Daniel Eddy, Jr. 

Tribal council Chairman 

Colorado River Indian ~ribes 

Route 1, Box 23-B 

Parker, Arizona 85344 

Dear Chairman Eddy: 

This letter responds to your request to review and 

approve the tribal gaming ordinance adopted on August 31, 

1994, by the Colorado River Indian Tribes (Tribes). This 

letter constitutes such approval under the Indian Gaming 

Regulatory Act (IGRA). This approval, however, is 

conditioned upon the Tribest amending 5 301 of the ordinance 

to subject charitable gaming to 25 C.F.R. S 522.10(e). 

Based on the conversation between Mai Dinh of this office 

and Tribal Attorney General Peter Nimkoff on September 9, 

1994, the National Indian Gaming Commission (NIGC) 

understands that the tribal council is most likely to make 

the amendment during the tribal council meeting held on the 

same day. 

Under the IGRA and the regulations of the NIGC, the 

Chairman is directed to review ordinances with respect to 

the requirements of the IGRA and the implementing 

regulations. Thus, the scope of the Chairman's review and 

approval is limited to the requirements of the IGRA and the 

NIGC regulations. Provisions other than those required 

under the IGRA or the NIGC regulations that may be included 

in a tribal ordinance are not subject to review and 

approval. Such approval does not constitute approval of 

specific games. Also, the gaming ordinance is approved for 

gaming only on Indian lands as defined in the IGRA. 

With the Chairman's approval of the Tribest gaming 

ordinance, the Tribes are now required to conduct background 

investigations on its key employees and primary management 

officials. The NIGC expects to receive a completed 

application for each key employee and primary management 

official pursuant to 25 C.F.R. S 556.5(a) and an 

investigative report on each background investigation before 

issuing a license to a key employee or primary management 

official pursuant to 25 C.F.R. S 556.5(b). 

1850 M STREET. N.W.. SUITE 250 WASHINGT0N;D.C. 20036 TEL : 202-632-7003 FAX: 202-632-7066 

 hank you for submitting the ordinance of the.Colorado 

River Indian Tribes for review and approval. The NIGC staff 

and I look forward to working with you and the Tribes in 

implementing the IGRA. 

Sincerely yours, 

Anthony J. Hope 

Anthony J. Hope 

Chairman 
Resolution NO. 1 12-94 

RESOLUTION 

Approve %o~~e8#!x~RdP8%!i%!N8L the Colorado 

A ~~~~l~ti~~ to River Indian Tribes to Conform with Requirements 

of the National Indian Gaming Commission 

Be it resolved by the Tribal Council of the Colorado River Indian Tribes, in mg&meeting assembled 

August 31, 1994 special on 

WHEREAS, on June 10, 1994, the Colorado River Indian Tribes 

adopted Ordinance 94-1, the Gaming Code of the Colorado 

River Indian Tribes; and 

WHEREAS, said Tribal Gaming Code was submitted to the National 

Indian Gaming Commission (Commission) as required by the 

Indian Gaming Regulatory Act, 25 U.S.C. SS 2710(b) (1) (B) 

and 2710(d)(l)(A)(ii); and 

WHEREAS, the Commission requested several amendments and 

clarifications in the Tribal Gaming Code to ensure that 

its express terms conform with the Commission's 

administrative interpretation of the IGRA and applicable 

regulations; and 

WHEREAS, through conversations with the Commission's staff, the 

Tribes' Legal Department and consultants have drafted 

modifications to Ordinance 94-1 to ensure that the Tribal 

Gaming Code will meet with the Commission's approval; and 

WHEREAS, the proposed changes to the Tribal Gaming Code are of a 

technical and/or clarifying nature and are required to 

obtain the Commission's approval of the Tribes' Gaming 

Ordinance: 

August 31, 1994 The foregoing resolution was on duly approved by a vote of 

5 for, O against and O abstaining, by the 

Tribal Council of the Colorado River Indian Tribes, pursuant to authority vested in it by Section 

1.a. , Article VI of the Constitution and By laws of the Tribes, 

ratified by the Tribes on March 1,1975 and approved by the Secretary of the Interior on May 29,1975, 

pursuant to Section 16 of the Act of June 18,1934, (48 Stat. 984). This resolution is effective as of the 

date of its adoption. 

COLORADO RIVER TRIBAL COUNCIL 
RESOLUTION NO. R- 112-94 

AUGUST 31, 1994 

PAGE 2 

NOW, THEREFORE, BE IT RESOLVED by the Tribal Council of the 

Colorado River Indian Tribes, that the accompanying 

Gaming Ordinance is hereby adopted and substituted in 

lieu of Ordinance 94-1 as the Gaming Ordinance of the 

Colorado River Indian Tribes. 

BE IT FURTHER AND FINALLY RESOLVED that the Chairman and Secretary 

of the Tribal Council, or their designated 

representatives, are hereby authorized to execute any and 

all documents necessary to implement this action. 
' GAMING ORDINANCE OF THE 

COLORADO RIVER INDIAN TRIBES 
I TABLE OF CONTENTS 

Qlapter 1 . Legislative Purpose. Intent and Summary cf Statutory Scheme . Section 101 . , Pumose ....................... 1 

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

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

Chapter 2 . ~efinitions ......................... 2 

Section201.Definitions. .................... 2 

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

Section 301 . I Tribal Ownership of Gamins Activities ........ 5 

Section 302 . Useof ~et ~evenues ................. 5 

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

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

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

Section 403 Duties and Authority of the Tribal Gaminu Entemrise 

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

Section 404 . pblisations of the Tribal Gamins Enternrise Board . . 6 

Section 405 . AD~olntment. Eliaibilitv and Comwensatlon of Tribal 

Gamins Enternrise Boardmembers ............ 7 

Chapter 5 . The Tribal Gaming Agency ................ Section 501 . Establishment of The Tribal Gamins Asencv and 

Fundinq .................... Section 502 . Suaervision of The Tribal Gamins Asencv .... Section 503 . Executive Director of the Tribal Gamins Asencv 

Section 504 . Com~ensation and Removal 0fCommissioners ... Section 505 . Powers and Duties of the Tribal Gamins Asencv 

Section 506 . Issuance of Reaulations ............ Section 507 . Petition for Self-Reaulation ......... 

Chapter 6 . Licenses Required for Participation in the Business of Gamlng 

Activities .......................... 12 

Section 601 Tme of Licenses Recruired ?9 . .............. A* 

Section 602 . Standards of Suitability for the Issuance of 

hicenses ...................... 13 

Chapter 7 . License Application Procedure ................ 16 

Section 701 . ApDlication Reauirements .............. 16 

Section 702 . Processins of A~~lications for Licenses ....... 20 

Section 703 . Special processinq for particular License A~~lications 

Gamins Em~lovee's License and Gamins 

FacilitvLicense .................. 22 

Section 704 . Pees for Licenses and Renewal of Lic ense ....... 25 

Section 705 . License Terms; Renewal ............... 25 

Section 706 . F~ecial Obliuations of Corporate Licensees ..... 26 

Chapter 8 . Facility :Inspection; Reporting ~equirenents ......... 26 

Section 801 . Facilitv Inspection ................. 26 

Section 802 . peportins Reauirements ............... 26 

Section 803 . Inde~endent Audits ................. 28 

Chapter 9 . Gaming 

Section 901 . Section 902 . Section 903 . Section 904 . Section 905 . Section 906 . Section 907 . Section 908 . 

Operations; Internal Controls ............ 29 

Scope of Permissible Gaminu ............. 29 

Hours. Days . Other Standards ............ 29 

Employee and Player Ase Limit ............ 29 

EmoloveeGamins ................... 30 

Publication of Payoffs ............... 30 

Slot Machines and Gamins Devices .......... 30 

Unsuitable Methods of Operation ........... 30 

Internal Controls .................. 31 
Chaptar 10 . ~otices:of Violation; Complaints and Disciplinary Actions . 33 

Section1001 . NoticeofViolation ................ 33 .... . ' .' Section 1002 . ' Investiqation of Com~laints ............ 34 

Chapter U . .Patron Disputes; Limits of Contractual and Tort Liability to 

. Patrons and/or Other Individuals or Entities .-....-. 35 

Section 1101 . Patron Disputes .................. 35 

Section 1102 . ' Limits of Contractual and Tort Liabilitv ...... 36 

Section 1103 . Limits of Liability for Tribal Gamina Aaencv .... 36 

Chapter 12 . Offenses and Remedies ................... 36 

Section 1201 . I Offensea ...................... 36 

Section1202 . Penalties ..................... 37 

Section 1203 . Civil Remedies ...................... 38 
I ORDINANCE NO. 94--1- 

.' Be it enacted by the Tribal Council of the Colorado River Indian Tribes, 

that there is hereby established a Gaming Ordinance of the Colorado River 

Indian Tribes, as follows : 

I . . 

