 days of its request; or

c. Otherwise demonstrates that the money was in fact crim
misappropriated and not merely retained by the agent, employee, or person as pays:
for services or costs.

8. If the Gaming Facility Operator recovers any money, previously =~
from gross gaming revenue pursuant to subsection 7, the Gaming Facility Operaic. -
include the money in gross gaming revenue for the month in which the mers.
recovered.

8.080 State Gaming Agency. All records provided to the Tribal Gaming 7°"72
pursuant to this Chapter snall de also be provided to the State Gaming Agerc:’.

4?


CHAPTER 3
APPLICATIONS: PROCEDURE

3.919 Applications; general.

1. Any gaming license or jinding of suitaoility which is issued oy :-.
Gaming Office shail be deemed ‘to be a revocable privilege and no person holding such
a licansa or finding of suitability by ‘he Tribal Gaming Office is deemed to have acquis J
any vesied “ights therein.

2. An application for a license or finding of suitability is seeking the grar
a privilege, and the burden of proving qualification to receive such license or fins.
suitability is at all times on the applicant. An applicant must accept any risk of a
public notice, embarrassment, criticism, or other action or financial !oss which may -
from action with respect to an application and expressly waive any claim for das
against the Tribe and the State as a result thereof.

3. An application for a license or a finding of suitability, besides any othe:
attaching to such an application by virtue of the Compact and this Ordinanc:
constitute a request to the Tribal Gaming Office for a decision upon the applicant's
suitability, character, integrity, and ability to participate or engage in, or be associated
the Gaming Operation in the manner or position sought by the application, or the m2:
or position generally similar thereto; and, by filing an application with the Tribal Gan
Office, the applicant specifically consents to the making of such a decision by the Tribal
Gaming Office at its election when the application, after filing, becomes moot for anv
reason other than death.

3.020 Waiver of privilege. An applicant may claim any privilege affordeu =,
Constitution of the United States, the Tribe or the State, in refusing to answer questions
by the Tribal Gaming Office or the State Gaming Agency. However, a claim of privilege
with respect to any testimony or evidence pertaining to an application may constitute
sufficient grounds for denial.

3.030 Applications, notices, statements and reports; contents; amendmes:"
incorporation by reference; proceedings not to have sub3*

implications.

1. Every application, statement, netice or report must be filed on ‘<r
furnisned or aporoved by the Tribal Gaming Office and comply with Privacy Act
required oy the National Indian Gaming Commissicn and the Compact and must
and Se accompanied and supplemented oy such documents and information as <i:
ified or required by the Tribe's Gaming Ordinance and 51 the National Incian
. Failure to supply the informe ‘ion requested within 10 days after the

20


material, unless the total cf zinc, nickel, aluminum, magnesium, and other 3° >
materials is at ‘east 20 percent of the token’s weight.

9.050 Use of chips and tokens.

4. The Gaming Facility Operator shall:

a. Comply with all apolicatie statutes, regulations, and volicies 2/07 2...
and of the United States pertaining to chips or tokens;

b. Sell chips and ‘ckens only ‘o patrons of the Garning Facilit.
at their request;

c. Promptly redeem its own chips and tokens from its patrons; ar.

d. Post conspicuous signs at the Gaming Facility notifying 24
federal law prohibits the use of the licensee’s tokens, and that state law prohibits u
of the licensee’s chips, outside the facility for any monetary purpose whatever; and

e. Take reasonable steps, including examining chips and ‘c..:
segregating those issued by another Gaming Facility to prevent the issuance ‘0 ..: -
of chips and tokens issued by another Gaming Facility.

2. The Gaming Facility Operator shall not accept chips or tokens as pay.>2~:
for any goods or services offered at the Gaming Facility with the exception of the sp
use for which the chips or tokens were issued, and shall not give chips or tokens as
change in any other transaction.

3. The Gaming Facility Operator shall not redeem its chips or i2s5°>
presented by a person who the Gaming Facility Operator knows or reasonabiy si
know is not a patron of the Gaming Facility, except that a licensee shall promptly rec::
its chips and tokens if presented by an employee of the Gaming Facility Operator wno
presents the chips and tokens in the normal course of employment.

4. Chips whese use is restricted to uses other than at table games or other”
at specified table games may be redeemed by the Gaming Facility Operator 2
games or non-specified table games if the chips are presented by a patron, .’
Gaming Facility Operator redeems the chips with chips issued for use at the game,
the redeemed chips in the table’s drop box, and separates and properly accounts *..-
redeemed chips during the count perfermed pursuant to the internal control sysizi>

9.060 Redemption and disposal of discontinued ships and tokens
Gaming Facility Cperater permanently removes from use or epiaceas apore
tokens at the Gaming Facility it shall redeem disco: inued caios and tokens

50


information is to be used to induce betting or wagering on the result of the race or ace,
or with the intention that the information is to be used to decide the result of any det >r

wager made upon the race or races.
2. This section does not prohibit:

a. A newspaper of general circulation from printing and dissemine >:
news concerning races that are to be run or the results of races that have been run; or

d. The furnishing or dissemination of information concerning °»
made in an off-track pari-mutuel system of wagering authorized under the Compas:

3. Any person who violates the provisions of this section shall be punisr
provided in the federal criminal laws already existing, or State criminal laws airez...
existing or enacted pursuant to the Compact.

