SEP 6 2001 

Lola C. Rainey, Acting Attorney General 

Colorado River Indian Tribes 

Route 1, Box 23-B 

Parker, Arizona 85344 

RE: Request for Approval of an Amendment to the Colorado River Indian Tribe 

Gaming Ordinance 

Dear Ms. Rainey : 

Thank you for submitting the Colorado River Indian Tribe's (Tribe) amended Tribal 

Gaming Code Ordinance Number 01-01. This letter constitutes approval of your submission 

under the Indian Gaming Regulatory Act (IGRA). It is important to note that the amended 

Tribal Gaming Code is approved for gaming only on Indian lands, as defined in the IGRA, 

over which the Tribe exercises jurisdiction. 

You have commented that you believe the amendments are outside the scope of the NIGC 

regulations. Section 522.3 of 25 C.F.R. provides that a tribe shall submit for the 

Chairman's approval any amendment to an ordinance or resolution. Therefore, the Tribe's 

amendments to its ordinance are subject to review by the Chairman. 

Thank you for submitting the amendment to the Tribal Gaming Code of the Colorado River 

Indian Tribe. The NIGC staff and I continue to look forward to working with you and the 

Community in implementing the IGRA. If you have questions or require further assistance, 

please contact our office at 2021632-7003. 

Sincerely yours, 

Montie R. Deer 

Chairman 

NATIONAL HEADQUARTERS 1441 L St. NW, Suite 9100. Washington. DC 20005 Tel: 202.632.7003 Fax: 202.632.7066 WWW.NlGC.GOV 

REGIONAL OFFICES Portland. OR; Sacramento. CA: Phoenix. AZ; St. Paul. MN: Tulsa. OK 
I3L3 1.1' IS>. c\C71'ESD by ~llc l'i.lb;~I COIIIIZII 01'~he C~l~r;~do RiverIndian I'ribcs that thc G~lrnin? Codc ol' [he 

Colorado River Indian Tribes be amended 3s follows: 

GAMING CODE 

ARTICLE I 

CHAPTER 1 . LEGISLATIVE PURPOSE. INTENT AND SUMM-ARY OF STATUTORY SCHEME ...... 1 

Section 101 . Pumose ................................................................ 1 

Section102 . Intent ................................................................. 1 

Section 103 . Summarv of Statutorv Scheme ............................................. 1 

CHAFYTER2 3 . DEFINITIONS ................................................................. 

CHAPTER 3 . TRIBAL OWNERSHIP AND USE OF NET REVENUE .............................. 5 

Section 301 . Tribal Ownershiv of Gamine Activities ...................................... 5 

Section302 . UseofNetRevenues ..................................................... 5 

CHAPTER 4 . TRIBAL GAMlNG ENTERPRISE AND GAMING ENTERPRISE DIRECTOR ........... 6 

Section 401 . Establishment of the Tribal Gamine Entervrise ................................. 6 

Section 402 . Gamine Enterprise Director ................................................ 6 

Section 403 . Duties and Authoritv of the Gamine Enternrise Director .......................... 6 

Section 404 . Obligations of the Gaming Enternrise Director ................................. 7 

Section 405 . A~pointment Eligibilitv and Comvensation of Gaming - Enternrise Director ........... 7 

CHAPTER5 . THETRIBALGAMINGAGENCY ............................................... 8 

Section 501 . Establishment of the Tribal gamin^ Anencv . and Funding ....................... 8 

Section 502 . A~~ointment: Eligibilitv of the Executive Director of the Tribal Gaming Agencv ...... 8 

Section 503 . supervision of the Tribal Gaming Agency .................................... 9 

Section 504 . JRewaled Julv 24.2001. bv Ord . 01-011 ..................................... 10 

Section 505 . Powers and Duties of the Tribal Gamin? Agencv .............................. 10 

Section 506 . Issuance of Regulations .................................................. 12 

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

CHAPTER 6 . LICENSES REQUlRED FOR PARTICIPATION INTHE BUSINESS OF GAMING ACTIVITIES 

........................................................................... 13 

Section 601 . Tvve of Licenses Reauired ............................................... 13 

Section 602 . Standards of Suitabilitv for the Issuance of Licenses ........................... 14 

CHAPTER 7 . LICENSE APPLICATION PROCEDURE ........................................ 17 

Section 701 . A~oiication Reauirements ................................................ 17 

Section 702 . processing of ~o~lications for~icenses ..................................... 20 

Section 703 . S~ecial Processing for Particular License A~~~ications: Gaming Emolovee's License and 
Gaming Facilitv License ................................................. 23 

Section 704 . Fees for Li.censes and Renewal of Licenses .................................. -25 

Section 705 . License Terms; Renewal ................................................. 27 

Section 706 . Special Obligations - of Cornorate Licensees .................................. 27 

CHAPTER 8 . FACILITY INSPECTION; REPORTING REQUIREMENTS .......................... 27 

Section 801 . Facilitv Inspection ...................................................... 27 

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

Section803 . JndependentAudit ...................................................... 29 

CHAPTER 9 . GAMING OPERATIONS; INTERNAL CONTROLS ................................ 30 

Section 901 . Scope of Permissible Gaming ............................................. 30 

Section 902 . Hours . Davs. Other Standards ............................................. 30 

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

Section 904 . Ernplovee Gaming ...................................................... 31 

Section 905 . Publication of Pavoffs ................................................... 31 

Section 906 . Slot Machines and Gaming Devices ........................................ 31 

Section 907 . Unsuitable Methods of O~eration .......................................... 31 

Section 908 . Internal Controls ....................................................... 33 

CHAITER 10 . NOTICES OF VIOLATION; COMPLAINTS AND DISCIPLINARY ACTIONS .... 34 

Section 1001 . Notice of Violation ..................................................... 34 

Section 1002 . Investigation of Com~laints ............................................... 36 

Section 1003 . Appointment; Eligibilitv of the Hearing Officer ............................... 36 

Section 1004 . Com~ensation and Removal of the Hearing Officer ............................ 37 

CHAPTER 1 1 . DISPUTES; LIMITS OF TORT LIABILITY TO PATRONS AND/OR OTHER 

INDIVIDUALS OR ENTITIES ............................................ 37 

Section 1101 . Patron Disputes ........................................................ 37 

Section 1102 . Limits of Tort Liability .................................................. 38 

Section 1103 . Limits of Liabilitv for Tribal Gaming Agencv ............................... -38 

CHAPTER 12 . OFFENSESANDREMEDIES ............................................ 38 

Section1201 . Offenses .............................................................. 38 

Section1202 . Penalties ............................................................... 39 

Section 1203 . Civil Remedies ......................................................... 39 
GAbIINC CODE 

ARTICLE I 

[NOTE; Except as orherwise noted. thc provisions of Article I of the Gaming Code were enaclcd on August 3 1, 

1994 by Ord. No. 1. The Gaming Code was further .amended on January 8,2000 by Ordinance 00-0 1 ; on January 

14, 2000 by Ordinance 00-02; and on July 24. 200 1, by Ordinance 0 1-0 1 .] 

CHAPTER 1. LEGISLATIVE PURPOSE, INTENT AND SUMMARY OF STATUTORY SCHEME 

Section 101. Pumose. 

This Gaming Code is enacted to implement the decision of the Tribal Council of the Colol-ado River Indian 

Tribes that in addition to other revenue-generating activities engaged in by the Tribe, Gaming Activities shall be 

permitted as a source of revenue-generation by, or authorized by the Tribes on Tribal Lands. 

Section 102. Intent. 

This Gaming Code is enacted and shall be interpreted to ensure that any gaming Activities permitted on 

Tribal Lands shall: 

(a) be conducted in a manner which maintains the highest standards of honesty and integrity; 

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

integrity of the Gaming Activities; 

(c) be conducted in a manner which generates the maximum reasonable economic return to the Tribes 

that is consistent with the safety, comfort and fair and reasonable expectations of the patrons of such 

activities; and 

(d) be conducted in compliance with all applicable laws of the Tribes and of the United States of 

America, including but not limited to the Indian Gaming Regulatory Act of 1988, and in compliance 

with any Gaming Compacts that have been or may in the future be entered into between the Tribes 

and the State of Arizona or the State of California. 

Section 103. Summarv of Statutory Scheme. 

This Gaming Code establishes the following statutory scheme to administer the conduct of Gaming 

Activities on Tribal Lands: 

(a) A Tribal Gaming Enterprise is herein established to conduct, manage, administer, supervise and 

control the revenue-generating and/or business affairs of all Tribal Gaming Activities conducted on 

Tribal Lands, subject to the overall authority of the Tribal Council as more specifically set forth in 

Chapter 4 of this Gaming Code, and subject to the regulatory authority of the Tribal Gaming 

Agency; 
(h) A Tribill Gnming Agcncy is hcrcin cst;rblishctf to have and to ;~Jrninis~~'ralI civil~.cgula[o~-y ailthor-it! 

overall Gaming Activities conducted on Tribal Lands as more spccit'ically sct forth in Chapter 5 and 

following Chapters of this Gaming Code, and 

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

the activities of both the Tribal Gaming Enterprise and the Tribal gaming Agency, as more 

specifically set forth hereinafter, and to mediate between those entities in the event such mediation 

becomes necessary. 

CHAPTER 2. DEFINITIONS. 

For purposes of this Gaming Code: 

(a) "Act" means the Indian Gaming Regulatory Act of 1988, Public Law 100-97,25 U.S.C. $9 

2701-2721 and 18 U.S.C. $3 1166-1 168, and all regulations promulgated pursuant thereto. 

(b) "Administrative Procedure Protocol" means the set of procedures adopted by the Tribal 

Gaming Agency, subject to approval by Tribal Council, to govern the promulgation of its 

regulations, the conduct of its hearings and disciplinary actions and the perfection of its 

appeals process. 

(c) "Class I Gaming" means all forms of gaming defined as Class I in Section 4 (6) of the Act, 

25 U.S.C. 3 2703 (6). 

(d) "Class I1 Gaming" means all forms of gaming defined as Class I1 in Section 4 (7) of the Act, 

25 U.S.C. 5 2703 (7). 

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

(f) "Compact" means any Tri bal-State Compacts entered into between the Colorado River 

Indian Tribes and the State of Arizona or State of California for the purpose of regulating 

Class In Gaming activities conducted on Tribal Lands, and all amendments and 

modifications thereto, pursuant to Section 11 (d) of the Act, 25 U.S.C. 5 2710 (d). 

(g) "Hearing Officer" means the individual(s) designated to preside over the administrative 

proceedings initiated pursuant to the Administrative Procedure Protocol. 

(h) "Distributor" means a person who distributes Class 111 Gaming Devices andlor component 

parts thereof. 

(i) "Executive Director" means the Executive Director of the Tribal Gaming Agency. 

(j) "Gaming Activity," unless specifically stated otherwise, means all forms of Class I, I1 or I11 
"Ciaming Device" means an electronic game of chance, defined 2s follows: a 

microprocessor-controlled electronic device that allows a pl;\yer to play games of chance, 

some of which are affected by skill, which device is activated by the insertion of a coin, 

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

replays, or? written statement of the player's accumulated credits, ~vhich written statements 

are redeemable for cash. Game play may be displayed by (i) video facsimile or (ii) 

mechanical rotating reels whereby the software of the device predetermines the stop 

positions and the presence, or lack thereof, of a winning combination and pay out, if any. 