I ARTICLE I 

I GAMING CODE 

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

Section 101. Pumose . 

This Ordinance is enacted to implement the decision of the Tribal Council 

of the Colorado River Indian Tribes that in addition to other revenuegenerating activities engaged in by the Tribes, Gaming Activities shall be 

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

Tribal Lands. 

Section 102. Intent. 

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

Gaming Activities permitted on Tribal Lands shall: 

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

of honesty and integrity; 

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

and trust in the honesty and integrity of the Gamlng 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 

(a) 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 Ordinance' establishes the following statutory scheme to administer the 

conduct of Gaming Activities on Tribal Lands: 

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

manage, administer, supervise and control the revenue-generating 

and/or business affairs of all tribal Gaming Activities conducted 

on Tribal Lands, subject to the overall authority of the Tribal 

Council as more specifically set forth in Chapter 4 of this 

Ordinance, and subject to the regulatory authority of the Tribal 

Gaming Agency; 

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

administer all civil regulatory authority over all Gaming 

Activities conducted on Tribal Lands as more specifically set 

forth in Chapter 5 and following Chapters of this Ordinance; and 
(c) The =ole of the Tribal Council in Gaming Activities conducted on 

. . Tribal Lands will be to oversee the activities of both the Tribal 

Gaming Enterprise and the Tribal Gaming Agency, as more . . specifically set forth hereinafter, and to mediate between those . . entities in the event such mediation becomes necessary. 

Chapter 2. Definitions. 

Section 2 01. Definitions . 

For purposes of this Ordinance: 

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

Public Law 100-97, 25 U.S.C. 55 2701-2721 and 18 U.S.C. 55 

1166-1168, and all regulations promulgated pursuant 

thereto. 

(b) I1Administrative Procedure Protocol11 means the set of 

procedures adopted by the Tribal Gaming Agency to govern 

the promulgation of its regulations, the conduct of its 

hearings and disciplinary actions and the perfection of 

its appeals process; 

(c) I1Class I Gaming11 means all forms of gaming defined as Class 

I in section 4(6) of the Act, 25 U.S.C. 5 2703 (6). 

(dl I1Class I1 GamingI1 means all forms of gamlng defined as 

Class I1 in section 4(7) of the Act, 25 U.S.C. 5 2703 (7). 

(el "Class 111 Gamingu means all forms of gamlng as defined in 

section 4 (8) of the Act, 25 U.S.C. 5 2703 (8). 

(f llCompactll means any Tribal-State Compacts entered into 

between the Colorado River Indian Tribes and the State of 

Arizona or State of California for the purpose of 

regulating Class I11 Gaming activities conducted on Tribal 

Lands, and all amendments and modifications thereto, 

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

(dl . 

(9) llCommissionerll means a commissioner of the Tribal Gaming 

Agency . 

(h) I1Distributort1 means a person who distributes class I11 

gaming devices and/or component parts thereof. 

(i) llExecutive DirectorN1 means the Executive Director of the 

'Tribal Gaming Agency. 

(1 ) "Gaming Activityt1, unless specifically stated otherwise, 

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

within Tribal Lands. 

(k) I1Gaming Device1# means an electronic game of chance, defined 

as follows: a microprocessor-controlled electronic device 

that allows a player to play games of chance, some of which 

are affected by skill, which device is activated by the 

insertion of a coin, currency, tokens or by the use of a 

credit, and that awards game credits, cash, tokens, or 

replays, or a written statement of the player's accumulated 

credits, which written statements are redeemable for cash. 
1 Game play may be displayed by (i) video facsimile or (ii) 

mechanical rotating reels whereby the software of the 

device predetermines the stop positions and the presence, 

or lack thereof. of a winning combination and pay out, if 

any. 

(1 "Gaming E2nployeeIt means (i) any natural person employed as 

a primary management official or key employee of a Gaming 

Operation and (ii) any natural person employed in the 

operation of a Gaming Operation, including, but not limited 

to, any person whose employment duties require or 

authorize access to restricted areas of a Gaming Facility 

not otherwise open to the public. 

(m) llGaming Facilityu means the buildings or structures 

licensed and approved by the Tribal Gaming Agency in which 

Gaming Activities are conducted. 

(n) , "Gaming Facility Operatorlo means the Tribal Gaming 

Enterprise or such other wholly owned tribal entity having 

I full authority and responsibility for the operation and 

management of Gaming Activities on Tribal Lands. 

(0) l1Gaming Operation8I means the total activities carried on by 

the Tribal Gaming Enterprise or such other wholly owned 

'entity having full authority and responsiblllty of the 

operation and management of Gamlng Actlvitles on Trlbal 

Lands. 

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

which governs the conduct of all Gamlng Activltles on 

Tribal Lands, including all amendments thereto, and all 

regulations promulgated by the Trlbal Gamlng Agency 

thereunder. 

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

services to a Gaming Facility Operator dlrectly in 

connection with the operation of Class 11 or Class 111 

gaming in a Gaming Facility, including, but not limlted to, 

equipment, merchandise, transportation, food, linens, 

janitorial supplies, maintenance, or security services for 

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

per year. 

(r) l1Kenol1 means a house banking in whi ch 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. 

(s) "Key employeest means a Gaming Employee who performs one or 

more of the following functions: bingo caller; counting 

room supervisor; chief of security; custodian of gaming 

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

croupier; approver of credit; or custodian of gambling 

devices including persons with access to cash and 

accounting records within such devices. In addition, any 

other person whose total cash compensation from the Gaming 

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

; shall also be deemed "key employees." 

(t) I8Licenseu means an approval or certification issued by the I 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. 

(u) llLicenseeu means any natural person or enterprise who has 

been approved, licensed, certified or found suitable by the 

Tribal Gaming Agency to be involved in the Gaming Operation 

or in the providing of gaming services to the Gaming 

Operation. 

(v) "Management Contractl1 means a management contract within 

the meaning of the Act, 25 U.S.C. 55 2710(d) (9) and 2711. 

(w) llManagement Contractorn means a natural person or entity 

that has entered into a Management Contract as contemplated 

under the provisions of the ~ct, 25 U.S.C. 55 2710 (dl (9) and 

2711. 

(x) "Net revenue8' means the gross revenues of any gamlng 

activity less amounts paid out as, or pald for, prlzes and 

t~tal operating and capital expenses. 

(Y) llOffice of Attorney Generalt1 means the Offlce of the 

Attorney General of the Colorado Rlver Indian Trlbes. 

(2) 18Primary Management OfficialM means the person having 

management responsibilities under a Management Contract; or 

any person who has authority to hire and fire employees or 

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

chief financial officer or other person or persons having 

financial management responsibility for a Gaming Operation. 

(aa) 81Principa111 means with respect to any entity: (i) each of 

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

management employees, including any chief executive 

officer, chief financial officer, chief operating officer, 

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

if an unincorporated business; (iv) each of its 

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

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

person other than a banking institution who has provided 

financing for the entity constituting more than ten (10) 

per cent of the total financing of the entity. 

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

and the authorized officials, agent s and representatives of 

each of those States, respectively. 

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

Arizona or of the State of California which may from time 

to time be designated by written notice to the Tribes as 

the single agency of its respective State having the 

authority to act on behalf of its State regarding such 

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

operations. 
(dd) "Tribal Coun~il~~ means the Colorado River Tribal Council. 

as empowered and established by Article IV, Section 1 of 

the Constitution of the Colorado River Indian Tribes. 

(eel "Tribal Gaming Agencya1 means the regulatory entity 

established by this Ordinance to have and to admlnlster 

all civil regulatory authority over all Gamlng Actlvities 

conducted on Tribal Lands. 

(ff) "Tribal Gaming Enterpriselo means the entity of the Tribes 

established by this Ordinance to conduct all Gaming 

Activities on Tribal Lands. 

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

of the Colorado River Indian Tribes, as set forth in 

Article I of the Constitution of the Colorado River Indian I Tribes, including territory which may be acquired by the 

Tribes in the future. 

(hh) , llTribeslm means the Colorado River Indian Tribes. 

Chapter 3. Tribal Ownership and Use of Net Revenue. 

Section 301. Tribal Ownership of Gaminu Activities . 

All Class I, Class I1 and Class I11 Gaming Activities within the Tribal 

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

Tribal Gaming Enterprise under the direction of the Tribal Gaming Enterprise 

Board, except that Class I and Class I1 Gaming Actlvltles may be authorized to 

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

issuance of a permit by the Tribal Gaming Agency. 