11.090 Detention and questioning of person suspected of vic...
chapter; limitations on liability; posting of notice.

1. The Authorities may question any person in the Gaming Facility sus: ~
of violating any of the provisions of the Compact or this Chapter. None of the aut.
is criminally or civilly liable:

a. On account of any such questioning; or

b. For reporting to the Tribal Gaming Office, the State Gaming Agere
Tribal, federal or state regulatory authorities, or law enforcement authorities the identi*;
of the person suspected of the violation.

2. Any of the Authorities who has probable cause for believing that there =. -
been a violation of this Chapter in the Gaming Facility by any person may take that persc.~
into custody and detain him in the Gaming Facility in a reasonable manner and for a
reasonable length of time. Such a taking into custody and detention does not render
Authorities criminally or civilly liable unless it is established by clear and convin
evidence that the taking into custody and detention are unreasonable under ail .~=
circumstances.

3. There must be displayed in a conspicuous place in the Gaming =
notice in boldface type clearly legible and in substantially this form:

Agents of the Tribal Gaming Cffice, Tribal Police, Federal law enforcement
agents, or the State Gaming Agency, or any of the Authorities who has
probable cause for believing that any person has violated any provision sf
this Chapter prohibiting cheating in gaming may detain that person in the

59


PART Il INDEX
CHAPTER 1 DEFINITIONS .............. 0.000.002 000000.
1,000 Definitions, 2.0... eee eee
CHAPTER 2 ADMINISTRATION ......0..0 0000000000 ene
2.010 Tribal Gaming Office ....... 2. 18

2.020 Restrictions on Tribal Gaming Office ..........0..

2.030 Compensation 20... 0. . eee eee
2.940 Salection_3iChairs.
: ite

SOF

2950 Mestines Open e Rubii,
2 ings—Opene-Pubt
2,960—Querum——

2.049 Quarterly Reports
2.050 Necessary Powers

2.060 Regulations ......... is
2.070 Personnel ..... 6.0... eee 18
2.080 FOrMS 2... cee 19
CHAPTER 3 APPLICATIONS: PROCEDURE ................

3.010 Applications; general ........... 0.000.000. 2c Lok
3.020 Waiver of privilege .... 0.2.2.0. eee eee Ze
3.030 Applications, notices, statements and reports; contents;

amendments; incorporation by reference; proceedings not to

have substantive implications ....................0.. 2G
3.040 Tribal Application and investigative fees ............... Me
3.050 Summoning of applicants ........... 0.0.00... 00 eee coe
3.060 Hearing on applications ..................... 22
3.070 Withdrawal of application .................... wee. 22
3.080 Application after denial.....................0.0000. 22
3.090 Applications for employment after denial or revocation
3.100 Unsuitable affiliates 3
3.110 Standards for licensing ..... 02... eee eee ee a
3.120 Licensing of a natural person under the age of

eighteen prohibited ........ 6. eee eee
3.121 Duration and Renewal of Tribal Licenses and State

Certifications 0... eee
2.122 Identification Cards ....... 0... eee -

THAPTER 4 REPORTING REQUIREMENTS ............... LE


5. Upen conclusion of the resocndent’s case, ‘he Executive Tirector =>
crasent nis case in rebuttal.

7. Upon conciusion of the Executive Directcr's case in reouttal, the Exacu:)
Diracter shall present his closing argument, the respondent may present answ
argument, and thereafter the Executive Director may present rebuttal argur
Thereupon the matter will stand submitted for decision by the hearing panel.

3. Any member of the G#ice hearing oanel may ask questions of witnesses, 77°
may request or allow additional evidence at any time, inciuding additional cac..::
avidence.

7.090 Evidence: admissibility.

4. For the purpose of this section, evidence 's reliable if it is the sort of av
on which responsible persons are accusiomed to rei in the conduct of serious -

2. In hearings governed by this Chapter, the technical rules relating to evidence
and witnesses shail not apply. Any relevant evidence may be admitted, and such
evidence shall be sufficient in itself to support a finding if it is reliable, regardless :
existence of any common law or statutory rule which might make improper the adm.
of such evidence over objection in a civil action.

3. By way of illustration only, those matters that would be admissible in a c:
of law are hereby deemed to be reliable, in addition to those matters that satisfy
standards set forth in subsections 1 and 2.

4. Irrelevant or unduly repetitious evidence shail be excluded upon request 2!
a party or the Office's own initiative.

7.100 Evidence: authentication and identification.

1. Documentary and other physical evidence may be authenticated or identi?
by ‘any reasonable means, by evidence or other showing that the matter in question
what its proponent claims it to be.