"Gaming Employee" means (i) any natural person employed as a primary management 

official or key employee of a Gaming Operation, (ii) agents of the State Gaming Agency of 

California or Arizona; and (iii) any natural person employed in the operation of a Gaming 

Operation, including, but not limited to, any person whose employment duties require or 

authorize access to restricted areas of a Gaming Facility not otherwise open to the public. 

"Gaming Facility" means the buildings or structures licensed and approved by the Tribal 

gaming Agency in which Gaming Activities are conducted. 

"Gaming Facility Operator" means the Tribal Gaming Enterprise or such other wholly owned 

Tribal entity having full authority and responsibility for the operation and management of 

Gaming Activities on Tribal Lands. 

"Gaming Operation" means the total activities camed on by the Tribal Gaming Enterprise 

or such other wholly owned entity having full authority and responsibility of the operation 

and management of Gaming Activities on Tribal Lands. 

"Gaming 'Code" or "Code" means this Gaming Code, which governs the conduct of all 

Gaming Activities on Tribal Lands, including all amendments thereto, and all regulations 

promulgated by the Tribal Gaming Agency thereunder. 

"Gaming Services" means the provision of any goods or services to a Gaming Facility 

Operator directly in connection with the operation of Class I1 or Class I11 Gaming in a 

Gaming Facility, including, but not limited to,equipment, merchandise, transportation, food, 

linens, janitorial supplies, maintenance, or security services for the gaming Facility, in an 

aggregate of more than $10,000 per month. 

"Keno" means a house banking in which a player selects from one to twenty numbers on a 

card that contains the numbers one through eighty. The house randomly draws twenty 

numbers and players win if the numbers they selected correspond to the numbers drawn by 

the house, with the house paying all winners, if any, and collecting from all losers. 
"K\;2> E~l~plo~cc" m;ins ;I Gamin: Ernplo>cc ~vho pcrt'orms oric or more of thc t'ollowing 

(unctions: bingo caller; counting room supervisor, chief of security, custodii~n of gaming 

supplies or cash; floor manager; pit boss; dealer; croupier; approver of credit; or custodian 

of gambling devices including persons with access to cash and accounting records within 

such devices. In addition, any other person whose total cash compensation from the Gaming 

Operation is in excess of $50,000 per year, and the four most highly compensated persons 

in the Gaming Operation, shall also be deemed "key employees." 

"License" means an approval issued by the Tribal Gaming Agency to any natural person or 

enterprise to be involved in the Gaming Operation or in the providing of gaming services to 

any Gaming Operation. 

"Licensee" means any natural person or enterprise who has been licensed by the Tribal 

Gaming Agency to be involved in the Gaming Operation or in the providing of gaming 

services to the Gaming Operation. 

"Management Contract" means a management contract within the meaning of the Act, 25 

U.S.C. $$ 2710 (d)(9) and 271 1. 

"Management Contractor" means a natural person or entity that has entered into a 

Management Contract as contemplated under the provisions of the Act, 25 U.S.C. 99 2710 

(d)(9) and 27 1 1. 

"Net Revenue" means the gross revenues of any gaming activity less amounts paid out as, 

or paid for, prizes and total operating and capital expenses. 

"Office of Attorney General" means the Office of the Attorney General of the Colorado 

River Indian Tribes; 

"Primary Management Official" means the person having management responsibilities under 

a Management Contract, or any person who has authority to hire and fire employees or to set 

up working policy for the Gaming Operation; or the chief financial officer or other persons 

or persons having financial management responsibility for a Gaming Operation. 

"Principal" means with respect to any entity; (i) each of its officers and directors; (ii) each 

of its principal management employees, including any chief executive officer, chief financial 

officer, chief operating officer, or general manager, (iii) each of its owners or partners, if an 

unincorporated business; (iv) each of its shareholders who own more than ten percent (10%) 

of the shares of the corporation, if a corporation; and (v) each person other than a banking 

institution who has provided financing for the entity constituting more than ten percent 

(10%) of the total financing of the entity. 

"State" means the State of Arizona or State of California and the authorized officials, agents 
l'hc cct !.;'t:;nl.ics rccci~c'cil hy rhc Tribal Gaming Enterprisc from all GLimin~ /\ctivitics shall bc deposited 

into u Gaming Entcrprisc Fund controlled by thc Tribcs through Tribal Council, :ind shall be utilized exclusively 

for one 01. more of the t'ollow~nz purposes, according to periodic resolution of the Tribal Council: 

(a) to fund government operations or programs of the Tribes; 

(b) to provide for the general welfare of the Tribes and members of the Tribes; 

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

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

(e) to make per capita payments to members of the Tribes upon the preparation of a plan to allocate 

revenues consistent with the requirements of the Act and approval of this plan by the Secretary of 

the Interior. 

CHAPTER 4. TRIBAL GAMING ENTERPRISE AND GAMING ENTERPRISE DIRECTOR 

Section 401. Establishment of the Tribal Gaming Enterorise. 

There is hereby established an enterprise of the Tribes to be known as the Tribal Gaming Enterprise. The 

Tribal Gaming Enterprise shall conduct all Tnbal Gaming Activities licensed on Tribal Lands, shall be theexclusive 

Gaming Facility Operator licensed to conduct a Gaming Operation on Tribal Lands, and shall be wholly-owned by 

the Tribes. 

Section 402. Gaming Enternrise Director. 

The Tribal Gaming Enterprise shall be managed and directed by the Tribal Gaming Enterprise Director who 

shall be the General Manager and shall be appointed by the Tribal Council for a two-year term. 

[As amended, January 8,2000, by Ord. 00-01 .] 

Section 403. Duties and Authoritv of the Gaming Enternrise Director. 

The Gaming Enterprise Director shall manage, administer, supervise and control the business affairs of the 

Tribal Gaming Enterprise. In furtherance of these duties, the Gaming Enterprise Director shall have the following 

authority: 

(a) to make all management decisions concerning the day-to-day operations of the Tribal Gaming 

Enterprise, or todelegate such decisions to a manager or managers to perform such day-to-day 

operating management; however, in the event of such delegation, the Gaming Enterprise Director 

will maintain responsibility for supervising and directing the activities of such manager(s) in the 

exercise of his duties: 
(h) I:! 11l:ikc' ~lc'cis~i~~?~ ;IS to c;~pit;~l invcstrnc~it?;, to pl.opost. short-tel.m and Ions-tct-m busrncss plilns. 

budgets, and ~ntcrnal reporting procedures (or monitor~nz and evaluating the pl.uI'it pcrf'urmance of 

the Tribal Gaming Enterprise, and to perform any othcr function necessary to carrying out the 

business of the Tribal Gaming Enterprise in a way consistent with rna,uimizing its net revenues; and 

(c) to hire personnel and staff to perform the business of the Tribal Gaming Enterprise, to sponsor such 

personnel for the various licenses required under this Gaming Code, and to draw upon the 

professional legal and accounting resources of the Tribes for consultation and assistance, where 

appropriate. 

[As amended, January 8,2000, by Ord. 00-01 .] 

Section 404. Obligations - of the Gaming - Enternrise Director. 

The Gaming En~erprise Director shall be answerable to, and subject to the overall control of the Tribal 

Council. Such control will be facilitated by imposition of the following reporting obligations, as well as by any 

other obligations or procedures that may be imposed by the Tribal Council: 

(a) the Gaming Enterprise Director shall submit the following documents to the Tribal Council for its 

approval: an annual business plan that includes three-to-five year projections of expenses and 

revenues and narrative explaining such projections; an annual line-item budget of all operations of 

theTribal Gaming Enterprise; all requests for proposals (RFP's) or contracts that entail extraordinary 

or non-recumng expenses in excess of $100,000 expenditure by, or accrual of liability to, the Tribal 

Gaming Enterprise; and all plans or proposals for expansion, addition or construction of Gaming 

Facility physical plant; 

(b) the Gaming Enterprise Director shall submit the following reports to the Tribal Council for its 

review: monthly, quarterly, and annual financial statements, all prepared in accordance with General 

Accepted Accounting Principles, and in the case of monthly statements, presented within thirty (30) 

calendar days after the closing of the calendar period for which the information is being supplied, 

and in the case of quarterly and annual statements, presented within forty-five (45) calendar days 

after the closing of the calendar period for which the information is being supplied; an annual 

independent audit, presented within sixty (60) calendar days after the closing of the calendar year 

for which the information is being supplied; and notices and reports of any violations or unusual 

occurrences concerning requirements of this Gaming Code and any other applicable. law or 

regulation, presented within three (3) calendar days after such notice or report is made available to 

the Tribal Gaming Enterprise. 

[As amended, January 8,2000, by Ord. 00-01 .] 

Section 405. A~~ointment Eli~ibilitv and Comvensation of Gaming Entemrise Director. 

(a) The Gaming Enterprise Director shall be appointed by the Tribal Council and must meet the following 
I. must be over the age ot' twenty-one, have previous managerial or supervisory experience in 

gaming operations and must be a person of the utmost honesty and integrity in that he or she 

shall not have been convicted of a felony or a misdemeanor involving theft, embezzlement 

or a crime involving moral turpitude. and he or she shall be a person whose prior activities, 

reputation, habits and associations shall not pose a threat to the public interest or to the 

public image of Gaming Activities conducted on Tribal Lands; 

2. must receive a Gaming Facility OperatortsLicense from theTribal Gaming Agency and must 

accordingl'y meet all criteria for such a license in advance of assuming his or her duties; 

3. must pledge to the Tribal Council that he or she will not gamble in any Gaming Facility run 

by the Tribal Gaming Enterprise, and that he or she will not assume any personal financial 

interest in any gambling by any patron of the Gaming Facility. 

(b) Prior to the expiration of his or her term, a Gaming Enterprise Director may resign at will, or may be 

removed from his or her position' by a majority vote of the Tribal Council, but in the latter circumstance, only for 

cause and only after a plenary hearing before the Tribal Council, duly noticed and conducted. 

(c) The Gaming Director may hold other Tribal positions, except for positions on the Tribal Council, on 

the Tribal Gaming Agency, in Tribal law enforcement, or in positions of appointment as public officials, and may 

engage in business; however, Gaming Enterprise Director shall not engage, or have any interest, whether financial, 

proprietary or otherwise, in any business which is subject to the provisions of this Gaming Code or which entails 

transactions with the Tribal Gaming Enterprise. The Gaming Enterprise Director shall be compensated for his or 

her services to the Tribal Gaming Enterprise at a rate to be established annually by the Tribal Council. 

[As amended, November 25, 1996; January 8,2000, by Ord. 00-01; and January 14,2000, by Ord. 00-02.1 

CHAPTER 5. THE TRIBAL GAMING AGENCY 

Section 501. Establishment of the Tribal Gamine Agencv. and Funding. 