Section 302. Use of Net Revenues. 

The net revenues received by the Tribal Gaming Enterprise from all Gaming 

Activities shall be deposited into a Gaming Enterprise Fund controlled by the 

Tribes through Tribal Council, and shall be utilized exclusively for one or 

more of the following 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; I 

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

(dl to benefit charitable organizations within the Tribal Lands; and 

(el to make per capita payments to members of the Tribes upon the 

preparation of a plan to allocate revenues consistent with the 

requirements of the Act and approval of this plan by the 

Secretary of the Interior. 

Chapter 4. Tribal Gaming Enterprise and Tribal Gaming Enterprise Board. 

Section 401. Establishment of the Tribal Gaminq Entemrise . 

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

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

Gaming Activities licensed on Tribal Lands, shall be the exclusive Gaming 
Facility Operator licensed to conduct a Gaming Operation on ~ribal Lands, and 

shall.be wholly-owned by the Tribes. 

Section 402. Establishment of the Tribal Enterprise Board . 

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

Gaming Enterprise Board, which shall be comprised of three directors who are 

Tribal members and who, subject to the sentence immediately following, shall 

be appointed by Tribal Council for a two-year term. In constituting the 

initial Tribal Enterprise Board, the Tribal Council shall appoint two 

boardmembers for' terms of two years and one boardmember for a term of three 

Years, so that thereafter there shall be at least one boardmember appointed to 

his or her two-year term in every year. 

Section 403. Duties and Authority of the Tribal Gamins Enternrise Board . 

The Tribal Gaming Enterprise Board shall manage, administer, supervise and 

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

these duties, the Tribal Gaming Enterprise Board shall have the following 

authority: 

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

operations of the Trlbal Gamlng Enterprise, or to delegate such 

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

delegation, the Tribal Gamlng Enterprise will malntain 

responsibility for supervising and dlrectlng the actlvlties of such 

manager(s1 In the exerclse of hls dutles; 

(b) to make decisions as to capital investments, to propose snort-term 

and long-term business plans, budgets, and internal reporting 

procedures for monitoring and evaluating the profit performance of 

the Tribal Gaming Enterprise, and to perform any other function 

necessary to carrying out the business of the Tribal Gaming 

Enterprise in a way consistent with maximizing its net revenues; and 

(c) to hire personnel and staff to perform the business of the Tribal 

Gaming Enterprise, to sponsor such personnel for the various 

licenses required under this Ordinance, and to draw upon the 

professional, legal and accounting resources of the Tribes for 

consultation and assistance, where appropriate. 

Section 404. ~bliuations of the Tribal Gamins Entemrise Board . 

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

the overall control of, the Tribal Council. Such control will be facilitated by 

imposition of the following reporting obligations, as well as by any other 

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

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

adopt Enterprise By-laws setting forth the procedures for meetings, 

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

of Board authority which will govern the conduct of the Tribal 

Gaming Enterprise Board. Such Enterprise By-laws shall be submitted 

to Tribal Council for approval, as shall any proposed amendments to 

the By-laws which may from time to time be proposed; 

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

documents to the Tribal Council for its approval: an annual 

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

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

Enterprise; all requests for proposals (RFP'S) or contracts that 

entail extraordinary or non-recurring expenses in excess of $100,000 

expenditure by, or accrual of liability to, the Tribal Gaming 

Enterprise; and all plans or proposals for expansion, addition or 

construction of Gaming Facility physical plant; 

-. - 

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

reports to the Tribal Council for its review: monthly, quarterly 

and annual financial statements, all prepared in accordance with 

Generally Accepted Accounting Principles, and in t he case of monthly 

statements, presented within thirty calendar days after the closing 

of the calendar period for which the information is being supplied, 

and in the case of quarterly and annual statements , presented within 

forty-five calendar days after the closing of the calendar period 

for which the information is being supplied; an annual independent 

audit, presented within sixty calendar days after the closing of the 

calendar year for which the information is being supplied; minutes 

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

reports of any violations or unusual occurrences concerning 

requirements of this Ordinance and any other applicable law or 

regulation, presented within three calendar days after such notice 

or report is made available to the Tribal Gaming Enterprise. 

Section 405. A~~ointment, Eliaibility and Com~ensation of Tribal 

Gamins Enterprise Boardmembers. 

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

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

eligibility: 

1. each Tribal Gaming Enterprise Boardmember must be over the age 

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

integrity in that he or she shall not have been convicted of 

a felony or a misdemeanor involving theft, embezzlement or a 

crime involving moral turpitude, and he or she shall be a 

person whose prior activities, reputation, habits and 

associations shall not pose a threat to the public interest or 

to the public image of Gaming Activities conducted on Tribal 

Lands ; 

2. each Tribal Gaming Enterprise Boardmember must receive a 

Gaming Facility Operator's License from the Tribal Gaming 

Agency and must accordingly meet all criteria for such a 

license in advance of assuming his or her duties; 

3. each Tribal Gaming Enterprise Boardmember must pledge to the 

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

Facility run by the Tribal Gaming Enterprise, and that he or 

she will not assume any personal financial interest in any 

gambling by any patron of the Gaming Facility. 

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

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

majority vote of the Tribal Council, but in the latter circumstance, only for 

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

and conducted. 

(c) Tribal Gaming Enterprise Boardmernbers may hold other Tribal positions, 

except for positions on the Tribal Gaming Agency, in Tribal law enforcement, or 

in positions of appointment as public officials, and may engage in business; 
however, Tribal Gaming Enterprise Boardmembers shall not engage, or have any 

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

subject to the provisions of this Ordinance or which entails transactions with 

the Tribal Gaming Enterprise. Tribal Gaming Boardmembers shall be compensated 

for their services to the Tribal Gaming Enterprise at a rate to be established 

annually by the ~ribal Council. 

Chapter 5. The Tribal Gaming Agency. 

Section 501. Establishment of The Tribal Gaminq Aqencv, and Fundina . 

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

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

authority over all Gaming Activities conducted on Tribal Lands, as set forth 

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

budget of the Gaming Agency. 

Section 502. Su~ervision of The Tribal Gamina Aaencv . 

(a) The Tribal Gaming Agency shall be administered under the supervision 

of three Cotmissioners who shall be appointed by the Tribal Council and who shall 

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

ItEmbetS. At least one of the Commissioners shall possess strong managerial 

experience in gaming operations, gaming regulation or gaming audits and 

financial controls. All Commissioners must be ove r the age of twenty-five, must 

be persons of the utmost honesty and integrity, must never have been convicted 

of a felony or a misdemeanor involving theft, embezzlement or a crlme involving 

moral turpitude, and must be persons whose prior actlvlties, reputation, habits 

and associations shall not in any way jeopardize the e~fectlve regulation of 

gaming or the Tribes's and public's trust, confidence ar interests. No 

Commissioner may be affiliated with or employed by the Tribal Gaming Enterprise 

in any capacity, and no Commissioner shall gamble in any Gaming Facility run by 

the Tribal Gaming Enterprise nor assume any personal financial interest in any 

gambling by any patron of the Gaming Facility. Spouses and household depe ndents 

of Commissioners shall likewise not gamble in any Gaming Facility owned by the 

Tribal Gaming Enterprise. 

(b) Unless otherwise spe cif ically provided in this Ordinance, a majority 

vote of the Commissioners shall be deemed sufficient to effectuate any decision 

or action which this Ordinance authorizes the Commissioners to make. Further, 

unless otherwise provided in this Ordinance, a decision or action by the 

Commissioners shall be final and not subject to review by any Court or ju dicial 

forum . 

Section 503. Executive Director of the Tribal Gamina Asencv . 

Tribal Council shall designate one of the three Commissioners as Executive 

Director of the Tribal Gaming Agency, and that individual shall serve as 

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

the Tribal Council., The Executive Director shall have overall responsibility 

for the day- to-day administrative functions of the Tribal Gaming Off ice, 

including, but not limited to, the following: 

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

similarly titled position with the State Gaming Agency; 

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

official determination, order or notice of the National Indian 

Gaming Commission; 
. . - (c)- -proposing, for the majority approval of the Commissioners and 

of Tribal Council, an Administrative procedure Protocol and any 

! amendments thereto, covering: notices of proposed and final .- regulations propounded by the Tribal Gaming Agency (which, at a .. . . , minimum, will adopt the provisions of Section 506 herein); 

hearings and the conduct of hearings regarding suc h regulations; 

and due process and evidentiary standards for entertaining 

patron complaints, challenges to any Tribal Gaming Agency 

determination by any affected person or entity, and 

disciplinary actions commenced against any person or entity for I violations of this Ordinance, the Act or other applicable laws 

or regulations; 

(dl proposing, subject to the majority approval of the Commissioners 

and Tribal Council, an annual budget reflecting t he anticipated 

expenses of running the Tribal Gaming Agency for the succeeding 

year. 