=

2. By way of illustration oniy, those matters that would de accepted as «...
in a court of law, are hereby deemed to be authentic, in addition to matters ‘hat ;
standard set forth in subsection 1 of this section.

7.119 Failure or refusal to tastify.

‘, if a responcent fails to testify in his cwn dehaif xr assers 2 sigim
“wiih rasoect to any question propounded to him, the Stee Aearirg panel 3.25

39


preoarad to consider and take action with respect to any or all of the Jodour'cs,
determined by the Chairperson:

a. The formulation and simplification of the issues;

b. The necessity or desirability of amendments to the someiain:
answer

c. The possibility of cbtaining admissions of fact and of dccuments which

will avoid unnecessary proof, stipulations regarding the authenticity of documeris. Ji
advance rulings from the chairman on the admissibility of evidence;

d. The avoidance of unnecessary proof and of cumulative avic:-

e. The identification of witnesses and documents, the need and

for filing and exchanging prehearing briefs, and the date or dates ‘or ‘urther co:
and for the hearing on the merits;

f. The possibility of settlement;
g. The disposition of pending motions;

h. The possibility that all evidence can be submitted by 2°":
transcripts, and other documents; and

i. Such other matters as may aid in the disposition of the action.

3. After any conference held pursuant to this Chapter, the parties shall set ‘aii
in a written stipulation, to be filed with the Office Chairperson, any matters no loncer >
dispute. As to those matters for which no agreement has been reached, but which reu
a ruling from the Office hearing panel, the Gffice Chairperson shall enter an order rec!

the ruling.

7.070 Discovery: mandatory exchanges.

4. Within 20 calendar days after the service of the answer by the responcert,
the parties shall confer for the purpose of complying with subsection 2.

2. At each conference the parties shall:

a. Exchange copies of ail documents then r2asonaaiy avaiiaole to a
‘which are then intended to be offered as avidence in suprori of the party’s case in cr

d. Identify, describe, or oreduce ail tangitie

37


ail of tne icilowing:

1. Steps taken in conducting a background investigatior:

bo

Resuits ootained;

Conclusions reached; and

io)

4. The bases for those conclusions.

ib). Tne Trice snail suomit, with the se
dsterminaticn made under subsection 4. of this section.

(c). If a license is not issued to an applicant, the Tribe:
4. Shail notify the National Indian Gaming Commissicn; -

2. May forward copies of its eligibility determination and
investigative report (if any) to the National Indian Gamir::
Commission for inclusion in the Indian Gaming !nc*.”
Records System.

(d). With respect to key employees and primary management officie ~
Tribe shall retain applications for employment and reports (if any) of back:;
investigations for inspection by the Chairman of the National Indian Gaming Comm.
or his or her designee for no less than three (3) years from the date of terminatica 2°
employment.

7. Granting a Gaming License

(a). If, within a thirty (30) day period after the National Indian Garr
Commission receives a report, the National Indian Gaming Commission notifies the trios
that it has no objection to the issuance of a license pursuant to a license application filed
by a key employee or a primary management official for whom the tribe has provided an
application and investigative report to the National Indian Gaming Commission, the Tribe
may issue a license to such applicant.

(b). The Tribe shall respond to a request for additional informatic:
the Chairman of the National Indian Gaming Commission concerning a key emec::
a primary management official wno is the subject of a report. Such a re!
suspend the 30-day period under paragraph 7.(a). of this section until the Chair
Naticnal incian Gaming Commission receives the additicnal information.

(c) if, within the thirty (20) day seried described ascve, ‘he


1. Unless the Tribal Gaming Office approves otherwise, chips must 22 7): 7-
snaped, must be .130 inch thick, and must have a diameter of:

a. 1.55 inches, for chios used at games other than Daccarat;
b. 1.55 inches or 1.6875 inches, for chips used at baccarat; and
c. 1.8875 inches, for chips used exclusively at race Socks or si..-

counter games.

Z. Each side of each chip issued for use exclusively at a race Dcex or
game must bear an inscription cleariy indicating that use of the chip is so restr

3.040 Specifications for tokens.

1. Unless the Tribal Gaming Office approves ctherwise, tokens must 22
shaped and must measure as follows:

a. No token may be smaller than 1.459 inches or larger than 1.95 inches
in diameter, and no token may be from 1.475 through 1.525 inches in diameter;

b. One dollar denomination tokens must be from 1.459 througa
inches in diameter, from .095 through .115 inch thick, and, if the token has reed: °.
serrations on its edges, the number of reeds or serrations must not exceed 150;

c. Five dollar denomination tokens must be 1.75 inches in diameter, froin
.115 through .135 inch thick, and, if the token has reeds or serrations on its edges, the
number of reeds or serrations must not exceed 175;

d. Twenty-five dollar denomination tokens must be larger than °.
inches but no larger than 1.95 inches in diameter (except that such tokens may be 1.3<-.
inches (42 millimeters) in diameter if made of 99.9 percent pure silver), must be .10 inch
thick, and, if the token has reeds or serrations on its edges, the number of reeds or
serrations must not exceed 200; and

e. Tokens of other denominations must have such measurements
edge reeds or serrations as the Tribal Gaming Office may approve.