There is hereby established the Tribal Gaming Agency, which shall be part of the Tribal Government, and 

which shall have overall civil regulatory authority overall Gaming Activities conducted on Tribal Lands, as set forth 

herein. From its General Fund the Tribal Council shall appropriate the annual budget of the Gaming Agency. 

Section 502. Av~ointment; Elipibilitv of the Executive Director of the Tribal Gaming Agencv. 

(a) The Executive Director of the Tribal Gaming Agency shall be appointed by the Tribal Council. The 

Executive Director shall possess strong managerial experience in gaming operations, gaming regulation or gaming 

audits and financial controls. The Executive Director must be over the age of twenty-five, must be a person of the 

utmost honesty and integrity, must never have been convicted of a felony or a misdemeanor involving theft, * 
~~lllj~.~./:l~nl~~~~ or ;I L'I.I~:L' involv~ng moral turpitude, ;lnd must hc pcrsons whose prior ilctivitics, reputation, habits 

and associations shall nor in any way jeopardize the effective rc~ulation of :amins or rhc Tribes' and thc publ~c's 

trust, confidence or interests. The Executive Directorshall not be affiliated with or employed by the Tribal Gaming 

Enterprise in any capacity, and shrtll not gamble in any Gaming Facility run by the Tribal Gaming Enterprise nor 

assume any personal financial interest in any gambling by any patron of the Gaming Facility. The spouse and 

household dependents of the Executive Director shall likewise not gamble in any Gaming Facility owned by the 

Tribal Gaming Enterprise. 

(b) The Executive Director shall carry out his or her duties in a manner consistent with this Gaming Code. 

tribal laws and policies. 

(c) The Executive Director may hold other positions, except for positions on Tribal Council, or positions 

of appointment as public officials, and may engage in business; however, the Executive Director shall not engage, 

or have any interest, whether financial, proprietary or otherwise, in any business which is subject to the provisions 

of this Gaming Code or which entails transactions with the Tribal Gaming Enterprise. 

[As amended, July 24, 2001, by Ord. 0 1-0 1 .] 

Section 503. Su~ervision of the Tribal Gaming A~encv. 

The Tribal Council shall appoint an Executive Director of the Tribal Gaming Agency and that individual 

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

responsibility for the day-to-day administration of the Tribal Gaming Office and make all policy decisions. The 

responsibilities of the Executive Director shall include but are not limited to: 

(a) serving as the formal liaison to the person holding the similarly titled position with the State Gaming 

Agency; 

(b) serving as the Tribe's designated agent for service of any official determination, order or notice of 

the National Indian Gaming Commission; 

(c) proposing, for the majority approval of Tribal Council, an Administrative Procedure protocol and 

any amendments thereto, covering: notices of proposed and final regulations propounded by the 

Tribal Gaming Agency, which at a minimum, will adopt the provisions of Section 506 (herein); 

hearings and the conduct of hearings regarding such regulations; and due process and evidentiary 

standards for entertaining patrol complaints, challenges to any Tribal Gaming Agency determination 

by any affected person or entity, and disciplinary actions commenced against any person or entity 

for violations of this Gaming Code, the Act or other applicable laws or regulations; 

(d) proposing, subject to the majority approval of the Tribal Council, an annual budget reflecting the 

anticipated expenses of running the Tribal Gaming Agency for the succeeding year. 

(e) performing all personnel responsibilities of the Tribal Gaming Agency, including hiring staff as 

9 
rcquil.cc1 to pcl.t'orrn the rcsponsibilitics and oblizations of thc Tr.~b;\l Gaming .-\scncy. ar:d 

promulgating employment standi~rds and regulations which may includz a pr.ovislon that an 

employee of the Tribal Gaming Agency may not simultaneously be affiliated with or employed by 

the Tribal Gaming Enterprise in any capacity and may not gamble in any gaming Facility run by the 

Tribal Gaming Enterprise or assume any personal or financial interest in any gambling by any patron 

of the Gaming Facility, and, with respect to certain categories of Tribal Gaming Agency employees 

as may be determined, that the spouse and household dependents of such employees shall not gamble 

in any Gaming Facility run by the Tribal Gaming Enterprise; and 

(f) establishing the standard operating procedures by which the Tribal Gaming Agency shall perform 

its functions, and doing whatever else is necessary to see that the Tribal Gaming Agency 

accomplishes its purposes and responsibilities. 

[As amended, July 27, 1995; and on July 24,2001, by Ord. 01-01.] 

Section 504. JRe~ealed Julv 24. 2001. bv Ord. 01-011. 

Section 505. Powers and Duties of the Tribal Gaming - A~encv. - 

Subject to all of the provisions of this Gaming Code, the Tribal Gaming Agency shall have the following 

powers and duties, which it may exercise directly or through such agents or employees as it deems appropriate: 

(a) to have and to exercise full responsibility for the regulations of Gaming Activities within Tribal 

Lands; 

(b) to issue, limit, condition, restrict, renew, suspend and/or revoke licenses for Gaming Facility 

Operators, Gaming Managers, Gaming Manufacturers and Suppliers, Gaming Employees, and 

Gaming Facilities, as provided herein; and, pursuant to such licensing authority, to issue forms for 

license applications, to perform background investigations of license applicants, to withhold licenses 

pending investigation, to approve or deny applications, and to issue or require the issuance of 

employee identification cards and Gaming Facility Authorization Certificates; 

(c) to issue per-event for the conduct of Class I or Class I1 Gaming Activities, whose soIe purpose is to 

promote a charitable or public good and the revenues from which shall be used exclusively for 

charitable or public purposes, and not for private gain or profit; 

(d) to enter at any time any Gaming Facility within Tribal Lands for the purpose of inspecting the 

facility, its employees and operations, its equipment and supplies, its business records and books of 

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

Gaming Facility and to make summaries or copies of any such documents or other records as the 

Tribal Gaming Agency deems useful or necessary to its purposes; 

(e) to issue subpoenas and to compel the attendance of witnesses at any place within the Tribal Lands, J- 
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[As amended, June 12, 1998; and on July 34,200 1, by Ord. 0 1-0 I .] 

Section 506. Issuance of Regulations. 

(a) The Tribal gaming Agency shall from time-to-time promulgate and issue regulations governing any 

aspect of its responsibilities under this Gaming Code. Such regulations, so long as they are in furtherance of and 

not inconsistent with any provisions of this Gaming Code, shall have the force of law. Without limitations, the 

matters to be addressed by such regulations may include the following: 

1. the timing, manner and procedures applicable to applying for licenses for Gaming Facility 

Operators, Gaming Managers, Gaming Manufacturers and Suppliers, Gaming Employees, 

and ~arning Facilities, including the information to be provided in connection with such 

application, and the manner in which such applications will be processed; 

2. the specific types of accounting, organizational and security measures to be in place and 

functioning at any Gaming Facility licensed under this Gaming Code; 

3. the grounds for, and procedures for imposition of, any disciplinary action to be taken against 

licensees; 

4. the public health and safety standards governing the physical plant of the Gaming Facilities, 

the provision of food and beverages and the admission of patrons to the Gaming Facilities; 

and 

5. the procedures to be instituted by the Gaming Operation to ensure the physical safety of its 

employees and patrons, to safeguard its assets when being transported to and from the 

Gaming Facility and cashier's cage department, and to protect its property and the property 

of the patrons from illegal activity. 

(b) The Tribal Gaming Agency must approve its regulations in proposed form and must then submit such 

proposed regulations to public comment for a period of no less than thirty calendar days. The notice provisions for, 

and the procedures governing public comment on, such proposed regulations shall be set forth in the Administrative 

Procedure Protocol referred to in Section 503(c). Following the public comment period, the Tribal Gaming Agency 

will again consider its proposed regulations prior to finalization and will submit the proposed regulations to the 

Tribes' Office of the Attorney General for review and approval. Upon approval, the Tribal Gaming Agency will 

then file final versions of such regulations with the Tribal Council and with the Tribe's Office of the Attorney 

General, and will include such final regulations in a volume of Tribal Gaming Agency Regulations to be maintained 

at the offices of the Tribal Gaming Agency, and to be furnished in true copies to any requesting person or entity for 

a reasonable fee to be established by the Tribal Gaming Agency. 

(c) In the event the Tribal Gaming Agency determines that immediate administrative action is necessary 

12 
to avoid sct~ous jcopardy to the integriry of any Gaming i-\crivity unc!cr irs juriscliction. !Iic r4zcncy. may. lipon 

making an express written finding as to the urgency of the situation, issuc an interim regulation which shall take 

immediate effect as if final. and shall remain in effect until the procedures for public comment as set forth in the 

Administrative Procedure Protocol can be concluded. 

(d) The following regulations are adopted as final regulations of the Tribal Gaming Agency and are exempt 

from the provisions of subsections (b) and (c) of this Section: 

1. Regulations Covering Operational Standards, Specifications, and Minimum Internal Control 

Standards for Electronic Games of Chance; 

2. Regulations Covering Operational Standards, Specifications, and Minimum Internal Control 

Standards for Keno (computerized), as agreed to, or to be agreed to, by the Tribes and the 

Arizona State Gaming Commission; and 

3. Minimum Internal Control Standards for Internal Audits. 

Section 507. Petition for Self-Re~ulation. 

As soon as the Tribal Gaming Agency determines that the Tribes are eligible therefor, the Tribal Gaming 

Agency shall submit to the National Indian Gaming Commission an application for a Certificate of Self-Regulation, 

under the provisions of 25 U.S.C. 9 2710(c)(4). The Tribal Gaming Agency shall do everything necessary and 

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

CHAPTER 6. LICENSES REQUIRED FOR PARTICPATION IN THE BUSINESS OFGAMING ACTIVITIES. 

Section 601. Tvpe of Licenses Required. 

The Tribal Gaming Agency shall issue the following categories of licenses: 

(a) a Gaming Facility License, which is required to be obtained by the Tribal Gaming Enterprise for 

each Gaming Facility it operates, and which will explicitly set forth the type of gaming allowed in 

each of such facilities. Separate Gaming Facility Licenses shall be issued and must be obtained for 

each place, facility or location on Tribal Lands where Class JJ or I1 Gaming is to be conducted under 

this Gaming Code; 

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

Enterprise as well as by the Gaming Enterprise Director, prior to his or her confirmation; 

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

any general manager employed or retained by the Tribal gaming Enterprise, and in the case of a 

corporation, partnership or other entity, by each principal of the corporation, partnership or other 

entity; 
(11) a Manut'acturcrISupplicr i.~icnse, *%chicfi is rcqui~.cti 1.0 be ol?taincd by each rnan~rt'acturcr~ itnd each 

supplier of Gumink Devices, and by each manuk~ctur-er and each supplier of' Gaming scrvices that 

are sold, leased or provided to the Tribal Gaming Enterprise and have a value in excess of $10,000 

per month, and by any person, corporation. partnership or other entity extending or guarantying 

financing for the Gaming Operation or the Gaming Facilities, unless such person, corporation, 

partnership or entity is an agency of the United States. 

(e) a Gaming Employees License, which is required to be obtained by any gaming Employee (as defined 

in Section 20l(l) employed by the Tribal Gaming Enterprise. 