(el performing all personnel responsibilities of the Tribal Gaming 

Agency, including hiring staff as required to perform the 

responsibilities and obligations of the Tribal Gaming Agency, 

and promulgating employment standards and regulations which may 

include a provision that an employee of the Tribal Gaming Agency I may not simultaneously be affiliated with or employed by the 

Tribal Gaming Enterprise in any capacity and may not gamble in 

a'ny 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, wlth respect to certain 

categories of Tribal Gaming Agency employees as may be 

determined, that the spouse and household dependents of such 

' employees shall not gamble in any Gaming Facility run by the 

Tribal Gaming Enterprise; and 

(f) establishing the standard operating procedures by which the 

Tribal Gaming Agency shall perform its functions, and doing 

whatever else is necessary to see that the Tribal Gaming Agency 

accomplishes its purposes and responsibilities. 

Section 504. compensation and Removal of Commissioners . 

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

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

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

circumstance, only for cause and only after a ple nary hearing, duly noticed and 

conducted. 

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

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

engage in business; however, Commissioners shall not engage, or have any 

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

subject to the provisions of this Ordinance or which entails transactions with 

the Tribal Gaming Ehterprise. Commissioners, including the Executive Director, 

shall be compensated for their services to the Tribal Gaming Agency at a rate 

to be established annually by the Tribal Council. 

Section 505. Powers and Duties of the Tribal Gamins Asencv . 

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

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

directly or through such agents or employees as it deems appropriate: 
(a) to have and to exercise full responsibility for the regulation 

of Gaming Activities within Tribal Lands; 

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

revoke licenses for Gaming Pacrlity Operators, Gaming Managers, 

Gaming Manufacturers and Suppliers, Gaming Employe es, 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 permits for the conduct of Class I or Class 

I1 Gaming Activities, whose sole purpose is to promote a 

charitable or public good and the revenues from which shall be 

used exclusively for charitable or public purposes, and not for 

private gain or profit; 

(dl to enter at any time any Gaming Facility within Tr ibal Lands for 

the purpose of inspecting the facility, its employees and 

operations, its equipment and supplies, its business records 

and books of account or any other financial records or 

documents pertaining to the business operations of the facility, 

and to make summaries or copies of any such documents or other 

records as the Tribal Gaming Agency deems useful o r necessary to 

its purposes; 

(el to issue subpoenas and to compel the attendance of witnesses at 

any place within the Tribal Lands, to administer oaths and to 

require testimony under oath; 

(f) to summarily seize and remove from any Gamlng Facility, and to 

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

pueose of examination; 

(g) to review the terms of any and all proposed contracts between 

the Tribal Gaming Enterprise and any person or entity for the 

purpose of managing or operating the Tribal Gaming 

Enterprise's Gaming Facilities, as well as the terms of any 

lease of land for the location of such Gaming Facilities, for 

compliance with all applicable laws and regulations, and to 

make recommendations concerning such terms to the Tribal Gaming 

Enterprise and to the Tribal Council; 

(h) to investigate any aspect of Gaming Activities wit hin the Tribal 

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

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

improper or unlawful conduct in the course of such Gaming 

Activities; 

(i) to investigate any report of a failure by the Tribal Gaming 

Enterprise to comply with provisions of this Ordinance or any 

other applicable statute or regulation, and to direct the 

Tribal Gaming Enterprise to take remedial actions pursuant to 

terms and conditions that the Tribal Gaming Agency so 

specifies; 

(j) to establish a list of persons who, because of their criminal 

history or association with career offenders or career offender 

organizations, pose a threat to the integrity of the Tribes's 
Gaming Operations and are accordingly barred from any Gaming 

Operation, Gaming Facility or Gaming Activity wit hin the Tribal 

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

State Gaming Agency; 

(k) to: approve the rules of each game of chance operated by the 

Tribal Gaming Enterprise pursuant to Section 301 of this 

Ordinance; 

(1) torequire that all gaming-related contracts or agreements for 

supplies, services or concessions in an amount in excess of 

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

accounting services) be subject to annual audits by an 

independent certified public accountant licensed in the 

appropriate State and having in-depth knowledge about and 

experience with gaming; 

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

administrative penalty upon, any person or entlty for 

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

applicable laws or regulations; and 

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

further amplified in Section 506 herein, reasonably necessary 

for the proper and efficient exerclse of the other powers and 

responsibilities placed upon the Trlbal Gaming Agency by this 

Ordinance, the Act and any other applicable laws or 

regulations. 

Section 506. Issuance of Resulations . 

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

regulations governing any aspect of its responsibilities under this Ordinance. 

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

with any provisions of this Ordinance, shall have the force of law. Without 

limitation, the matters to be addressed by such regulations may include the 

following: 

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

licenses for Gaming Facility Operators, Gaming Managers, Gaming 

Manufacturers and Suppliers, Gaming Employees, and Gaming 

Facilities, including the information to be provided in 

connection with such application, and the manner in which such 

applications will be processed; 

2. the specific types of accounting, organizational and security 

measures to be in place and functioning at any Gaming Facility 

licensed under this Ordinance; 

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

disciplinary action to be taken against licensees; 

4. the public health and safety standards governing the physical 

plant of the Gaming Facilities, the provision of food and 

beverages and the admission of patrons to the Gaming 

Facilities; and 

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

ensure the physical safety of its employees and patrons, to 

safeguard its assets when being transported to and from the 

Gaming Facility and cashier's cage department, and to protect 
its property and the property of the patrons from illegal 

. . activity. 

(b) The Tribal Gaming Agency must approve its regulations in proposed form 

by a majority vote of the Commissioners, and must then submit such proposed 

regulations to public comment for a period of no less than thirty calendar days. 

The notice provisions for, and the procedures governing public contment on, 

such proposed regulations shall be set forth in the ~dministrative Procedure 

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

the Commissioners will again consider their proposed regulations prior to 

finalization and will adopt final regulations by a majority vote. The 

Commissioners will then file final versions of such regulations with the Tribal 

Council and with the Tribes's Office of the Attorney General, and will include 

such final regulations in a volume of "Tribal Gaming Agency Regulations' to be 

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

true copies to any requesting person or entity for a reasonable fee to be 

established by the Tribal Gaming Agency. 

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

administrative action is necessary to avoid serious jeopardy to the integrity 

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

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

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

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

Administrative Procedure Protocol can be concluded. 

(dl 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-Reaulation . 

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

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

Commission an application for a Certificate of Self-Regulation, under the 

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

everything necessary and appropriate to obtain such Certificate and to maintain 

the Certificate in good standing. 

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

Activities. 

Section 601. Tme of Licenses Rewired. 

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

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

the Tribal Gaming Enterprise for each Gaming Facility it 

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

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

facility or location on Tribal Lands where class I1 Or 111 

gaming is to be conducted under the Ordinance; 

(b) a Gaming Facility Operatores License, which is required to be 

obtained by the Tribal Gaming Enterprise as well as by all 

Tribal Gaming Enterprise Boardmembers prlor to their 

confirmation; 

(c) a darning Manager's Licens e, 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; 

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

obtained by each manufacturer and each supplier of Gaming 

Devices, and by each manufacturer and each supplier of Gaming 

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

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

by any person, corporation, partnership or other entity 

extending or guarantying financing for the Gaming Operation or 

the Gaming Facilities, unless such person, corporation, 

partnership or entity is an agency of the Unlted States; 

(el a ~amirlg Employees License, which is required to be obtained by 

any~aming Employee (as defined in sectlon 201(1) 1 employed by 

the Tribal Gaming Enterprise. 

NO person or entity shall participate in the business of any Gamlng Activities 

on Tribal Lands without first obtaining an appropriate license. 

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

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

following general standards governing each respective license category: 

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

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

class I11 gaming is to be conducted unless the Tribal Gaming 

Agency shall make the following determinations as to such 

facility, place or location: 

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

constructed so as to assure the health and safety of all 

employees and patrons of such activities, and to protect 

the natural environment from any contamination due to 

discharge of waste or unreasonable disturbance of land 

surf ace; 

2. the Gaming Activities to be conducted within the facllity 

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 equlpped 

to ensure the safety, comfort and convenience of the 

patrons and employees thereof through the implementation of 

pre-planned regimens to provide sufficiently for traffic 
control, parking, food, drink, sanitation, securi ty and law I 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 with the 

provisions and purposes of this Ordinance. 