2. Tokens must not be manufactured from material possessing
magnetic properties so as to be accepted by a coin mechanism, other than tha
macrine.

3. Tokens must net be manufactured ‘rom a three-layered material cor
of a coccer-nicxel ailcy clad on both sides cf a pure copper core, nor from a copoer-22°

4g


CHAPTER 11
CRIMES AND LIABILITIES CONCERNING GAMING

11.010 "Cheat" defined: applicability of definitions in the Com
used in this Chapter:

1. "Cheat" means to alter the selection of criteria which determirs:
a. The result of a game; or

.. The amount or frequency of payment in a game.

2. "Authorities" means agents of the Tribal Gaming Office, Tribal Police, Fe
Law Enforcement Officers, the State Gaming Agency, a Management Contractcr
principais, employees and agents, and principals, employees and agents of the Garniiy
Facility Operator. It also means an Arizona Peace Officer if deputized pursuant to an
Intergovernmental or Cross-deputization Agreement with the Tribe.

3. "Person" means a member of the Tribe or any non-member Indian +‘:
Reservation or Tribal lands, and any non-indian acting within the exterior boundar..::
Tribal Lands.

4. The words and terms defined in the Ordinance have the meanings aser od
to them in the Ordinance.

11.020 Fraudulent acts. it is unlawful for any person:

4. To alter or misrepresent the outcome of a game or cther event on wis?

wagers have been made after the outcome is made sure but before it is revealed to ‘hs
players.

2. To place, increase or decrease a bet or to determine the course of piay a
acquiring knowledge, not available to all players, of the outcome of the game or any
that affects the outcome of the game or which is the subject of the bet or to aid aren
in acquiring such knowledge for the purpose of placing, increasing or decreasing =
determining the course of play contingent upon that event or outcome.

3. To claim, collect or take, or attempt to claim, collect or iake, -
anything of value in or from a gambling game, with intent to defraud, without havi tue
a wager contingent thereon, or tc claim, coilect or take an amount greater * ne

amcecunt won.

on
on


PART il
CHAPTER 1

Definitions

1.390 Dofinitions. Unless a different meaning ‘s i
in this Ordinance snail have the same meaning as defined in the "ir.
Regulatory Act," Public Law 100-497, 25 U.S.C. §§ 2701 st sec. (the "Aci :

Pascua Yaqui Tribe - State of Arizona Gaming Compact ‘the “Compact').

'y ndicatod,

1.949 "Act" means the Indian Gaming Regulatory Act, Public Law (77
U.S.C. §§ 2701-2721 and 13 U.S.C. §§1166-1168.

1.020 “Applicant” means any person who has applied for a license or certificaticr
under the provisions of the Compact, or employment with a Gaming Facility Ooeratc- ~~
approval of any act or transaction for which approval is required or permit:
provisions of the Compact.

1.030 "Application" means a request for the issuance of a license or « :
or for employment by a Gaming Facility Operator, or for approval of any act or ‘rz
for which approval is required or permitted under the provisions of the Compact.

1.040 "Class | Gaming" means all forms of gaming defined as Class | in Sec'>7
4(6) of the Act, 25 U.S.C. §2703(6).

1.050 "Class Il Gaming" means all forms of gaming defined as Class il ‘ii Sa> 2 ~
4(7) of the Act, 25 U.S.C. §2703(7).

- 1.060 "Class Ill Gaming" means all forms of gaming as defined in Secticn ©. 7° >f
the Act, 25 U.S.C. § 2703(8).

4,070-—“Commissiener—means—a-_member ofthe tba: Gaming-Office-

1.070 "Compact" means that written document executed June 24, *)°°
Pascua Yaqui Tribe and the State of Arizona governing the conduct cf Class
activities on Tribal iands.

1.080 “Credit instrument” means a writing which evidences a gaming
1@ Trical Gaming Cperation, and inciudes any writing taken in 3
mpticn of sayment of a prior credit instrument.

9


CHAPTER 1.900
CHAPTER 2.000

CHAPTER 3.000

CHAPTER 4.900
CHAPTER 5.000

CHAPTER 6.090

CHAPTER 7.000

ARON

6.
7.
8.

CHAPTER 8.000

PART | INDEX

Protecticn of the Environment and Public Health 37 -
Safety eee

Licenses for Key Employees and Primary
management Officials ............. 0000-00000.

Definitions ....... 0.0.0... eee eee
Application Forms ......... 0.0.00. ..
Background Investigations .................0..
Eligibility Determination ................... .
Procedures for Forwarding Applications and Repor:.
for Key Employees and Primary Management
Officials to the National Indian Gaming

Commission ........ 00.0000 eee eee eee
Report to the National Indian Gaming Commission

Granting a Gaming License ...................