No person or entity shall participate in the business of any Gaming Activities on Tribal Lands without first 

obtaining an appropriate license. 

[As amended, January 8,2000, by Ord. 00-0 1; and July 24,2001, by Ord. 01-0 1 .] 

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

The Tribal Gaming Agency shall issue licenses only in accordance with the following general standards 

governing each respective license category: 

I 

(a) A Gaming Facility License shall not be issued to any separate place, facility, or location on Tribal 

Lands where Class 11 or Class I11 Gaming is to be conducted unless the Tribal Gaming Agency shall 

make the following determinations as to such facility, place or location; 

1. the physical plant of the Gaming Facility is designed and constructed so as to assure the 

health and safety of all employees and patrons of such activities, and to protect the natural 

environment from any contamination due to discharge of waste or unreasonable disturbance 

of land surface; 

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

Indian tribe within the State under the Act and the Compact, and may be accommodated 

comfortably and appropriately by the facility; 

3. the facility is or will be adequately staffed and equipped to ensure the safety, comfort and 

convenience of the patrons and employees thereof through the implementation of preplanned regimens to provide sufficiently for traffic control, parking, food, drink, sanitation, 

security and law enforcement; 

4. the Tribal Gaming Enterprise has procured all licenses and permits necessary under the law 

for the operation of Gaming Activities, and can certify that those persons or entities with 

whom it contracts have also obtained all necessary licenses; and 

5. in all other relevant respects, the facility will be operated in a way that is fully consistent d. 
(b) A Gaming Facility Operator's License shall not be issued unless the 'Tribal Gaming Agency is 

satisfied that the Tribal Gaming Enterprise is established and orgi~nized pursuant to a plan of 

operation consistent with Chapter 3 of this Gaming Code and with the desires of the Tribal Council. 

Further, a Gaming Facility Operator's license shall not be issued to a Gaming Enterprise Director 

if the Tribal Gaming Agency determines that such person has been convicted of any felony or 

gaming offense, has knowingly or willfully provided materially important false statements or 

information or willfully provided materially important false statements or information on his or her 

license application, or is a person whose prior activities, criminal record, if any, or reputation, habits 

or associations pose a threat to the public interest or to the effective regulation and control of 

gaming. 

[As amended, January 8,2000, by Ord. 00-01.1 

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

1. in the case of an individual if the Tribal Gaming Agency determines that such person has 

been convicted of any felony or gaming offense, has been the subject of any criminal 

investigation by any law enforcement authorities within the last fifteen years, has knowingly 

or willfully provided materially important false statements or information on his or her 

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

reputation, habits or associations pose a threat to the public interest or to the effective 

regulation and control of gaming; and 

2. in the case of a corporation, partnership or other entity, the Tribal Gaming Agency is not 

satisfied that such corporation, partnership or other entity; 

(i) is organized and in good standing under the laws of the jurisdiction where it was 

established; 

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

certified public accountant to be a current, complete and accurate depiction of the 

organization's financial status; 

(iii) is pot now and has not been in the past fifteen years the subject of any criminal 

investigation by any law enforcement authorities, as shown by an affidavit of 

principals of the organization having personal knowledge thereof; 

(iv) has established a reputation for financial integrity and sound business practices, or, 

if the organization was recently formed, that all persons having any role in its 

formation, including persons qualified to be licensed individually under the terms of 

this Chapter; and 
ill ;lII ;)ti:~i rcs!~ccts LL 111 I>c I.CII;I~IC and trustwo~.tiiy. ancl whosc invol~cmcnt in the 

Gam~ng ;-\cr~vi[~cs ol'thc 'I'r~baI Ciarn~n: Entcrprisc will be in (hc I~s( intcrcsts ot'rhe 

Tribes as set forth in this Gaming Codc. 

(d) A Manufucturer/Supplier License shall not be issued: 

1. In the case of an individual, if the Tribal Gaming Agency determines that such person has 

been convicted of any felony or gaming offense, has knowingly or willfully provided 

materially important false statements or information on his or her license application, or is 

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

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

2. In the case of a corporation, partnership or other entity, the Tribal Gaming Agency is not 

satisfied that such corporation, partnership or other entity; 

(i) is organized and in good standing under the laws of the jurisdiction where it was 

established; 

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

complete and accurate depiction of the organization's financial status; 

(iii) is not now and has not been in the past fifteen years the subject of any criminal 

investigation by any law enforcement authorities, as shown by an affidavit of 

principals of the organization having personal knowledge thereof; 

(iv) has established a reputation for financial integrity and sound business practices, or, 

if the organization was recently formed, that all persons having any role in its 

formation, including persons supplying financing, are persons qualified to be 

licensed individually under the terms of this Chapter; and 

(v) in all other respects will be reliable and trustworthy, and whose involvement in the 

Gaming Activities of the Tribal Gaming Enterprise will be in the best interests of the 

Tribes as set forth in this Gaming Code. 

Further, a license will not be issued to any manufacturer or distributor of Gaming Devices unless such 

manufacturer and distributor verify, under oath, or forms provided by the Tribal Gaming Agency, that the Gaming 

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

requirements specified by the Tribal Gaming Agency. 

(e) 1. In the case of an individual applying for a position of primary management official or key 

employee, a Gaming Employee's License shall not be issued if the Tribal Gaming Agency 

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

gaming offense, has been the subject of any criminal investigation by any law enforcement 
;I~II~~~~I.IIIL';'~~ !flc pitst I'i!':xn L-car<, hno\vinsly or willfully pt.ovidcd rnarcrially impot-rant 

false statements or information on his or her liccnsc applic:lt~on, or is a pcrson \.vhose prior 

activities. criminal record, if any, or reputation, habits or i~ssociations pose a threat to the 

public interest or to the effective regulation and control of gaming. or create or enhance 

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

of gaming. 

2. In the case of an individual applying for a position other than that of a primary management 

official or key employee, a Gaming Employee's License shall not be issued if the Tribal 

Gaming Agency determines that the individual applying for such license has been convicted 

of any felony or gaming offense, knowingly or wilfully provided materially important false 

statementsor information on his or her license application, or is a person whose prior 

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

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

CHAITER 7. LICENSE APPLICATION PROCEDURE. 

Section 701. Application Requirements. 

(a) Application submissions shall be as follows: 

1. Each application for any category of license described in Chapter 6 of this Gaming Code 

must be submitted to the Tribal Gaming Agency on forms provided by the Tribal Gaming 

Agency, and must be accompanied by the required fee (as set forth in Section 703 hereof) 

and by such supporting information as the Tribal Gaming Agency shall prescribe by 

regulation. 

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

Gaming Employee's License shall be accompanied by a Certification of Sponsorship from 

the Tribal Gaming Enterprise, which Certification shall state that the Tribal Gaming 

Enterprise wishes to engage the applicant for certain services, and intends to do so upon the 

issuance of an appropriate license. 

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

in the case of an individual who is not an enrolled member of the Tribes, for n Gamins 

Employee's License, shall also be submitted to the appropriate State Gaming Agency, 

together with applicable fees, for State Certification. 

4. In addition, as set forth in Section 703 (b), (c) and (d) hereof, the applications of, and reports 

concerning, key employees or primary management officials engaged, or applying for 

engagement by the Tribal Gaming Enterprise, shall be submitted to the National Indian 

Gaming Commission for further review and action, prior to the National Indian Gaming 

Commission for further review and action, prior to the application's receiving final action 
(b) The Tribal Gaming Asency will at a minimum rcquirc the following information in support of any and 

all license applications. Applicants arc advised that the information submitted with their applications shall be 

checked and verified with independent sources pursuant to internal security and operational procedures established 

by the Tribal Gaming Agency. Submission of such applications shall be considered agreement by any applicant 

that such independent verification can and shall be conducted by the Tribal Gaming Agency. 

1. In the case of all individual persons, application and application materials will include: 

(i) the applicant's full name, including any aliases (oral or written) by which the 

applicant has ever been known; 

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

(iii) the applicant's date and place of birth, citizenship, gender and all languages spoken 

or written; 

(iv) theapplicant's residential addresses for the past ten years; 

(v) the applicant's employment history for the last twenty years, including the addresses 

of the employers for which the applicant was employed; 

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

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

the applicant by any federal, state or tribal gaming agency, and by any professional, 

licensing or regulatory body or entity ever having jurisdiction over the applicant's 

professional or business activities, whether related to gaming or not; 

(viii) the name and address of any licensing or regulatory agency with which the applicant 

has filed an application for an occupational license or permit, andlor for a permit 

related to gaming, whether or not such license or permit was granted; 

(ix) a complete listing of all criminal proceedings, whether for felony or misdemeanor 

offenses, except minor traffic offenses, in which the applicant has ever been a 

defendant or a target of investigation, including the charge or subject matter of the 

proceeding, the name and address of the court involved and the date, status and 

disposition of the matter, if any; 

(x) a set of the applicant's fingerprints taken consistently with procedures adopted 

according to 25 C.F.R. § 522.2(h); 
(xii) the applicant's completc and current financial disclosure statement. 

2. In addition to the above requirements for individuals, individuals who are applicants for 

positions of key employees or primary management officials must also furnish as part of 

their applications: 

(i) For the previous twenty years, all businesses and enterprises in which the applicant 

held an equity, ownership or creditor interest, other than publicly traded entities, and 

the title, status and responsibilities for each and every position which the applicant 

held in such business or enterprise. For each such business or entity, the applicant 

shall provide the address of such business or entity. 

(ii) The names and current addresses of at least three personal references, including one 

personal reference who was acquainted with the applicant during each period of 

residence listed under Section 701 (b)(l)(iv). 

(iii) Current business and telephone numbers; 

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

industry generally, including ownership interests in those businesses. 

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

(i) the name, address and social security number of each of its principals and of each 

person (or in the case of an entity, principals or such entity) having a direct financial 

interest in, or management responsibility for the corporation, partnership or enthy. 

including boardmembers and individual shareholders holding (directly or indirectly) 

ten percent or more of issued and outstanding stock; 

(ii) a detailed description of any previous gaming experience that each person listed 

pursuant to Section 701 (b)(2)(i) of this Gaming Code has had concerning other 

Indian tribes, management contracts, or the gaming industry generally, including the 

name and address of any gaming licensing or regulatory agency under whose 

jurisdiction such person has ever conducted gaming business; 

(iii) a complete financial statement of each person listed pursuant to Section 701(b)(2)(i) 

of this Gaming Code; 

(iv) a tax identification number. 

(c) In the case of an application for each new or amended Gaming Facility License, the Tribal Gaming . 
c\gcncy sh;lll itt ;I minimum rcquirc thc f'ollow'in~ information from thc Tribal Gariiin~ Eritcrprisc in support ol'its 

application for each such t'acility: 

I. the name and specific position of each person to be employed as primary management 

officials or key employees at the facility; 

2. job descriptions of every other position for which persons will be employed at the facility, 

and u complete organizational chart; 

3. a detailed description of each Gaming Activity to be conducted at the facility, together with 

expected payout to winners; 

4. detailed plans for the physical plant of the facility, including landscaping, traffic controls, 

parking, food and drink services, and other physical aspects of the building and layout; 

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

persons, agencies or entities that will provide such security; 

6. a detailed description of how gaming proceeds will be accounted for and disposed of on a 

day-by-day basis; 

7. a copy of any proposed management agreement or other contractual arrangements by which 

the activities at the facility are to be managed; 

8. a description of provisions for dealing with fire or other emergencies involving potential 

evacuation or medical evacuation at the facility; 

9. a detailed description of how sewage and other waste products from the facility will be 

handled and disposed of; 

10. any other information relevant to the proposed operation of the facility. 