(b) a Gaming8,Facility Operator's License shall not be issued unless the 

Tribal Gaming Agency is satisfied that the Tribal Gaming Enterprise is 

established and organized pursuant to a plan of operation consistent with 

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

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

Gaming Enterprise Boardmember if the Tribal Gaming Agency determines that such 

person has been convicted of any felony or gaming offense, has knowinqly or 

willfully provided materially important false statements or information on his 

or her license application, or is a person whose prior actlvities, crlminal 

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

public interest orto the effective regulation and control of gaming; 

(c) A Gaming ~ana~er's License shall not be issued: 

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

determines that such person has been convicted of any ieiony or 

gamlng offense, has been the subject of any crlrnlnai 

investigation by any law enforcement authorities witnln 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 pri or actlvities, 

criminal record, if any, or reputation, habits or associations 

pose a threat to the public interest or to the effective 

regulation and control of gaming; and 

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

Tribal Gaming Agency is not satisfied that such corporation, 

partnership or other entity: 

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

jurisdiction where it was established; 

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

financial statement certified by a certified public 

accountant to be a current, complete and accurate 

depiction of the organization's financial status; 

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

the subject of any criminal investigation by any law 

enforcement authorities, as shown by an affidavit of 

principals of the organization having personal 

knowledge thereof; 

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 fina ncing, 
are persons qualified to be licensed individually under 

the terms of this Chapter; and 

(v) 8 in all other respects will be reliable and trustworthy, 

and whose involvement in the Gaming Activities of the 

Tribal Gaming Enterprise will be in the best interests 

of the Tribes as set forth in this Ordinance. 

(dl a Manufacturer/Supplier License shall not be issued: 

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

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

has knowingly or willfully provided materially important false statements or 

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

activities, criminal record, if any, or reputation, habits or associations pose 

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

gaming; and I 

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 fin ancial 

statement that is a current, complete and accurate 

depiction of the organization's financial status; 

(iii) is not now and has not been ln 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 kno wledge 

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 r ole in 

its formation, including persons supplying financing, 

are persons qualified to be licensed individually under 

the terms of this Chapter; and 

in all other respects will be reliable and trustworthy, 

and whose involvement in the Gaming Activities of the 

Tribal Gaming Enterprise will be in the best interests 

of the Tribes as set forth in this Ordinance. 

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

of Gaming Devices unless such manufacturer and distributor verify, under oath, 

on forms provided by the Tribal Gaming Agency, that the Gamlng Devices 

manufactured or distributed by them for use or play at the Gaming Facilitie s meet 

the operational requirements specified by the Tribal Gaming Agency. 

(el 1. in the case of an individual applying for a position of primary 

management official or key employee, a Gaming Employee's License shall not be 

issued if the Tribal Gaming Agency determines that the individual applying for 

such license has been convicted of any felony or gaming offense, has been the 

subject of any criminal investigation by any law enforcement authorities in the 

past fifteen years, knowingly or willfully provided materially important false 

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

prior activities, criminal record, if any, or repu tation, habits or associations 
pose a threat to #e 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 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. 

Chapter 7. License Application Procedure. 

Section 701. A~~lication Reauirements . 

(a) Application submissions shall be as follows: 

1. Each application for any category of license 

described in Chapter 6 of this Ordinance must be 

submitted to the Tribal Gaming Agency on forms 

provided by the Tribal Gaming Agency, and must 

be accompanied by the requlred fee (as set forth 

in Section 703 hereof) and by such supporting 

information as the Tribal Gaming Agency shall 

prescribe by reguiatlon. 

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

a Manufacturer/Supplier Llcense or a Gaming 

Employee's License shall be accompanied by a 

Certification of Sponsorship from the Tribal 

Gaming Enterprise, which Certification shall 

state that the Tribal Gaming Enterprise wishes to 

engage the applicant for certain services, and 

intends to do so upon the issuance of an 

appropriate license. 

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

for a ~anufacturer/Supplier License or, in the 

case of an individual who is not an enrolled 

member of the Tribes, for a Gaming Employee's 

License, shall also be submitted to the 

appropriate State Gaming Agency, together with 

applicable fees, for State Certification. 

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

and (d). hereof, the applications of, and reports 

concerning, key employees or primary management 

officials engaged by, or applying for engagement 

by, the Tribal Gaming Enterprise, shall be 

submitted to the National Indian Gaming 

Commission for further review and action, prior 

to the application's receiving final action from 

the Tribal Gaming Agency. 

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

information in support of any and all license applications. 

Applicants are advised that the information submit ted 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: 

the applicant s social security number (S 

and tax identification number; 

(viii) 

the applicant's date and place of birth, 

citizenship, gender and all languages 

spoken or written; 

the applicant's residential addresses for 

the past ten years; 

the applicant's employment history for the 

last twenty years, inclualng the addresses 

of the employers for wnich the applicant 

was employed; 

the applicant's driver's license number; 

a complete listing of ail licenses issued 

to, and all disciplinary actlons 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 o v e r 

the applicant's professional or business 

activities, whether related to gaming or 

not ; 

The name and address of any licensing or 

regulatory agency with which the applicant 

has filed an application for an 

occupational license or permit, and/or for 

a permit related to gaming, whether or not 

such license or permit was granted; 

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; 
a set of the applicant's fingerprints taken 

consistently with procedures adopted 

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

I (xi a current photograph of the applicant; 

(xii) the applicant's complete and current 

financial disclosure statement. 

2. In addition to the above requirements for individuals, 

individuals who are applicants for positions of key 

employees or primary management officials must also 

furnish as part of their applications: 

(i For the previous twenty years, all 

businesses and enterprises in which the 

applicant held an equity, ownership or 

creditor interest, other than publicly 

traded entities, and the title, status and 

responsibilities for each and every 

position which the applicant held in such 

business or enterprise. For each such 

business or entity, the applicant shall 

provide the address of such business or 

entity. 

The names and current addresses of at least 

three personal references, including one 

personal reserence who was acquainted with 

the applicant during each period of 

residence llsted under section 701 (b) (1) 

(iv) . 

Current buslness and telephone numbers; 

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 of such entity) having a direct 

financial interest in. or management 

responsibility for the corporation, 

partnership or entity, including 

boardmembers and individual shareholders 

holding (directly or indirectly) 10 per 

cent or more of issued and outstanding 

stock; 

(ii) a detailed description of any previous 

gaming experience that each person listed 

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

Ordinance has had concerning other Indian 

tribes, management contracts, or the 

gaming industry generally, including the 
name and address of any gaming licensing or 

regulatory agency under whose jurisdiction 

such person has ever conducted gaming 

bvsines s ; 

a complete financial statement of each 

person listed pursuant to Section 701 (b) 

(2) (i) of this Ordinance; 

(iv) a tax identification number. 

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

Facility License, the Tribal Gaming Agency shall at a minimum 

require the following information from the Tribal Gaming 

Enterprise in support of its application for each such 

facility: 

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

as primary management officials or key employees at the 

facility; 

2. job descriptions of every other position for which persons 

will be employed at the facility, and a complete 

organizational chart; 

3. a detailed description of each Gaming Activity to be conducted 

at the facility, together with expected payouts to winners; 

4. detailed plans for the physical plant of the facility, 

including landscaping, traffic controls, parking, food and 

drink senrices, 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 arrangement by which the activities at the 

facility are to be managed; 

8. a :description of provisions for dealing with fire or other 

emergencies involving potential evacuation or medical 

evacuation at the facility; 

9. a detailed description of how sewage and other waste products 

from the facility will be handled and disposed of; 

10. any other information relevant to the proposed operation of 

the facility. 

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

its Gaming Facility License in the event that it intends to alter the design, 

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

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

Parameters. In such case, the Tribal Gaming Enterprise must provide detailed 

specifications of the nature and extent of such alteration. 
Section 702. Processinu of A~~lications for Licenses . 