License Suspension .................-0.0005.

License Locations ................0..000005-


any firm or Individual in any capacity where the repute of the Tribe 2r the Garmirc
Creration is liable to be damaged because of the unsuitability of ‘he firm ar individual 2:
because af the unethical methods of operation of the firm or individual.

5. Employing in a position for which the individual could be required :o 75
licensed as a key employee, any person who has been denied a license or a finding of
suitability or who has failed cr refused to apply for licensing as a key employee wr:
requested sy the Tribal Gaming Office.

8. Employing in the Gaming Operation or the business of a iicensee any
‘whem the Tribe or any court has found guilty of cheating or using any improper <
connection with any game, whether as a licensee, deater, or player at a licensed gar:
or device; as well as any person whese conduct of a licensed game as a dealer or 9:7 *
employee of a licensee resulted in revocation or suspension of the license of suc”:
licensee.

7. Failure to comply with or make provision for compliance with all federal, state
and locai laws and regulations pertaining to the operations of the Gaming Facility or a
licensee, including, without limiting the generality of the foregoing, payment of all license
fees, or withhoiding any payroll taxes.

8. Possessing or permitting to remain in or upon the premises of the Ge.”
Facility any cards, dice, mechanical device or any other cheating device whatever, the us~
of which is prohibited by statute or ordinance, or conducting, carrying on, operating <>
dealing any cheating or thieving game or device on the premises of the Gaming Facility,
either knowingly or unknowingly, which may have in any manner been marked, 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 %&
alter the normai random selection of criteria which determine the results of the gam.

9. Denying any agent of the Tribal Gaming Office, the State Gaming Agency,
or Tribal police, upon proper and lawful demand, access to, inspection or disclosure of any
portion or aspect of the Gaming Facility as authorized by the Compact.

5.030 Publication of payoffs.

1. Payoff schedules or award cards applicable to every licensed garms
machine and gaming device shail be displayed at all times either on the table or mac:
or in a conspicuous place immediately adjacent thereto. In the case of keno, .
foregoing requirement wiil be satisfied if publisned payoff schedules are maintained °
location readily accessible ‘o players and notice of the location of such schedule ‘s >
on or adjacent to the table.

2. Payoff schedules or award cards must accurately state actual 22.

30


cS. Either the express terms or an informative summary 2f ‘he or

3. On the date and at the time and place designated in the notice, ‘he ~~
Gaming Office shall afford any interested person or his authorized representative, or 21"
the opportunity to present statements, arguments or contentions in writing, with or withic:.:
soportunity ‘o present them orally. The Tribal Gaming Office shall consider ail “2!
maiter presented to it, and shail cotain ‘he concurrence of the State Gaming 4
required by and in accordance with Compact previsions for changes in technical standards
ior Gaming Devices or changes in regulations, before adopting, amendirg cr -e7 =: ‘
any regulation.

4. Any interested member of the Tribe, ticensee or Manager may file
with the Tribal Gaming Cffice requesting the adoption, amendment or >
regulation. The petition must state, clearly and concisely:

(1) The substance or nature of the regulation, amendment or vepcci
requested;

(2) The reasons for the request; and

(3) | Reference to the authority of the Tribal Gaming Office
action requested.

Upon receipt of the petition, the Tribal Gaming Office shall within 30 days deny the
request in writing or schedule the matter for action pursuant to this subsection.

5. In emergencies, the Tribal Gaming Office may, with the concurrence of the
State Gaming Agency, if required by the Compact, summarily adopt, amend or repeal ariy
regulation affecting Class Ill gaming if at the same time it files a finding that such aciion
is necessary for the immediate preservation of the public peace, health, safety, morals,
good order or general welfare, together with a statement of the facts constituting the

emergency.

6. In any hearing under this section, the Tribal Gaming Office or its duly
authorized representative may administer oaths or affirmations, and may continue 2
pestpone the hearing from time to time and at such places as it prescribes.

7. The Tribal Gaming Office may request the advice and assistance 21
Trioal Council in carrying out the provisions of this seciion.
2.070 Personnel. Tr2 Tribal Gaming Cffice Sxecutive Director pail aire ser
Ty to ensure the grocer enforcement of the provisions of the compact i
any othar Gaming Ordinance. The Tribal Gaming Office shall consuit with and >:

18


GAMING ORDINANCE Xe i:
PASCUA YAQUI TRIBE OF ARIZONA


CHAPTER 3
ACCOUNTING REGULATIONS

8.910 Definitions. As used in this Chapter:

4. Unless otherwise socecified, “Executive Sire.
Directcr of the Tribal Gaming Office or his designee.

2. "Business year" means the annual gericd used dy the
Operator for internal accounting purposes.