In addition, the Tribal Gaming Enterprise must apply for an amendment of its Gaming Facility license in 

the event that it intends to alter the design, layout or other physical aspects of a licensed facility, includingexpansion 

thereto, or if it intends to alter existing management personnel or gaming parameters. In such case, the Tribal 

Gaming Enterprise must provide detailed specifications of the nature and extent of such alteration. 

Section 702. Processing of A~~lications forLicenses. 

The Tribal Gaming Agency shall maintain the following general guidelines for the processing of license 

applications: 

(a) the Tribal Gaming Agency and its staff will assist any applicant in assembling all information 

,- 

2 0 
I.c~:I!I.<L~ l'[.)r p~.occs,s~li~ 0t'thc ;~pplic;ttion. hut no applici~tion tv~ll be pl.occsscd unril it I.; iomplcrc. 

Thc Tl.ibal Gamins Agcncy may at any tinic at'tcr an application IS submitted rccluest rhc applicant 

in writ~ng to supply additional information to enable the Tribal Gaming Agency to complete thc 

processing of the application; 

(b) in connection with the application, the applicant shall consent in writing, on a form provided by the 

Tribal Gaming Agency, to the release of any information that may be relevant to the Tribal Gaming 

Agency's inquiry into the applicant's background from any person or entity. The form on which the 

applicant will give his or her consent to such release of information will clearly state that any and 

all information obtained by the Tribal Gaming Agency in the coursc of reviewing a licensing 

application shall remain confidential and shall not be released by the Tribal Gaming Agency to any 

other person or agency without the applicant's written consent, except in the following 

circumstances: (1) such information is required by the Compact to be disclosed to the State Gaming 

Agency, or (ii) such information is required by the Act to be disclosed to the National Indian 

Gaming Commission, or (iii) such information is ordered to be disclosed by judicial subpoena or 

court order for use in a judicial proceeding in which the applicant is a party. The Tribal Gaming 

Agency shall be bound by the terms of such consent form: 

(c) Further to the immediate preceding section and to the procurement of the consent form provided 

therein, every application form provided by the Tribal Gaming Agency to be filled out by any 

prospective employee of the Tribal Gaming Enterprise, whether a primary management official or 

key employee or other, shall contain the following statement: "In compliance with the Privacy Act 

of 1974, the following information is provided: Solicitation of the information on this form is 

authorized by 25 U.S.C. 2701, et sea. The purpose of the requested information is to determine the 

eligibility of individuals to be employed in a gaming operation. In the case of persons applying for 

key personnel or primary management official positions, the information will be used by National 

Indian Gaming Commission members and staff who have need for the information in the 

performance of their official duties. The information may be disclosed to appropriate Federal, 

Tribal, State, local, or foreign law enforcement and regulatory investigations or prosecutions or when 

pursuant to a requirement by the Tribal Gaming Agency or the National Indian Gaming Commission 

in connection with the hiring or firing of an employee, the issuance or revocation of a gaming 

license, or investigations of activities while associated with the Tribes or a gaming operation. 

Failure to consent to the disclosures indicated in this notice will result in the inability of this Tribal 

Gaming Agency to issue you a license and of the Tribal Gaming Enterprise to hire you." 

In addition, the following legend will be inscribed on all application forms for employee licenses: 

"A false statement on any part of your application may be grounds for not hiring you, or for firing 

you after you begin work. Also, in the case of key employees or primary management officials, you 

may be punished by fine or imprisonment. (U.S. Code, Title 18, Section 1001 .)"; 

(d) the Tribal Gaming Agency shall subject every applicant for a license to a thorough background 

investigation, and such investigations shall be updated upon an application for a renewal of such 

license, and at such other times as the Tribal Gaming Agency may determine to be appropriate. Such 

* 
h;~~kyl.~)l~i!c! investigations sh:~ll bc pcrf'ornlcd :tccurdln: to :In in~czr tsar1 vc sy.;[cm. rcy~l:~rly 

updated and imp~.ovcd, [hat will comply with the requ~rcrnents of this Gi~ming Codc, thc Act 2nd any 

other applicable Ihws or regulations. At a minimum. such investigative sysrcm sh;~ll include 

utilization of records of all available Tribal, State and Federal law enforcerncnt agencies, resources 

of the National Indian Gaming Commission, communications with other Indian tribes engaged in 

Gaming Activities, and any other sources of information accessible to the Tribal Gaming Agency 

for this purpose. The Tribal Gaming Agency shall maintain files that shall contain all information 

acquired in the course of its background investigations of license applicants. Such information and 

files shall be secured in such a way that the identities of confidential informants and the information 

itself will be protected from the inadvertent disclosure so as tocomply with the applicable provisions 

of federal statutes protecting individual privacy. All applicants will be notified of their rights under 

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

(e) the Tribal Gaming Agency shall review each license application and all information pertinent 

thereto. Applicants shall be made aware that copies of completed license applications and of reports 

on background investigations shall be submitted to the National Indian Gaming Commission, and 

that the Tribal Gaming Agency shall consider additional information regarding the applicant which 

the National Indian Gaming Commission may provide. Within ninety calendar days of the 

completion of the application or such longer period as the Tribal Gaming Agency designates in a 

written statement giving reasons why action cannot be taken within ninety calendar days, the Tribal 

Gaming Agency shall issue a decision issuing a license or denying the application; 

(f) in the event license application is denied or a license is suspended or where the Licensee has been 

denied reconsideration by the Agency after it has received a notice of ineligibility from the National 

Indian Gaming Commission, the Tribal Gaming Agency shall notify the Applicant or Licensee by 

registered or certified mail, return receipt requested, and shall inform the appropriate State Gaming 

Agency, giving the reasons and substantiating documentation for its decision. The Applicant or 

Licensee may then appeal such decision to the Hearing Officer within fifteen calendar days of the 

denial of such application, except that, in the event the Tribal Gaming Enterprise withdraws its 

Certificate of Sponsorship for the Applicant, there will be no right of appeal. The procedures 

applicable to such an appeal shall be those set forth in the Tribal Gaming Agency's Administrative 

Procedure Protocol; 

(g) The Tribal Gaming Agency shall notify all applicants for a Gaming Manager's or Gaming 

Employee's License for a position of key employee or primary management official that unon 

temporary issuance of a license to the applicant, the Tribal Gaming Agency must, within sixty 

calendar days, give notice thereof to the National Indian Gaming Commission. In the event the 

Tribal Gaming Agency receives, within thirty calendar days of giving such notice to the National 

Indian Gaming Commission or a longer period described in Subsection (h) hereto, an advice from 

the National Indian Gaming Commission that such primary management official or key employee 

does not meet the standards established in the Gaming Code or in the Act for issuance of such a 

license, the Tribal Gaming Agency shall immediately suspend such license and give notice thereof 

to the Licensee. In such circumstance, the Licensee may, within fifteen calendar days of receiving 2- 

2 2 
notice of the ~uspcnsion, rcrlilcst th~lthc Tribal Gnming Agcncy rcconsidcr. irs ;Icllon. Cpon such 

rcqi~cst for reconsideration. the Tribal Gaming Agency shall consider the advice of the Sational 

Indian Gaming Commission, and shall also consider such oral statement(s) or written documentation 

as the Licensee may present to the Tribal Gaming Agency at the time and place designated by the 

Tribal Gaming. Within fifteen calendar days of receipt of such statement(s) or documentation, or the 

Licensee's request for reconsideration, whichever is later, the Tribal Gaming Agency shall issue a 

written decision. If the Agency's decision is adverse, then the Licensee may appeal the license 

suspension to the Hearing Officer within fifteen calendar days of receiving notice thereof. The 

procedures applicable to such an appeal shall be those set forth in the Tribal Gaming Agency's 

Administrative Procedure Protocol. 

(h) After an application for a key personnel or primary management official is submitied to the National 

Indian Gaming Commission, if the National Indian Gaming Commission requests more information, 

the Tribal Gaming Agency shall ensure that such information is provided. Such a request from the 

Tribal Gaming Agency shall suspend the thirty-day period provided for in Subsection (g) above, 

until the Chairman of the National Gaming Commission receives the additional information. 

[As amended, July 24,200 1, by Ord. 01 -0 1 .] 

Section 703. S~ecial Processingfor Particular License Av~lications: Gaming Em~lovee's License and Gaming 

Facilitv License. 

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

a temporary Gaming Employee's License within twenty calendar days of the receipt of a completed application (or 

within a longer period for good written cause shown by the Tribal Gaming Agency) unless the background 

investigation undertaken by the Tribal Gaming Agency discloses that the applicant has a criminal history, or unless 

other grounds sufficient to disqualify the applicant pursuant to this Section are apparent on the face of the 

application or are discovered during the initial phases of a background investigation. The temporary license shall 

become void and be of no effect upon either the issuance of a Gaming Employee's License or upon issuance of a 

denial of the license application, but in no event can a temporary license be in effect for longer than ninety-calendar 

days. 

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

or primary management officials, the Tribal Gaming Agency shall submit the following to the National Indian 

Gaming Commission: (i) a completed application for a license; (ii) a report on the background investigation 

undertaken by the Tribal Gaming Agency concerning the applicant; and (iii) a determination that the applicant is 

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

regulation of gaming, and does not create or enhance dangers of unsuitable, unfair, or illegal practices and methods 

and activities in the conduct of gaming. Such information shall be submitted as soon as practicable after the 

collection of the required information, but in no event later than sixty days following the applicant's completion of 

hisher application and of a grant of a temporary license. 

(c) In the case of applicants for key personnel or primary management officials, the report on the 
G.\bIING CODE 

b;~cliy.ound invcstigatiori unc1crt:ikcn by the Trib;~l Gaming Agency sh;~l! clcra~l; (i) ihc slcps r;~kcn In conducting 

the background investigation; (ii) the results obtained; (iii) the conclusions reached; ;~nd (iv) [lie buses t'or those 

conclusions. 