.The Tribal ~ahing Agency shall maintain the following general guidelines 

for the processing of license applications: 

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

applicant in assembling all information required for 

processing of the application, but no application will be 

processed until it is complete. The Tribal Gaming Agency may 

at any time after an application is submitted request the 

applicant in writing to supply additional information to 

enable the Tribal Gaming Agency to complete the processing of 

the application; 

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

consent in writing, on a form provided by the Tribal Gaming 

~gency, to the release of any information that may be relevant 

to the Tribal Gaming Agency's inquiry into the applicant's 

background from any person or entity. The form on which the 

applicant will give his or her consent to such release of 

information will clearly state that any and all information 

obtained by the Tribal Gaming Agency in the course of 

reviewing a licensing application shall remain confidential, 

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

other person or agency without the applicant s written 

consent, except in the following circumstances: (i) such 

information is required by the Compact to be disclosed to the 

State Gaming Agency, or (ii) such information is required by 

the Act to be disclosed to the National Indian Gaming 

Commission, or (iii) such information is ordered to be 

disclosed by judicial subpoena or court order for use in a 

judicial proceeding in which the applicant 1s a party. The 

Tribal Gaming Agency shall be bound by the terms of such 

consent form; 

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

procurement of the consent form provided therein, every 

application form provided by the Tribal Gaming Agency to be 

fi'lled 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 

iriformation is provided: Solicitation of the information on 

this form is authorized by 25 U.S.C. 2701 et seq. The purpose 

of the requested information is to determine the eligibility 

of individuals to be employed in a gaming operation. In the 

case of persons applying for key personnel or primary 

management official positions, the information wil 1 be used by 

National Indian Gaming Commission members and staff who have 

need for the infonnation 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 r evocation 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. 'I 

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. ) 81; 

(dl the Tribal Gaming Agency shall subject every applicant for a 

license to a thorough background investigation, and such 

fnvestigations shall be updated upon an application for a 

renewal of such license, and at such other times a s the Tribal 

Gaming Agency may determine to be appropriate. Such 

background investigations shall be performed according to an 

investigative system, regularly updated and improved, that 

will comply with the requirements of this Ordinance, the Act 

and any other applicable laws or regulations. ~t a minimum, 

such investigative system shall include utilization of 

records of all available Tribal, State and Federal law 

enforcement agencies, resources of the National Indian Gaming 

Commission, communications with other Indian tribes engaged 

in Gaming Activities, and any other sources of information 

accessible to the Tribal Gaming Agency for this purpose. The 

Tribal Gaming Agency shall malntaln files that shall contain 

all information acquired in the course or ~ts background 

investigations of license applicants. Such inforrnatlon and 

files shall be secured in such a way that the ldentltles ot 

confidential informants and the lnformatlon Itself will be 

protected from inadvertent disclosure so as to com ply w~th the 

applicable provisions of federal statutes protecting 

individual privacy. All applicants will be notified of thelr 

rights under the Federal Privacy Act as specified In 25 C.F.R. 

Part 556; 

(el 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 

~gency designates in a written statement giving reasons why 

action cannot be taken within ninety calendar days , the Tribal 

Gaming Agency shall issue a decision issuing a license or 

denying the application; 

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

Agency shall inform the Applicant by notice sent by 

registered or certified mail, return receipt requested, and 

shall inform the appropriate State Gaming Agency, giving the 

reasons and substantiating documentation for its decision. 

The applicant may then appeal such decision to the 

Commissioners of the Tribal Gaming Agency within fifteen 

calendar days of the denial of such application, except that, 

in the event the Tribal Gaming Enterprise withdraws its 

Certificate of Sponsorship for such applicant, there will be 
no right of appeal. The procedures applicable to such an 

appeal shall be those set forth in the Tribal Gaming Agency's 

Administrative Procedure Protocol; 

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

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

of key employee or primary management official that upon 

temporary issuance of a license to the applicant, the Tribal 

Gaming Agency must, within sixty calendar days, give notice 

thereof to the National Indian Gaming Commission. In the 

event the Tribal Gaming Agency receives, within thirty 

calendar days of giving such notice to the National Indian 

Gaming Commission or a longer period described in subsection 

(h) hereto, an advice from the National Indian Gaming 

Commission that such primary management official or key 

employee does not meet the standards established in the 

Ordinance or in the Act for issuance of such a license, the 

Tribal Gaming Agency shall immediately suspend such license 

and give notice thereof to the licensee. In such 

circumstance, the licensee may, within fifteen calendar days 

of receiving notice of the suspension, request tha t the Tribal 

Gaming Agency reconsider its action. Upon such request for 

reconsideration, the Tribal Gaming Agency shall consider the 

advice of the National Indian Gaming Commlssion, and shall 

also consider such oral statement(s1 or wrltten documentation 

as the licensee may present to the Tribal Gaming A gency at the 

time and place designated by the Tribal Gaming Age ncy. Wlthln 

fifteen calendar days of receipt of such statement (s) or 

documentation, or the licensee's request or reconslderatlon, 

whichever is later, the Tribal Gaming Agency shall issue a 

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

the licensee may appeal the license suspension to the 

Commissioners of the Tribal Gaming Agency wlthin 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 primar y management 

official is submitted to the National Indian Gaming 

Commission, if the National Indian Gaming Commission requests 

more information, the Tribal Gaming Agency shall ensure that 

such information is provided. Such a request from the 

Tribal Gaming Agency shall suspend the thirty day period 

provided for in subsection (g) above, until the Chairman of 

the National Indian Gaming Commission receives the additional 

information. 

Section 703. Special Processins for Particular License A~~lications: Gamins 

Em~lovee's License and Gamins Facility License . 

(a) In the case of an application for a Gaming Employe e'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 the 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 t he following 

to the National Indian Gaming Commission: (i) a completed 

application for a license; (ii) a report on the background 

investigation undertaken by the Tribal Gaming Agency 

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

applicant is suitable to assume his or her duties in that the 

applicant poses no threat to the public interest or to the 

effective regulation of gaming, and does not create or 

enhance dangers of unsuitable, unfair, or illegal practices 

and methods and activities in the conduct of gaming. Such 

information shall be submitted as soon as practicable after 

the collection of the required information, but in no event 

later than 60 days following the applicant s completion of 

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

(c) In the case of applicants for key perso~el or primary 

management officials, the report on the background 

investigation undertaken by the Tribal Gamlng Agency shall 

detail: (i) the steps taken in conauct~ng the background 

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

conclusions reached; and (iv) the bases ior 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 Gamlng Agency, and only the Tribal 

Gaming Agency, is responsible for the conduct of 

the background investigations and suitability 

determinations; 

I 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; 
There shall be a list maintained in the office of 

the Estecutive Director setting forth the standard 

operating procedures for investigations, which at 

a minimum shall include the following: 

(i) verification in writing of all 

information submitted by the applicant; 

(ii) inquiry into the applicant's prior 

activities, criminal record, if any, and 

reputation, habits and associations; 

interview by telephone or meeting of a 

sufficient number of knowledgeable people 

such as former employers, personal 

references, and others identified on 

his/her application; exchange of 

information with all appropriate agencies; 

(iii) identification of, and documentation 

of, all potential problem areas and/or 

disqualifying information, and written 

disposition of all inquiries into such 

matters. 

(el In the event a Gaming mployee's License is not is sued to 

an applicant for a key personnel or prlmary management 

official position, the Tribal Gaming Agency shall notify 

the Indian National 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 

retain applications for employment and reports of 

background investigations for inspection by the Chairman 

of the National Indian Gaming Commission or his or her 

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

termination of employment. 

(9) In the case of an application for a Gaming Facility 

License or a renewal, modification or amendment thereto, 

the following protocols will apply: 

1. Officials of the Tribal Gaming Agency and 

officials of the Tribal Gaming Enterprise shall 

exchange information, plans and predispositions 

prior to the filing of a license application; 

2. Once the application is filed, the Tribal Gaming 

Agency may specify any terms or conditions it 

believes necessary or appropriate to assure the 

health and safety of patrons and employees of any 

such facility, to ensure the integrity of the 

Gaming Activities carried on at such facility, to 

protect the security of gaming proceeds, and to 

promote other interests of the Tribes in 

furtherance of and consistent with the provisions 

of this Ordinance; however, the Tribal Gaming 

Agency shall not deny an application for a Gaming 

Facility License unless it concludes that under 
no set of circumstances can the proposed facility 

be operated in a manner consistent with the 

requirements and purposes of this Ordinance; 

If dissatisfied with any terms or conditions 

imposed by the Tribal Gaming Agency as a 

prerequisite for granting a Gaming Facility 

License to it, the Tribal Gaming Enterprise may 

request that the Tribal Gaming Agency reconsider 

its determination. Upon such request for 

reconsideration, the Tribal Gaming Agency shall 

issue a written decision within fifteen calendar 

days of its receipt of the request for 

reconsideration. That decision shall be final 

and binding except that, in the event the Tribal 

Gaming Enterprise continues to be dissatisfied 

with the Tribal Gaming Agency's determination, 

the Tribal Gaming Enterprise may, within fifteen 

calendar days of the Tribal Gaming Agency's 

decision, formally present the issue or issues 

to Tribal Council for a binding and final 

decision. At a hearlng before Tribal Council, 

both the Tribal Gaming Enterprise and the Tribal 

Gaming Agency, shall present relevant evldence as 

to the merits of thelr respective positions. 

Section 704. ~ees for Licenses and Renewal of Llcenses . 