3. "Fiscal year" means the fiscal year utilized by the Gaming

4. "Statements on auditing standards" means the auditing stand
procedures published by the American Institute of Certified Public Accountants.

5. “Statistical drop" means the dollar amount of cash wagered by a patron that
is placed in the drop box pius the dollar amount of chips or tokens purchased at a tah’:
by a patron with currency with currency or credit instruments.

6. "Statistical win" means the dollar amount won by the licensee ‘tro. 5.
play.

7. "Wager" means a sum of money or thing of value risked on an verison
occurrence.

8.020 Tribal Gaming Office audit procedures.

1. The Facility Gaming Operator, in accordance with Compact provisiors,
select indecendent certified accountants to perform an annual audit of the following >..
functions for the Gaming Operation:

a. To conduct periodic audits or reviews cf the books and records >
Gaming Operation;

b. To review the accounting methods and prccedurss
Gaming Facility Operator;

c. To review and observe methods and crocecures
used by the Gaming Facility Operator to count and handle casa, snics, tokens, >
instruments, and credit instruments;

d. To examine the Gaming Facility Cperator’s -ecords

42


activities of tne Gaming Facility Operator. The following classes of gaming empioy2ss
oresumed :o Se actively and directly angaged in ‘he administration sr suver.: -
gaming:

a. All individuals who ar@ compensated in any manner in 3x2522
$20,000 per annum;

dD. All individuals who may aocrove or extend
gaming credit in any amount, or whose reccmmendations in this regard are crdinariy
sought or followed;

c. All individuais who nave authority to naire or
employees;

d. Alt individuals who have the authority to sucervise or direct a sn.*t
any gaming or security activity, inclucing ut not limited to supervision or directicr
gaming device area, keno or bingo games, slot machines, race or sporis =
pari-mutuel operations, or any persons having authority to supervise or direct such
persons;

a. All individuals who regularly participate in the count more *> °
than one day in each week or who actually participate in the count more than *
any 30-day period;

f. All individuals who may approve or extend to casino
complimentary house services other than beverages only;

g. All individuals who supervise or direct other employees engaged in >.
control of gaming assets and revenues and record keeping, including the recording 2f
cash and evidences of indebtedness, and the maintenance, review or contro:
records, accounts, and reports of transactions which are required to be kept;

h. Any individual who has been specifically represented to the Tribal
Gaming Office by the Gaming Facility Operator or Manager as being important 2r
necessary to the operation of the Gaming Facility;

i. All persons who individually or as part of a group formu
management poiicy.

2. The annual employee report shall also include a description of the
$s, casino resconsibilities, and casine authority delegated :o each individual

@ report.

3. Aay changes, additions, cr deletions ‘o any information contained wi:
ancual smployee report which occurs suosequent to the fling of the caperi ara >

26


CHAPTER 7

m

DISCIPLINARY PROCEEDINGS REGARDING LIC

Ne

7.010 Apolicability. Chapter 7 shall apply to discipiinary proceedings ‘svcn.
iribal licenses issued pursuant to Tribal Gaming Ordinances and the Comra::.

7.020 Definitions.

1. "Office" means the Trioal Gaming Office.

2. "Chairperson" means the Chairperson of the FribalGaraiagoin: -
Panel.

3. "Executive Director’ means the Executive Director of the Trice.

Office, his staff and counsel.

4. "Licensee" means any person or enterprise licensed or found suitz*i>
the provisions of this Ordinance and the Compact.

5. "Respondent" means any licensee or gaming employee upon i
complaint is served pursuant to this Chapter.

7.030 Service of complaint. If after an investigation pursuant to the Compact arc
this Ordinance, the Executive Director determines that a formal complaint is necessary,
he shail prepare and serve the complaint upon the respendent either personally, or
registered or certified mail at his address on file with the Office. The complaint rust #«:
a written statement of charges which must set forth in ordinary and concise language !\'
acts or omissions with which the respondent is charged. It must specify the sections ot
the Compact, of Tribal Gaming Ordinances or gaming regulations which the respondent
is alleged to have violated, but must not consist merely of charges raised in the language
of the Compact or the regulations. Proof of service may be provided by a certificate or
affidavit of service, which shall be signed by the person effecting service and which shzil
specify the date and manner of service. The Tribal Gaming Office may summarily
suspend any tribal licenses pending a hearing if the continued licensing of a verter
entity constitutes an immediate threat to the public health, safety or weifare.

7.040 Answer: setting cf hearing. The respondent shall file an answer
complaint wiih the Cffice within 20 days after service of the complaint. A ccpy .~
answer must also be served upon the State Gaming Agency. In his answer :72
resocendent must:

35


nas Seen recsived dy the applicant constitutes grounds for delaying considarsi27
aoolicaticn.