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

investigations and suitability determinations for key personnel and primary management official applicants are as 

follows: 

1. There shall be a clear Agency-wide statement that the Tribal Gaming Agency, and only the 

Tribal Gaming Agency, is responsible for the conduct of the background investigations and 

suitability determinations; 

2. There shall be maintained by the Tribal Gaming Agency a chart or statement showing the 

positions or people responsible for (i) conducting and causing to be conducted the 

background investigations, (ii) reviewing and approving the investigative work done; (iii) 

reporting the results of the background investigation to the National Indian Gaming 

Commission; (iv) obtaining and processing fingerprints in conjunction with a recognized law 

enforcement agency; and (v) making the suitability determinations; 

3. There shall be an internal memorandum maintained in the office of the Executive Director 

explaining how the positions and people identified in Subsection (2) above were selected; 

4. There shall be a list maintained in the office of the Executive Director setting forth the 

standard operating procedures for investigations, which at a minimum shall include the 

following: 

(i) verification in writing of all information submitted by the applicant; 

(ii) inquiry into the applicant's prior activities, criminal record, if any, and reputation, 

habits and associations; interview by telephone or meeting of a sufficient number of 

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

identified on hislher application; exchange of information with all appropriate 

agencies; 

(iii) identification of, and documentation of, all potential problem areas andfor 

disqualifying information, and written disposition of all inquiries into such matters. 

(e) In the event a Gaming Employee's License is not issued to an applicant for a key personnel or primary 

management official position, the Tribal Gaming Agency shall notify the National Indian Gaming Commission and 

shall forward its eligibility determination and investigative report to the National Indian Gaming Commission for 

inclusion in the Indian Gaming Individuals Records System. 

(f) Further, with respect to key employees and primary management officials, the Tribal Gaming Agency 
shall rctain :~pplicatioris t'o~.cniploymcnt :lnd reports of back~rouncl invc.;tl~:r~ions 1-01. ~~ispcction by[he Ch;~~l.nl;~n 

of the National Indian Gaming Commission or his or her dcsignce for no less than three (3) years from the date of 

termination of employment. 

(g) In the case of an application for a Gaming Facility License or a renewal, modification or amendment 

thereto, the following protocols will apply: 

1. Officials of the Tribal Gaming Agency and officials of the Tribal Gaming Enterprise shall 

exchange information, plans and predispositions prior to the filing of a license application; 

2. Once the application is filed, the Tribal Gaming Agency may specify any terms orcondi tions 

it believes necessary or appropriate to assure the health and safety of patrons and employees 

of any such facility, to ensure the integrity of the Gaming Activities camed on at such 

facility, to protect the security of gaming proceeds, and to promote other interests of the 

Tribes in furtherance of and consistent with the provisions of this Gaming Code; however, 

the Tribal Gaming Agency shall not deny an application for a Gaming Facility License 

unless it concludes that under no set of circumstances can the proposed facility be operated 

in a manner consistent with the requirements and purposes of this Gaming Code; 

3. If dissatisfied with any terms or conditions imposed by the Tribal Gaming Agency as a 

prerequisite for granting a Gaming Facility License to it, the Tribal gaming Enterprise may 

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

reconsideration, the Tribal Gaming Agency shall issue a written decision within fifteencalendar days of its receipt of the request for reconsideration. That decision shall be final 

and binding except that, in the event the Tribal Gaming Enterprise continues to be 

dissatisfied with the Tribal Gaming Agency's determination, the Tribal Gaming Enterprise 

may, within fifteen-calendar days of the Tribal Gaming Agency's decision, formally present 

the issue or issues to Tribal Council for a binding and final decision. At a hearing before 

Tribal Council, both the Tribal Gaming Enterprise and the Tribal Gaming Agency, shall 

present relevant evidence as to the merits of their respective positions. 

Section 704. Fees for Licenses and Renewal of Licenses. 

Applications for licenses or for renewal of licenses must be accompanied by nonrefundable fees for the 

following categories of licenses. Such fees shall be set by regulation of the Tribal Gaming Agency and shall be 

assessed to enable the Tribal Gaming Agency to defer the cost to the Tribal Gaming Agency of processing such 

applications: 

(a) Fees for Gaming Facility Operator: 

1. Initial application fee. 

(A) Tribal Gaming Enterprise; 
(B) Gaming Envr-prisc Dirccto~. 

2. Annual I-enewul fees. 

(A) Tribal Gaming Enterprise. 

(B) Gaming Enterprise Director. 

[As amended, January 8, 2000, by Ord. 00-01; and January 14,2000, by Ord. 00-02.1 

(b) Fees for Gaming Manager's License: 

1. Initial application fee; 

2. Annual renewal fee. 

(c) Fees for ManufacturerISupplier License: 

1. Initial application fee. 

(A) Manufac turerlsupplier for Gaming Devices; 

(B) Supplier of Gaming Services; 

(C) Third Party Financier. 

2. Annual renewal fees. 

(A) ManufacturerISupplier of Gaming Devices; 

(B) Supplier of Gaming Services; 

(C) Third Party Financier. 

(d) Fees for Gaming Employee's License: 

1. Initial application fee; 

2. Annual renewal fee. 

(e) Fees for Gaming Facility License. 

1. Initial application fee; #- 

2 6 
7 

-. FCC I'or. rhc applica~ion t'or ;trncndrncnt ol';tri csis~i!ig (.i;~rllins I-;~clliry IAlicns~: 

3. Renewal fee. 

(I-) The Tribal Gaming Agency may by regulation prescribe such other fees as it deems appropriate. 

Section 705. License Terms; Renewal. 

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

and Gaming Employee's License shall have a primary term of one year. Such license may be renewed for 

subsequent one-year periods upon proper application therefor, on forms specified by the Tribal Gaming Agency, 

but no licensee shall have any vested right to renewal of any of the licenses mentioned in this subsection. 

(b) Each Gaming Facility License issued by the Tribal Gaming Agency shall have a primary term of one 

year. Such license may be renewed for subsequent periods of one year upon proper application therefor, on forms 

provided by the Tribal Gaming Agency. 

Section 706. Suecial Obligations - of Corporate Licensees. 

As a condition of any license other than a Gaming Facility License, the Tribal Gaming Agency shall require 

by regulation that any licensed corporation, partnership or other entity shall give notice to the Tribal Gaming 

Agency of any material change in any information disclosed in the application for such license, including but not 

limited to, any change in its principals, within ten-calendar days of such change. 

CHAPTER 8. FACILITY INSPECTION; REPORTING REQUIREMENTS 

Section 801. Facilitv Ins~ection. 

The Tribal Gaming Agency shall, no less than monthly and at such other times as it believes is warranted, 

cause detailed inspections to be made of each licensed Gaming Facility to assure that such facility is being operated 

in accordance with the terms of the license and of the provisions of this Gaming Code, the Act and any other 

applicable laws or regulations, and that in all other respects the facility's operation is in furtherance of the purposes 

of this Gaming Code. 

Section 802. Re~ortinn - Reauirements. 

(a) The Tribal Gaming Agency shall require the Tribal Gaming Enterprise to file periodic Property Reports, 

which shall advise the Tribal Gaming Agency of all leases for real or personal property entered into by the Tribal 

Gaming Enterprise. Such reports shall be filed not later than thirty calendar days after the effective date of the lease 

and shall include the following information: 

1. The name, address, and a brief statement of the nature of the business of the lessor. 
In the evcnt the tcrms of the Icuse are ch~lngcd dur-ins its life, such chdngcs shall be reported to thc Tribal 

Gaming Agency within thirty crilendiir days of their occurrence. 

[As amended, July 24,200 1, by Ord. 01 -0 I .] 

(b) The Tribal Gaming Agency shall require the Tribal Gaming Enterprise to file an annual Employee 

Report, which shall be submitted on a form to be provided by the Tribal Gaming Agency. The report shall identify 

every individual who is directly or indirectly engaged in the administration or supervision of the Gaming Operation 

or physical security activities of the Gaming Operation. The following classes of gaming employees shall be 

presumed to be actively and directly engaged in the administration or supervision of gaming: 

1. All individuals who are compensated in excess of $50,000 cash compensation a year; 

2. All individuals who may approve or extend gaming credit in any amount, or whose 

recommendations in this regard are ordinarily sought or followed; 

3. All individuals who have authority to hire or terminate employees of the Gaming Operation; 

4. All individuals who have the authority to supervise or direct a shift of any gaming or security 

activity, including but not limited to supervision of the pit area, keno or bingo games and slot 

machines, or any persons having authority to supervise or direct such persons; 

5. All individuals who regularly participate in the count more frequently than one day in each 

week or who actually participate in the count more than ten days in any thirty-day period; 

6. A11 individuals who may approve or extend in casino patrons complimentary house services 

other than beverages only; 

7. All individuals who supervise or direct other employees engaged in the control of gaming 

assets and revenues and record keeping, including the recording of cash and evidences of 

indebtedness, and in the maintenance, review or control of the records, accounts and reports 

of transactions which are required to be kept; 

8. Any individual who has been specifically represented to the Tribal Gaming Agency by the 

Tribal Gaming Enterprise as being important or necessary to the operation of the Gaming 

Facility; 

9. All persons who individually or as part of a group formulate management policy. 

The annual Employee Report shall also include a description of the gaming duties, casino responsibilities, 

and casino authority delegated to each individual identified in the report. Any changes, additions, or deletions to 

.- 
any inl'urmat~on containccl ivirliin the annu;~l Emplo>cc Rcl?o~'t whhi!: cxcurs silbsc.q~~cnr to rhc I'iIinz ofrhc report 

and prior to the filing 01' thc report for thc ne.\t calendar year shall bc rcportccl to thc l'rib~il Gaming Agency in 

writing no less ten calendar days aftcr the end of the calendar quarter during which the change, add~tion or delction 

occurred. 

(c) The Tribal Gaming Agency shall require the Tribal Gaming Enterprise to file a Loan Report whenever 

the Tribal Gaming Enterprise applies for or receives, accepts or makes use of any cash, property, credit, guarantee 

or other form of security loaned to, or provided for, or on behalf of, the Gaming Operation. Such Loan Report shall 

be filed within thirty calendar days of the transaction to be reported, and shall be submitted on forms provided by 

the Tribal Gaming Agency. Loan Reports shall include a listing of the names and addresses of all parties to the 

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

security provided by or on behalf of the Gaming Operation, the purpose of the transaction, and such other 

information as the Tribal Gaming Agency may require. 

Section 803. Independent Audit. 

(a) TheTribal Gaming Enterprise shall provide to the Tribal Gaming Agency an audited financial statement 

for each of its licensed Gaming Facilities at its own expense and at least annually, on a date to be established by the 

Tribal Gaming Agency and at such times as the Tribal Gaming Agency may require. 

(b) The Tribal Gaming Enterprise's annual audit shall be performed by an independent certified public 

accountant engaged by and reporting to the Tribal Council licensed in the appropriate State, having in-depth 

knowledge of and experience with the accounting standards and auditing procedures appropriate for the gaming 

industry. Such independent certified public accountant shall submit an audit report expressing an unqualified or 

qualified opinion or, if appropriate, disclaim any opinion on the financial statement taken as a whole in accordance 

with generally accepted auditing standards published by the American Institute of Certified Public Accountants. 