Applications for licenses or for renewal of llcenses must be 

accompanied by nonrefundable fees for the following categories of llcenses . Such 

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

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

Gaming Agency of processing such applications: 

(a) Fees for Gaming Facility Operator: 

1. Initial application fee. 

(A) Tribal Gaming Enterprise. 

(B) Member, Board of Directors. 

2. Annual renewal fees. 

(A) Tribal Gaming Enterprise. 

(B) Member, Board of Directors. 

(b) Fees for Gaming Manager's License: 

1. Initial application fee. 

2. Annual renewal fee. 

(c) Pees for ~anufacturer/~upplier License: 

1. Initial application fee. 

(A) Manufacturer/Supplier of Gaming Devices 

(B) Supplier of Gaming Services. 

(C) Third Party Financier. 
2. Annual renewal fees. 

(A) Manufacturer/~upplier of Gaming Devices. 

(B) Supplier of Gaming Services. 

(C) Third Party Financier. 

(dl Fees for Gaming Employee's License: 

1. Initial application fee. 

2. Annual renewal fee. 

(el Fees for Gaming Facility License. 

1. Initial application fee. 

2. Fee for the application for amendment of an existing 

Gaming Facility License. 

3. Renewal fee. 

(f The Tribal Gaming Agency may by regulation prescribe such 

other fees as it deems appropriate. 

Section 705. License Terms; Renewal. I 

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

Manufacturer/Supplier License and Gaming Employee8 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 Trlbal Gaming A gency, 

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 Gamlng Agency shall 

have a primary te+ 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. S~ecial Obliaations of Cornorate Licensees . 

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

Tribal Gaming Agency shall require by regulation that any licensed corporation, 

partnership or other entity shall give notice to the Tribal Gaming Agency of any 

material change in any information disclosed in the application for such 

license, including but not limited to, any change in its principals, within ten 

calendar days of such change. 

Chapter 8. Facility Inspection; Reporting Requirements. 

Section 801. Facility 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 

Ordinance, the Act and any other applicable laws o r regulations, and that in all 

other respects the facility's operation is in furtherance of the purposes o f this 

Ordinance. 

Section 802. Re~ortins Requirements : 

(a) The Tribal Gaming Agency shall require the Tribal Gaming Enterprise 

to file periodic Property Reports, which shall advise the Trlbal Gaming 

Enterprise of all le,ases for real or personal property entered into by the Tribal 
Gaming Enterprise., Such reports shall be filed not later than thirty calendar 

days after the effective date of the lease and shall include the following 

information: 

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

business of the lessor. 

2. Abrief description of the material terms of the lease. 

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

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

their occurrence. 

(b) The Tribal Gaming Agency shall require the Trlbal 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 identlfy every 

individual who is directly or indirectly engaged In the administration or 

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

Operation. The following classes of gaming employees shall be presumed to be 

actively and directly engaged in the administration or supervlslon of gamlng: 

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 reg ard 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 supemision 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. All individuals who may approve or extend to 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. ~ny 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 th e Gaming Facility; 

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

management policy. 
The annual hloyee Repor t shall also include a description of the gaming 

duties,' casino responsibilities and casino authority delegated to each 

individual identified in the report. Any changes, additions, or deletions to any 

information contained within the annual Bnployee Report which occurs subsequent 

to the filing of the report and prior to the filing of the report for the next 

calendar year shall be reported to the Tribal Gaming Agency in writing no less 

than ten calendar days after the end of the calendar quarter during which the 

change, addition os, deletion occurred. 

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

to file a Loan Report whenever the Tribal Gaming Enterprise applies for or 

receives, accepts or makes use of any cash, proper ty, 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 a mount 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 Tri bal Gaming Agency may require. 

Section 803. Independent Audits : 

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

an audited financial statement for each of its lic ensed Gaming Facilities at its 

own expense and at least annually, on a date to be establlsned by the Tribal 

Gaming Agency and at such other times as the Tribal Gaming Agency may requlre. 

(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 audit ing procedures appropriate for 

the gaming industry. Such independent certified public accountant shall submlt 

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 required by this 

Ordinance, the Act and any applicable laws or regulations. To facilitate the 

completion of such audits and presentation of such financial statements: 

(1) 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 ~ribal 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) theTribal 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 

andsubsidiary operations; and 
(iii) the Tribal Gaming Agency shall from time to time prescribe a 

uniform chart of accounts and accounting classifications in 

order to assure consistent and effective disclosure of 

financial information. 

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

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

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

$25,000.00 annually, except contracts for professional legal and accounting 

services. 

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

additional information, from either the Tribal Gamlng Enterprise or the 

independent accountant through the Tribal Gaming Enterprlse, regarding eith er the 

financial statement, the audit or both. In additi on, coples of all letters from 

the independent accountant to the Tribal Gaming Enterprlse regarding internal 

control matters shall be provided to the Tribal Gaming Agency wlthin thirty 

calendar days after receipt by the Tribal Gamlng Enterprise. 

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

Gaming Activities and Gaming Operations to the Nat ional Indian Gaming Commission 

and/or to the State Gaming Agency, as required by law. Nothing herein shall 

limit the Tribal Council or the Tribal Gaming Agency to requlre such further 

internal intermittent, or other audits as may be deemed approprlate. 

Chapter 9. Gaming operations; Internal Controls. 

Section 901. Scope of Permissible Gamins. 

The Gaming Activities permitted to be conducted within a licensed Gaming 

Facility on Tribal ~kds 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 

f11 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, Dam. 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 ~ctivities 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 Player Ase 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 of such 

facility. No person under 18 years of age shall be employed by the Tribal Gaming 

Enterprise or the Tribal Gaming Agency. No person under 21 years of age shall 

be employed in the service of alcoholic beverages at any Gaming Facility. The 

Tribal Gaming Agency shall by regulation establish measures by which The Tribal 

Gaming Enterprise shall enforce the provisions of this section. 
Section 904. Eni~lovee Gamina. 

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

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

Gaming Agency, or is an agent or employee of the T rlbal Gamlng EnteX-prise, 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 a1 1 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. Blot Machines and Gamins 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 thecompact, 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 ~ts employees, agents or 

affiliates shall, in the course of involvement wit h 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 Gamlng Operations. The 

undertaking of any such conduct or commission of a ny such action shall be deemed 

to be an unsuitable method of Gaming Activity oper ation and shall be grounds for 

disciplinary action by the Tribal Gaming Agency in accordance with the 

regulations of the Tribal Gaming Agency. Without limiting the generality of the 

foregoing, the following acts or omissions may be determined to be unsuitable 

methods of operation: 

(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; 

(d) Catering to, assisting, employing or associating with, either 

socially or in business affairs, persons who have been barred 

from Tribal Gaming Facilities pursuant to Section 505 (i) of 

this Ordinance, or with persons who have been identified in 

writing by the Tribal Gaming Agency or State Gaming Agency as 

persons of notorious or unsavory reputation, or with persons 

who have extensive police records, or with persons who have 

defied congressional investigative 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 Agenc y license in 

any position for which such a license is required; 

(£1 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 s uspension 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 Activltles; 

(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 11 per-event Gaming 

Activity conducted pursuant to a permit issued by the Tribal 

Gaming Agency; 

(j) Conducting, carrying on o r operating any cheating or thieving 

game or device on or off the Gaming Facllity 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 Gamlng 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 disclo sure of, any 

portion of the Gaming Facility, as authorized by applicable laws and regulations. 

Section 908. Internal Controls. 

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

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

hereunder. Internal controls include the plan of organization and all of the 

coordinate methods and measures adopted within a Gaming Operation to safeguard 

its assets, check the accuracy and reliability of its accounting data, promote 

operational efficiency and encourage adherence to prescribed managerial 

policies. Generically, internal controls shall include a system of accounting 

controls and a system of administrative controls. 
(b) The system of accounting controls shall be governed by the following 

considerations: . - 

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

procedures and records that will permit reasonable assurance that 

the following objectives will be maintained: 

' (i) safeguarding of assets; 

(ii) reliability of financial records; 

(iii) execution of transactions in accordance with 

management's general or specific authorization; 

(iv) recording of transactions as necessary to permit 

recording of gaming revenue and to maintain 

accountability for assets; 

access to assets only in accordance with management's 

authorization; 

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 recelpts 

and gross revenues at least daily, which system shall be 

appropriate to the types of Gamlng Activities carried on at 

the facility and the physical characteristics of the system 

utilized for collection of cash at the facility. 

3. The Tribal Gaming Agency may prescribe accounting regulations 

detailing treatment of credit for purposes of computing gross 

revenue. 

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

Agency shall require that all bank accounts maintained by the 

Tribal Gaming Enterprise shall be made known to it and that 

such bank accounts shall be identified by bank and account 

number and that all signatories to such accounts shall be 

identified by name. 