2. it is grounds for denial of an application or disciplinary action icr an:
to make any untrue statement of material fact in any application, notice, stater>
report filed with the Tribal Gaming Office or State Gaming Agency in compliance witt
provisions of law referred to in paragraph 1 or willfully to omit to state in an
application, notice, statement or report any material ‘act which is required :o 3e |...
therein or omit to state a material fact necessary to make the facts stated in view cf the

cumstances under which they were stated, not misieading.

Cae

3. All information required to be included in an application must ce :r.
complete as of the dates of the Tribal Gaming Office action sought by such apoli~
and an applicant shall promptly supply by amendment prior to such date any in
based on facts occurring after the original application so as to make such informatica
misleading as of the date of such action dy the Tribal Gaming Cffice.

4. An application may be amended in any respect by leave of the Tribal
Gaming Office or State Gaming Agency at any time prior to final action thereon by the
Tribal Gaming Office. Any amendment to an application shall have the effe-* °
establishing the date of such amendment as the new filing date of such apolic
respect to the time requirements in the Compact or this Crdinance for action °n
application.

5. Any document filed under any of the provisions of the Compact or
Ordinance may be incorporated by reference in a subsequent application if it is availac:e
in the files of the Tribal Gaming Office or the State Gaming Agency, to the extent that the
document is currently accurate.

3.040 Tribal Application and investigative fees.

1. Except as otherwise provided herein, all fees and costs incurred in
conjunction with the investigation of any application to the Tribal Gaming Office must de
paid by the applicant in the manner prescribed by this Section.

2. Applications for the following licenses, findings of suitability and approv=
must be accompanied by the following nonrefundable fees:
a. Manufacturer - 3 4,500.00
b. Distributor - 1,500.00
c. Manager - 1,500.00
a. Gaming services - 150.00
2. Princicals : 500.C0
rm ay amoloyees - 600.00
3. Cther gaming empic ees - 1€0.00

21


on

o

10.

44.

license numbers;

The names and current addresses of at least three server
references, including one personal reference wh2
acquainted with the applicant during each pericd of re:
listed under paragrapn 3(a)(2) cf this section;

Current ousiness and residence telechone numbers:

A description of any axisting and orevious :
relationships with Indian tribes, including ownersnio nic
those businesses;

A description of any existing and previous
relationshics with the gaming industry generally,
ownership interests in those dusinesses;

The name and address of any licensing or regulatory agency
with which the person has filed an application for a license or
permit related to gaming, whether or not such license >r ~

was granted;

For each felony for which there is an ongoing prosecution ~~
conviction, the charge, the name and address of th:
involved, and the date and disposition, if any;

For each misdemeanor conviction or ongoing misdemeanor
prosecution (excluding minor traffic violations), within 10 years
of the date of the application, the name and address 27 ‘2
court involved and the date and disposition;

For each criminal charge (excluding minor traffic charges),
whether or not there is a conviction, if such criminal charge is
within 10 years of the date of the application and is not
otherwise listed pursuant to paragraph 3(a)(8) or 3(a)(9) of t
section, the criminal charge, the name and address of the co
involved and the date and dispcsition;

The name and address of any licensing or regulaiory ©,”
with which the person has filed an aogiication
occupational license or permit, whether or not such 3
permit was granted;

A current shetegrapn;

ao


b. To use any device or means to viclate the provisions of the Core: >
or this Chapter.

3. It is unlawful for any person, not a duly authorized employee of the Garin”
Facility Operator acting in furtherance of his employment within the Gaming Facility,
have on his person or in his possession on or off the premises of the Gaming Facility ar.
device intended to be used to violate the provisions of the Compact or this Chapter.

4. It is unlawful for any oerson, not a duly authorized emplovee of the Gaming
Facility Operator acting in furtherance of his employment within the Gaming Fac
have on his person or in his possession on cr off the premises of the Gaming Facilit
Key or device known to have been designed for the purpose of and suitacle for openin
entering or affecting the operation of any gambling game, drop box or any eiectroni~
mechanical device connected thereto, or for removing money or cther contents there:

5. It is unlawful for any perscn to have on his person or in his possession an
paraphernalia for manufacturing slugs. As used in this subsection, "paraphernali~
manufacturing slugs" means the equipment, products and materials that are intended ior
use or designed for use in manufacturing, producing, fabricating, preparing, testing,
analyzing, packaging, storing or concealing a counterfeit facsimile of the chips or toke>>
approved by the Tribal Gaming Office or a lawful coin of the United States, the . >
which is unlawful pursuant to subsection 2. The term includes, Dut is not !imi*aci

a. Lead or lead alloys;

b. Molds, forms or similar equipment capable of producing a likene .:
a gaming token or United States coin;

c. Melting pots or other receptacles;
d. Torches; and
e. Tongs, trimming tools or cther similar equipment.
: 6. Possession of more than one of the devices, equipment, products >:

materials described in this section permits a rebuttable inference that the possesicr
intended to use them for cheating.

11.050 Cheating. It is unlawtul jor any person, whether he is a drincipa.
employee of the Gaming Facility Operator, or a player in the Gaming Facility, to cheat «.:
any gambling game.