The examination and audit shall disclose whether the accounts, records and internal controls and accounting 

procedures maintained by the licensed Gaming Facility are as require by this Gaming Code, the Act and any 

applicable laws or regulations. To Facilitate the completion of such audits and presentation of such financial 

statements: 

(i) The Tribal Gaming Enterprise shall make and maintain complete, accurate and legible, 

records of all transactions pertaining to any Gaming Activities and any other revenue 

producing activities conducted by the Tribal Gaming Enterprise at or in conjunction with any 

Gaming Facility licensed hereunder. Such records as well as all original entry transaction 

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

shall be maintained on the licensed premises; 

(ii) The Tribal Gaming Enterprise shall maintain general accounting records on a double entry 

system of accounting with detailed, supporting subsidiary records sufficient to furnish the 

information required for the standard financial reports to adequately reflect gross income and 

expenses related to gaming and subsidiary operations; and 
! iii ) 'l'!:~ -1'1-1l7al Gaming Agency sh;lII from timc-to-time prcscribc :I urii I'orm ch;~st of' accounts 

and i~ccounting classifications in order to assilrc consistent and cfl'cctivc disclosur-e of 

financial information. 

(c) The Tribal Gaming Enterprise shall, within the context of the annual audit. also cause to (be) made an 

independent audit of all gaming-related contracts that result in the purchase of supplies, services, or concessions 

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

(d) The Tribal Gaming Agency, when it deems necessary, may request additional information, from either 

theTribal Gaming Enterprise or the independent accountant through the Tribal Gaming Enterprise, regarding either 

the financial statement, the audit or both. In addition, copies of all letters from the independent accountant to the 

Tribal Gaming Enterprise regarding internal control matters shall be provided to the Tribal Gaming Agency within 

thirty calendar days after receipt by the Tribal Gaming Enterprise. 

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

Operations to the National Indian Gaming Commission andfor to the State Gaming Agency, as required by law. 

Nothing herein shall limit the Tribal Council or the Tribal Gaming Agency to require such further internal 

intermittent, or other audits as may be deemed appropriate. 

CHAPTER 9. GAMlNG OPERATIONS; INTERNAL CONTROLS. 

Section 901. Sco~e ofPermissible Gaming;. 

The Gaming Activities permitted to be conducted within a licensed Gaming Facility on Tribal Lands are 

those which may lawfully be carried out by an Indian tribe within the State under applicable provisions of federal 

law including, but not limited to, the Indian Gaming Regulatory Act. Such Gaming Activities shall include all 

forms of Class I and Class I1 Gaming, and permissible forms of Class I11 Gaming, as provided in the Compact. All 

such Gaming Activities are to be conducted in a manner suitable to protect the public health, safety, morals, good 

order and general welfare of the Tribes. 

Section 902. Hours. Davs. Other Standards. 

Consistent with the provisions of the Compact, the Tribal Gaming Agency may by regulation establish the 

permissible hours and days of operation of Gaming, Activities authorized herein, but such regulations may provide 

that licensed Gaming Facilities may remain open and conduct Gaming Activities twenty-four hours a day, seven 

days a week. The Tribal Gaming Agency may also establish other standards of operation for such facilities, as it 

deems appropriate, including a provision that patron payments for wagers must be in cash or cash equivalent, or by 

credit card or check. 

Section 903. Em~lovee and Plaver Age Limit. 

No person under 18 years of age shall be permitted to place any wager, directly or indirectly, in any Gaming 

Facility. Nor shall any person under 18 years of age be permitted on the Gaming Floor during the business hours 
01' .;I.Ic~ t';!ci!~\?. 50 PL'I-<OII 11rlt1c'l. I S ?~';ir'i 01' 'I~C \;h;ill bc cn~l)loyccl by thc Tribal Giirnin: Enrs1.111-isc or thc Tribal 

Gaming 11gcnc.y. No pcrson undcr 2 1 years of age shall be cmploycd in the service of alcoholic beverages at any 

Gaming Facility. The Trlbal Gaming Agency shall by regulation establish meiisures by which The Tribal Gaming 

Enterprise shall enforce the provisions of this section. 

Section 904. Em~lovee Gamino,. 

TheTribal Gaming Agency shall consider, in its furtherregulations, whether any person who is an employee 

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

Enterprise, shall participate as a player in any Gaming Activities conducted by the Tribal Gaming Enterprise. 

Section 905. Publication of Pavoffs. 

Payoff schedules or award cards applicable to every licensed game, slot machine and gaming device shall 

be displayed at all times either on the table or machine or in a conspicuous place immediately adjacent thereto. 

Payoff schedules or award cards must accurately state actual payoffs or awards in a clear, unambiguous and 

immediately accessible manner. 

Section 906. Slot Machines and Gaming Devices. 

The Gaming Operation shall offer only slot machines and gaming devices for play by the public at the 

Gaming Facility which have been approved under the provisions of the Compact, or have otherwise been authorized 

by the Tribal Gaming Agency. The Tribal Gaming Agency may require the testing of any slot machine or gaming 

device to ensure compliance with the requirements of this section. 

Section 907. Unsuitable Methods of O~eration. 

Neither the Tribal Gaming Enterprise nor any of its employees, agents or affiliates shall, in the course of 

involvement with Gaming Activities, undertake any conduct or commit any action that is inimical to the public 

health, safety, morals, good order and general welfare of the Tribe, or that would impose or tend to impose discredit 

upon the Tribe or its Gaming Operations. The undertaking of any such conduct or commission of any such action 

shall be deemed to be an unsuitable method of Gaming Activity operation and shall be grounds for disciplinary 

action by the Tribal Gaming Agency in accordance with the regulations of the Tribal Gaming Agency. Without 

limiting the generality of the foregoing, the following actsoromissions may be determined to be unsuitable methods 

of operation: 

(a) Negligently failing to take reasonable precautions or actions to prevent incidents which might reflect 

on the repute of the Tribe and act as a detriment to the development of the Gaming Operation; 

(b) Permitting persons who are visibly intoxicated to participate in Gaming Activities; 

(c) Extending service of intoxicating beverages in the casino area to persons who are visibly intoxicated; 
. . I cl) (larcr.in2 to. :r.;s!stlns. cmployins or ;rssoci;rring with. cithcl social Iy or- in busincss at'l'i~irs, pcrsons 

who havc bocn barred from Tribal Grimin: Facilities pursui~nt to Scction 505 (j) of this Gaming 

Codc, or with persons who have been identified in writing by the Tribal Gaming Agency or State 

Gaming Agency as persons of notorious or unsavory reputation, or with persons who have extensive 

police records, or with persons who have defied congressional investigation committees or other 

officially constituted bodies acting on behalf of the United States or any state with regard to gaming; 

(e) Employing in any position any person who has been denied a license for such position from the 

Tribal Gaming Agency, and employing any person lacking a Tribal Gaming Agency license in any 

position for which such a license is required; 

(0 Contracting for the provision of gaming services or gaming devices with any person or entity who 

has been denied a license to supply gaming services or gaming services by the Tribal Gaming 

Agency, and contracting for the provision of services, merchandise or equipment with any person 

or entity who has failed to obtain a license to supply services, merchandise or equipment from the 

Tribal Gaming Agency; 

(g) Employing in the Gaming Operation any person whom the Tribe or any court has found guilty of 

cheating or using any improper device in connection with any game, whether as a licensee, dealer 

or player at a licensed game or device; as well as any person whose conduct of a licensed game as 

a dealer or other employee of a licensee resulted in revocation or suspension of the license of such 

licensee: 

(h) Failing to comply with or make provision for compliance with all Tribal, Federal and State laws and 

regulations pertaining to the operation of Gaming Activities; 

(i) Conducting, carrying on or operating any Gaming Activities on Tribal Lands which are not 

conducted, carried out on or operated on the premises of a licensed Gaming Facility, except in the 

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

the Tribal Gaming Agency; 

(j) Conducting, carrying on or operating any cheating or thieving game or device on or off the Gaming 

Facility premises, either knowingly or unknowingly, which may have in any manner been tampered 

with or otherwise placed in a condition, or operated in a manner, which tends to deceive the public 

or which might make the game more liable to win or lose, or which tends to alter the normal random 

selection of criteria that determine the results of the game; 

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

Colorado River Indian Tribes police or other officials having jurisdiction, upon proper and lawful 

demand, access to, and inspection or disclosure of, any portion of the Gaming Facility, as authorized 

by applicable laws and regulations. 

[As amended, July 24,2001, by Ord. 01-01 .] 
(;I) The Tribal Gaming Agcncy shall by regulation establish minimum standards of internal controls to be 

in place at each Gaming Facility licensed hereunder. Internal controls include the plan of organization and all of 

the coordinate methods and measures adopted within a Gaming Operation to safeguard its assets, check the accuracy 

and reliability of its accounting data, promote operational efficiency and encourage adherence to prescribed 

managerial policies. Generically, internal controls shall include a system of accounting controls and a system of 

administrative controls. 

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

1. It shall provide a plan of organization and a description of procedures and records that will 

permit reasonable assurance that the following objectives will be maintained: 

(i) safeguarding of assets; 

(ii) reliability of financial records; 

(iii) execution of transactions in accordance with management's general or specific 

authorization; 

(iv) recording of transactions as necessary to permit recording of gaming revenue and to 

maintain accountability for assets; 

(v) access to assets only in accordance with management's authorization; 

(vi) comparison of records of assets with existing assets at reasonable intervals with 

provision for appropriate action with respect to any differences. 

2. In order to accomplish the objectives stated in the preceding paragraph, the system of 

accounting controls shall, according to regulations prescribed by the Tribal Gaming Agency, 

at a minimum include a detailed system for counting cash receipts and gross revenues at least 

daily, which system shall be appropriate to the types of Gaming Activities carried on at the 

facility and the physical characteristics of the system utilized for collection of cash at the 

facility. 

3. The Tribal Gaming Agency may prescribe accounting regulations detailing treatment of 

credit for puiposes of computing gross revenue. 

4. As part of a system of accounting controls, the Tribal Gaming Agency shall require that all 

bank accounts maintained by the Tribal Gaming Enterprise shall be made known to it and 

that such bank accounts shall be identified by bank and account number and that all 

signatories to such accounts shall be identified by name. r 
(;:\XIING CODE 

(c) The syctcm ot' ;idministr-ativc controls sh:~ll hc zovcl-ncd by thc following considcratit,ns: 

1. It shrill at a minimum include a completc plan of organization that will set forth an 

organizational chart showing appropriate segregation of functional responsibilities and a 

regimen of sound practices to be followed in the performance of such segregated functional 

responsibilities. 

2. The plan of organization shall be both diagrammatic and narrative and shall clearly describe 

and depict the interrelationship of organizational and administrative control is based. 

(d) The overall system of accounting and administrative internal controls shall be accompanied by a report 

of an independent public accountant licensed in the appropriate State stating that the systemconforms in all material 

respects to the standards of internal controls established by the regulations of the Tribal Gaming Agency, or 

alternatively setting forth in what material respects it does not so conform. 

Section 909. Detention of Persons Susuected of Illegal Acts. 

The Tribal Gaming Agency andlor the Gaming Facility Operator may detain any person who may be 

involved in illegal acts for the purpose of notifying appropriate law enforcement authorities. 

I 

[As amended, June 12, 1998.1 

CHAPTER 10. NOTICES OF VIOLATION; COMPLAINTS AND DISCIPLINARY ACTIONS. 

Section 1001. Notice of Violation. 