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

following considerafions: 

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

that will set forth an organizational chart showing 

appropriate segregation of functional responsibilities and a 

regimen of sound practices to be followed in the performance 

of such segregated functional responsibilities. 

The plan of organization shall be both diagrammatic and 

narrative and shall clearly describe and depict the 

interrelationship of organizational job functions and the 

division of functional responsibilities upon which the system 

of internal organizational and administrative control is 

based. 
(d) The 0verall System of accounting and administ rative internal controls 

shall be accompanied by a report of an independent public accountant licensed in 

the appropriate State stating that such system con forms 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. 

Chapter 10. Not,ices of Violation; Complaints and Disciplinary Actions. 

Section 1001. Notice of Violation. 

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

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

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

not limited to, any of the grounds for disciplinary action listed in Section 

9071, the Act or any other applicable laws or regulations. A copy of such notice 

shall also be forwarded to the appropriate State Gaming Agency. 

(b) A notice of violation shall contain: 

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

federal law that has been or is belng 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 wlcnin fifteen 

calendar days from receipt of the notlce of vlolation or, if 

contested or explained in wrltlng pursuant to subsection (b) 

(6) hereof, within fifteen calendar days of the Tribal Gaming 

'~~enc~~s ultimate determination on the matter; 

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

or could be imposed if the violation is not corrected; 

6. notice that a written response to the notice of vlolation 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 a civil penalty in accordance with the provisions of 

this Ordinance; 

3. forcibly remove the violator from the Gaming Facility; 
4. seize the Gaming Facility and all equipment, records and 

proceeds of the Gaming Activities located within the Gaming 

Facility; or 

5. upon consultation with the Tribes's Attorney General, initiate 

in the Tribal Court a civil complaint to enforce the 

Ordinance, regulations of the Tribal Gaming Agency, the 

Compact or the Act. 

(dl 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. In the event of an adverse 

decision from the Tribal Gaming Agency, the party responding to the notice of 

violation may, within fifteen calendar days, appeal the matter to the 

consideration of the Commissioners of the Tribal Gaming Agency pursuant to 

procedures set forth in the Tribal Gaming Agency's Administrative Procedure 

Protocol. The decision of the Commissioners of the Tribal Gaming Agency shall 

be final unless theTriba1 Gaming Enterprise determines that it is in its best 

interests to appeal the matter to the Tribal Council, in whlch case a notice of 

appeal must be made within five calendar days of the Commlssionerst decislon. 

In the event of an appeal from the Commissionerst declsion, Trlbal Councll shall 

exercise its discretion about whether to entertain the appeal, and lf lt doss 

choose to entertain the appeal, shall decide the issue according to falr and 

impartial principles of due process. Any decision by Tribal Council shall be 

final and not subject to appeal or review by Tribal Court or any other ~ualclal 

forum. 

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

refusal (by referral or otherwise) by Trlbal Counc 11 to entertaln an appeal. the 

party responding to a notice of violation may appe a1 the matter to Tribal Court. 

In such instance, however, the Court's power of review shall be limited to issues 

of due process, civil rights and constitutionality, and shall not entail any 

determination regarding the merits or correctness of the underlying 

administrative decision. In addition, if the Tribal Gaming Agency takes any 

summary action pursuant to subsection (£1 hereof, the party against whom such 

action is taken may move the Tribal Court for a re straining 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 decislon or, if 

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

Agency may summarily suspend any license issued under this Ordinance or tak e such 

other immediate action if the continued licensing of, or conduct by, a person or 

entity constitutes an immediate threat to the public health, safety or welfare. 

Section 1002. Investisation of Corn~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 ln 

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

properly maintained in accordance wlth 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 to the complaint, the 

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

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

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

the Executive Director shall issue a notice of violation in accordance with the 

provisions of this Chapter. 

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

Patrons and/or Other Individuals or Entities. 

Section 1101. Patron Dis~utes. 

The Tribal Gving Enterprise shall notify the Tribal Gamlnq Agency of every 

dispute with a patron; moreover 

(a) wheneier the Tribal Gaming Enterprise ref uses payment of alleged 

wi~ings to a patron, and the Tribal Gamlng Enterp rise and the patron are unable 

to resolve the dispute to the satisfaction of the patron, and the dlspute 

involves : 

1. At least five hundred dollars ($5001, the Trlbal Gamlng 

Enterprise shall immediately notify the Tribai Gamlng Agency; 

or 

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

Enterprise shall inform the patron of his or her right LO 

request that the Tribal Gaming Agency shall conduct whatever 

investigation it deems necessary and shall determine whether 

payment should be made. 

(b) The Tribal Gaming Agency shall mail wrltten notice by certified mall, 

return receipt requested, to the Tribal Gaming Enterprise and the patron of its 

decision resolving the dispute within thirty calendar days after the date that 

the Tribal Gaming Agency first receives notification from the Tribal Gamlng 

Enterprise or a request to conduct an investigation from the patron. 

(c) The decision of the Tribal Gaming Agency is effect ive on the date it 

is received by theaggrieved party as reflected on the return receipt. 

(d) Within thirty calendar days after the date of rece ipt of the written 

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

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

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

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

Enterprise. The ~ribal Gaming Agency shall then issue a written decision and 

shall mail it to the parties by registered mail or certified mail, return r eceipt 

requested. The decision of the Tribal Gaming Agency shall be final and binding 

upon the patron and the Tribal Gaming Enterprise and shall not be subject to 

judicial review or other legal action. 
Section 1102. Limits of Contractual and Tort Liability : 

'' The Tribal Gaming Enterprise shall enjoy sovereign immunity as an entity 

of -the Tribes's Government, but shall waive such sovereign immunity and be 

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

hareinafter. The .Tribal.Gaming Enterprise may be sued for breach of contract: 

however, the liability of the Tribal Gaming Enterprise in contract shall be 

limited to actual 'contractual losses and/or any appropriate injunctive relief, 

but shall not include special damages or punitive damages. The Tribal Gaming 

Enterprise may be sued for intentional or negligent tortious conduct, including 

wrongful death; however, the liability of the Tribal Gaming Enterprise in tort 

shall be limited to compensatory damages not in excess of the liability limits 

under the insurance coverage maintained by the Tribal Gaming Enterprise, and 

shall not includeanticipated profits, damages for mental distress, punitive 

damages or any other measure of damages in excess of the actual sustained loss. 

Section 1103. ~iiits of Liabilitv for Tribal Gamins AcenCY . 

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

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

actions as are provided for in this Ordinance, or such sults or actlons for which 

the Tribes unilaterally agree to waive the sovereign immunity defense of the 

Tribal Gaming Agency. 

Chapter 12. Offenses and Remedies. 

Section 1201. Offenses. 

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

(a) conduct or operate any Gaming Activities withln Trlbai Lands 

except as provided in this Ordinance; 

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

proceeds or other asset of any Gaming Actlvlty to the benefit OF any individual or other person except as author ized by this 

Ordinance or by any duly enacted Resolution of the Tribal 

Council : 

(c) tamper with any equipment used in the conduct of Gaming 

Activities with the intent to cause any person to win or lose 

any wager other than in accordance with the public ly 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 a~o~nced r ules of such 

Gaming Activities; 

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

the Tribal Gaming Enterprise, while such person is the 

Executive Director, a Commissioner of the Tribal Gaming 

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

(£1 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 Tribes's Gaming Facilities pursuant 

to Section 505 (i) of this Ordinance. 
(g) . enter the Gaming Facilities while bearing a firearm or other 

deadly weapon unless specifically authorized by the Tribal 

Gaming Agency to do so. 

Section 1202. Penalties. .-. Any individual who violates any provision of this Ordinance or the Compact 

shall be subject to civil penalties including exclusion from employment by a 

Gaming Facility Operator, exclusion from attendance at any Trlbal Gamrng 

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

civil penalty of not more than $10,000 for each such violation. Such penalty 

shall be within the jurisdiction and discretion of the Tribal Gaming Agency as 

set forth in Chapter 10 of this Ordinance. 
Section 1203. Civil Remedies. 

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

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

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

Compact or the Act occurring on Tribal Lands. 

CERTIFICATION 

The foregoing ordinance was Ausust 31, 1994, duly approved by a vote of 

- 5 for and Q against, Q abstaining, by the Tribal Council of the Colorado 

River Indian Tribes, pursuant to authority vested in it by Article VI of the 

Constitution of the Tribes, ratified by the Tribes on March 1, 1975, and ap proved 

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 as of 

Auuust 31, 1994. 

COLORADO RIVER INDIAN TRIBES 

COLO-0 RIVER INDIAN TRIBAL COUNCIL