41.030 Unlawful manufacture, sale, distribution, markirg, altering
modification of equipment and devices associated ‘with 79
unlawful instruction.

a
nl


in extending credit;

2. To examine and review the Gaming Facility Operator's ‘nie’:
procedures and, if applicable, the Manager Contractor's compliance therewith;

f. To examine all accounting and bookkeeping
records ana ledger accounts of the Gaming Facility Operator; and

g. To examine all contracts for suppliers, services cr concessions ‘or any
contract amount in excess of $25,000 annually (except contracts ‘or orofessional ;
accounting services) relating to the Gaming Facility Operator.

2. The independent certified accountants shail conduct an audit in confor
with Compact standards. The independent certified accountants shall prepare
appropriate report at the conciusion of an audit and shail submit a copy of the report :2
ihe Tribal Gaming Office, the State Gaming Agency, the Manager and the Commiss
as applicable.

8.030 Accounting records.

1. The Gaming Facility Operator shall keep accurate, complete, ‘2g
permanent records of all transactions pertaining to revenue that is subject ‘o accc:
under a Management Contract.

2. The Gaming Facility Operator shall keep general accounting records on i
double entry system of accounting, maintaining detailed, supporting, subsidiary recortis,
including:

a. Detailed records identifying revenues, expenses, assets, liabilities, ar“!
equity;

b. Detailed records of all markers, [OU’s, returned checks, hold checks,
or other similar credit instruments;

c. Individual and statistical game records to reflect statistical
statistical win, and the percentage of statistical win to statistical drop by table for
table game, and to reflect statistical drop, statistical win, and the percentage of stati
win to statistical drop for each type of table game, either oy each sniit or other acccu
period determined by the Gaming Facility Operator, and individual and statistical 5:
records reflecting similar information for all other games;

d. Slot analysis reports which, by each machine, compare actual Acid
to theeretical hold percentages; and

43


a. The money accepted by the Gaming Facility Coerator on 2
games ‘hat occur during the month or will occur in subsequent months, !ess mo
aut during the month to patrons on winning wagers; or

.. Tne money accepted by the Gaming Facility Operator on averis
games that occur during the month pius money, not previously included in gross revent'>
that was accepted by the Gaming Facility Operator in previous months on eve: *>
games occurring in the month, less money paid out during the month to patrons -.:
winning wagers.

4, For each card game and any other game in which the 3arning
Operator is nct a party to a wager, gross revenue equals all money received =

Gaming Facility Operator as compensation for conducting the game.

5. The Gaming Facility Cperator shall not include either shill win cr sniil ‘c2*
gross revenue computations.

6. If in any month the amount of gross revenue is less than zero, the Gaming
Facility Operator may deduct the excess in the succeeding months, until the loss is fut,
offset against gross gaming revenue.

8.070 Treatment of credit for purposes of computing gross revenue.

1. Gross gaming revenue does not include credit extended or collected dy - =
Gaming Facility Operator for purposes other than gaming. Gross gaming reve
includes the amount of gaming credit extended to a patron that is not documented iii 2
credit instrument.

2. The Gaming Facility Operator shall, prior to extending credit, follc:
procedures in its internal control system.

3. The Gaming Facility Operator need not include in gross gaming revenue the
unpaid balance of a credit instrument if one or more of the following paragraphs °°:
satisfied:

a. The Gaming Facility Operator settles the debt for less than ‘is
amount to induce the patron to make a partial payment. This paragraph is satisfc :
if the Gaming Facility Operator first requests payment of the debt in full from the =
the patron jails to respond to the request or refuses to pay the debt in full, and th
then maxes a partial payment in consideration for settlement of :he debt for ‘ess
full amount.

2. Tne Gaming Facility Coerator settles the deot for less chan
amcunt io compromise a genuine dispute dDetween the patron and the Gaming

45


Gaming Commission provides the Tribe with a statement itemizing sojecicrs +> .>
issuance of a license to a key employee or to a primary management official for w:
Tribe has provided an application and investigative report to the National India: j
Commission, the Tribe shall reconsider the application, taking into account . ;
itemized by the National Indian Gaming Commission. The Tribe shail r2-s

cecision whether to issue a license to such applicant.

3. License Suspension

(a). if, after the issuance of a gaming license, the Tr
National indian Gaming Cornmission reliable information indicating that >
or a primary management official is not eligible for employment under
above, the Tribe snail suspend such license and shall notify in writing ‘he
suspension and the proposed revccation.

(b). The Tribe shall notify the ticensee of a tima and avicoa fin.
on the proposed revocation of a license.

(c). After a revocation hearing, the Tribe shail decide to revoke oF .c
reinstate a gaming license. The Tribe shall notify the National indian Par‘y> >
of its decision.

CHAPTER 8.000 License Locations

The Tribe shall issue a separate license to each place, facility, or location :- -
lands where Class II or Class III gaming is conducted under this ordinance.