(a) The Executive Director of the Tribal Gaming Agency shall issue a notice of violation to any person or 

entity determined by the Tribal Gaming Agency to be in violation of any provision(s) of this Gaming Code 

(including, but not limited to, any of the grounds for disciplinary action listed in Section 907), the Act or any other 

applicable laws or regulations. A copy of such notice shall also be forwarded to the appropriate State Gaming 

Agency. 

(b) A notice of violation shall contain: 

1. a citation to the Gaming Code, regulation, Compact provision or federal law that has been 

or is being violated; 

2. a description of the circumstances surrounding the violation, set forth in common and 

concise language; 

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

4. notice that the violation must be corrected within fifteen calendar days from receipt of the .? 

3 4 
noricc of violation or. if contested or c.upl;~incd in writing pur.si~:lrlt to Si~bsccrion (b,(6) 

hcrcof, within fifteen calendar days of thc Tribal Gaming Agency's ultimatc determination 

on the matter; 

5. notice of the civil fine or other enforcement action that will or could be imposed if the 

violation is not corrected; 

6. notice that a written response to the notice of violation must be submitted to, and received 

by, the Tribal Gaming Agency within fifteen calendar days of the receipt of the notice of 

violation; and 

7. notice that the Notice of Violation shall be the written decision of the Tribal Gaming Agency 

in the event that no written response to the notice of violation is submitted to the Tribal 

Gaming Agency within the time provided in this Section. 

(c) in the event the violation is not corrected, or a written response to the notice of violation is not made 

within fifteen calendar days following receipt of the notice of violation, the Tribal Gaming Agency may take one 

or more of the following actions; 

1. suspend or revoke the license of the person or entity to whom the notice of violation was 

directed; 

2. assess of civil penalty in accordance with the provisions of this Gaming Code; 

3. forcibly remove the violator from the Gaming Facility; 

4. seize the Gaming Facility and all equipment, records and proceeds of the Gaming Activities 

located within the Gaming Facility; or 

5. upon consultation with the Tribe's Attorney General, initiate in the Tribal Court a civil 

complaint to enforce the Gaming Code, regulations of the Tribal Gaming Agency, the 

Compact or the Act. 

(d) Each person or entity to whom a Notice of Violation is issued shall submit a written response to the 

Tribal Gaming Agency within fifteen calendar days of the receipt of the Notice of Violation, together with any 

additional information the person believes that the Tribal Gaming Agency should consider. Upon receipt of the 

written response, the Tribal Gaming Agency shall issue a written decision within fifteen calendar days, and shall 

mail such decision to the person or entity who is the subject of the Notice of Violation by certified or registered 

mail, return receipt requested. Failure of the Tribal Gaming Agency to render a decision within fifteen calendar 

days will result in automatic dismissal of the Notice of Violation. In the event of an adverse decision from the 

Tribal Gaming Agency, the party responding to the notice of violation may, within fifteen calendar days, appeal the 

matter to the consideration of the Hearing Officer pursuant to procedures set forth in the Tribal Gaming Agency's 

Administrative Procedure Protocol. The decision of the Hearing Officer may be appealed to the Tribal Court in i3 5 
tv!iicIi ~C;ISC ;I norice 01' apl~e;lI must be made within tcn calcnd:tr days 01' rhc C{c.:i~.inz O1'1'icc.i-'s c!cc.~.;~un. :Any 

decision by the 7'ribal Court shall be final and not subject to appeal or rcvicw. 

(e) In the event of an adverse dccision from the Hearing Officer, the party responding to a notice of violation 

may appeal the matter to Tribal Court. In such instance, however, the Court's review shall be limited to a decision 

whether the administration action was illegal, arbitrary, capricious or involved an abuse of discretion. The Court 

may also determine issues of due process, civil rights and constitutionality, and shall not entail any determin;ltion 

regarding the merits or correctness of the underlying administrative decision. In addition, if the Tribal Gaming 

Agency takes any summary action pursuant to Subsection (f) hereof, the party against whom such action is taken 

may move the Tribal Court for a restraining order and the Tribal Court shall have the power to review such 

application according to its normal procedures and standards of decisions. 

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

Gaming Agency issues its decision or, if applicable, the Hearing Officer renders his or her decision; however, the 

Tribal Gaming Agency may summarily suspend any license issued under this Gaming Code or take such other 

immediate action if the continuedlicensing of, or conduct by, a person or entity constitutes an immediate threat to 

the public health, safety or welfare. 

[As amended, July 24, 2001, by Ord. 01-01.] 

Section 1002. Investigation of Com~laints. 

(a) The Tribal Gaming Agency shall investigate all sworn complaints that are filed with the Tribal Gaming 

Agency alleging that a licensee is acting in violation of the terms of any license, or a Gaming Facility is not being 

properly maintained in accordance with the terms of any license or does not adequately protect the health, safety 

and welfare of the employees or patrons. 

(b) The Tribal Gaming Agency shall give written notice of, and provide a copy of, the sworn complaint to 

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

requested. The licensee shall file with the Tribal Gaming Agency a written reply to the complaint within fifteen 

calendar days of receipt of the notice and complaint. The Tribal Gaming Agency shall provide copies of the 

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

(c) Following receipt of the licensee's response on the complaint, the Tribal Gaming Agency shall cause 

a full investigation to be made of the allegations of the complaint. If the Tribal Gaming Agency determines that 

a violation of the Gaming Code, the Compact or the Act has occurred or is occurring, the Executive Director shall 

issue a notice of violation in accordance with the provisions of this Chapter. 

Section 1003. Amointment: Eligibility of the hear in^ Officer. 

The Hearing Officer shall be appointed by the Tribal Council to a two-year term. The Hearing Officer shall 

be knowledgeable of tribal gaming law, regulations and policies. He or she shall also have experience litigating 

matters before administrative and j,udicial tribunals including Tribal Court. The Hearing Officer must be over the 

* 
GAMING CODE 

age of twenty-five, must be a person of the utmost honesty and integrity, must never have been convicted of a felony 

or a misdemeanor involving theft, embezzlement or fraud and must be a person whose prior activities, reputation, 

habits and associations shall not in any way jeopardize the effective regulation of gaming or the Tribes' and the 

public trust, confidence or interests. The Hearing Officer shall not be affiliated with or employed by the Tribal 

Gaming Enterprise in any capacity, and shall not gamble in any Gaming Facility run by the Tribal Gaming 

Enterprise nor assume any personal financial interest in any gambling by any patron of the Gaming Facility. The 

spouse and household dependents of the Hearing Officer shall likewise not gamble in any Gaming Facility owned 

by the Tribal Gaming Enterprise. 

[As amended, July 24, 2001, by Ord. 01-01.] 

Section 1004. Comvensation and Removal of the Hearing Officer. 

(a) Prior to the expiration of his or her term, the Hearing Officer may resign at will, or may be removed from 

his or her position by majority vote of the Tribal Council, but in the latter circumstance, only for cause and only 

after a duly noticed hearing. 

(b) The Hearing Officer may hold other Tribal positions, except for positions on Tribal Council, or positions 

of appointment as public officials, and may engage in business; however, the Hearing Officer shall not engage, or 

have any interest, whether financial, proprietary or otherwise, in any business which is subject to the provisions of 

this Gaming Code or which entails transactions with the Tribal Gaming Enterprise. The Hearing Officer shall be 

compensated for his or her services to the Tribal Gaming Agency at a rate to be established by the Tribal Council. 

[As amended, July 24, 200 1, by Ord. 0 1-0 1 .] 

CHAPTER 1 1. DISPUTES; LIMITS OF TORT LIABILITY TO PATRONS AND/OR OTHER 

INDIVIDUALS OR ENTITIES. 

Section 1101. Patron Dis~utes. 

TheTribal Gaming Enterprise shall notify theTriba1 Gaming Agency of any dispute with a patron whenever: 

(a) The Tribal Gaming Enterprise refuses payment of alleged winnings to a patron, and the Tribal 

Gaming Enterprise and the patron are unable to resolve the dispute to the satisfaction of the patron, 

and the dispute involves: 

1. At least five hundred dollars ($500), the Tribal Gaming Enterprise shall immediately notify 

the Tribal Gaming Agency; or 

2. Less than five hundred dollars ($500), the Tribal Gaming Enterprise shall inform the patron 

of his or her right to request that the Tribal Gaming Agency shall conduct whatever 

investigation it deems necessary and shall determine whether payment should be made. 
(:I) conduct cir operate any Gamins ,-4c[ivitics ~vilhin 'l'r.ib;~l I*;~nds <uiCpi ;is providcd in this Gamins 

Codc: 

(b) receive, distribute, apply or direct any property, funds, proceeds or other asset of' any Gaming 

Activity to the benefit of any individual or other person except as authorized by this Gaming Code 

or by any duly enacted Resolution of the Tribal Council; 

(c) tamper with any equipment used in the conduct of Gaming Activities with the intent to cause any 

person to win or lose any wager other than in accordance with the publicly announced rules of such 

Gaming Activity; 

(d) do any other act in connection with the conduct of any Gaming Activities with the intent to affect 

the outcome of any wager other than in accord with the publicly announced rules of such Gaming 

Activities; 

(e) participate as a player in any Gaming Activities conducted by the Tribal Gaming Enterprise, while 

such person is the Executive Director, a Hearing Officer, or Gaming Enterpnse Director; and 

(f) participate as a player in any Gaming Activities conducted by the Tribal Gaming Enterprise, while 

such person is listed as a person barred from the Tribe's Gaming Facilities pursuant to Section 505 

(j) of this Gaming Code; 

(g) enter the Gaming Facilities while bearing firearm or other deadly weapon unless specifically 

authorized by the Tribal Gaming Agency to do so. 

[As amended, January 8,2000, by Ord. 00-0 1 ; and on July 24,200 1, by Ord. 01 -0 1 .] 

Section 1202. Penalties. 

Any individual who violates any provision of this Gaming Code or the Compact shall be subject to civil 

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

Tribal Gaming Facility, exclusion from the Tribal Lands if a non-member of the Tribes, or a civil penalty of not 

more than $10,000 for each such violation. Such penalty shall be within the jurisdiction and discretion of the Tribal 

Gaming Agency as set forth in Chapter 10 of this Gaming Code. 

Section 1203. Civil Remedies. 

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

enforce the provisions of this Gaming Code or the Compact or to enjoin or otherwise prevent any violation of this 

Gaming Code, the Compact or the Act occurring on Tribal Lands. 
The foregoing ordinance was enacted on July 24, 2001, duly approved by a vote of 4 for, and 3 

asdinst, _a_ abstaining, by the Tribal Council of the Colorado River Indian Tribes, pursuant to authority vested in 

it by Aniclc V1 of the Constitution of the Tribes, ratified by the Tribes on March 1. 1975, and approved by the 

Secretary of the Interior on May 29, 1975, pursuant to Section 16 of the Act of June 18, 1934 (48 Stat. 984). This 

ordinance is effective on the date of its adoption. 

COLORADO RIVER INDIAN TRIBES 

COLORBDO RIVER TRIBAL COUNCIL 

Chairman. Tribal Council 

'~onia Stone 

Secretary, Tribal Council