Facility and its surrounding premises as it deems appropriate to the
management and operation of the business and for the protection of the
patron's property and the Gaming Facility Operator's property from illegal
activity.

[History: Section 502 Revised and Amended by Resolution 55-06]

Section 503. Business Operations

(a) Business Operations Pursuant to the approval of the Tribal Gaming Board, the
Gaming Facility Operator shall establish and adhere to policies and procedures which provide
for the operation and management of the Gaming Facility, which shall be reviewed and
approved by the Tribal Gaming Board. Eleven (11) Copies of these policies shall be provided
to the Tribal Gaming Office, but the Tribal Gaming Office shall have no power to amend or
revise such policies, or to preclude the Gaming Facility Operator from enforcing them unless
such policies and procedures are deemed to be in contravention of this Code, the Compact, or
its appendices. In such case, the Tribal Gaming Office shall notify the Tribal Gaming Board
of its concerns and shall work cooperatively with the Tribal Gaming Board to resolve such
issues.

[History: Section 503 Revised and Amended by Resolution 55-06]

Section 504. Environmental Protection

(a) The Nation shall construct, maintain and operate the gaming Facility in a manner
that adequately protects the environment and the public health and safety.

[History: Section 504 Added 05-04-06 and Revised 7-13-06 by Resolution 55-06]

16


1. No Person who is employed by the Security Department, Information
Technology or the Surveillance Department may, at any time, play any Class II
or Class Ill Gaming;

2. No card room supervisor or management employee shall be permitted
to place a Wager in any game of poker operated by the Gaming Facility
Operator, except that, so long as the Nation operates no more than ten poker or
Jackpot poker tables at one time, an on-duty floor person may act as a
Proposition Player pursuant to procedures established by the Gaming Facility
Operator and approved by the Commission and the State Gaming Agency,
when such play by the floor person is necessary to keep a poker game
operating; and

3. No Gaming Employee shall make a Wager in any blackjack game
operated by the Gaming Facility Operator.

[History: Section 807 Revised and Amended by Resolution 55-06]
Section 808. Prohibition Against Self-Dealing

(a) Commissioners, Tribal Gaming Board members. Gaming Employees and
employees of the Tribal Gaming Office shall not:

1. Accept any form of incentive, tip or other thing of value from any
patron or guest, or any Distributor, Gaming Service provider, Manufacturer,
fellow employee or any other Person, except that employees of the Gaming
Facility Operator may accept such incentive, tip or other thing of value where
it is specifically made permissible under the Compact and its appendices or
this Code;

2. Use their position as Gaming Employee, Tribal Gaming Board
member, Commissioner or employee of the Tribal Gaming Office for personal
gain or to obtain a benefit or other thing of value for any other Person,
including, but not limited to, members of the employee's family or friends or
fellow employees.

(History: Section 808 Revised and Amended by Resolution 55-06]

37


shall be defined as the systematic planning, administration, management or
execution of an activity for financial gain;

12. Isa career offender or a member of a career offender organization or an
associate of a career offender or career offender organization in such a manner
which creates Probable Cause to believe that the association is of such a nature
as to be detrimental to the proper operation of the authorized gaming or related
activity on the Indian Lands of the Nation. For the purposes of this paragraph,
career offender shall be defined as any Person whose behavior is pursued in an
occupational manner or context for the purposes of economic gain utilizing
such methods as are deemed criminal violations of Tribal law, Federal law or
the laws and the public policy of this State. A career offender organization
shall be defined as any group of Persons who operate together as career
offenders;

13. Is a Person whose prior activities, criminal record, if any, reputation,
habits and associations pose a threat to the public interest of the Nation creates
or enhances the dangers of unsuitable, unfair or illegal practices, methods and
activities in the conduct of Gaming Activity or the carrying on of the business
and financial arrangements incidental thereto;

14. Fails to keep sufficient books and records to substantiate the reports
required by this Gaming Code or falsifies any books and records related to any
Gaming Activity;

(b) Emergency suspension. If in the judgment of the Commission, the public interest,
the effective regulation and control of Gaming Activities, or the safe, fair and honest conduct
of Gaming Activities so require, the Commission may suspend a License immediately subject
to the holding of a due process hearing as described herein. Such suspension shall take effect
upon Service of the Notice as provided in Section 718(b) of this Code on the Licensee.

(c) Immediate confiscation of license/badge. Only in the case of suspected criminal
activity may the Executive Director or Tribal Gaming Office immediately confiscate a
license/badge prior to an order of Emergency Suspension by the Commissioners pursuant to
Section 717(b).

[History: Section 717 Revised and Amended by Resolution 55-06]

Section 718. Licensee's Right to Due Process in Proceedings to Suspend, Revoke or Non-
Renew a Tribal Gaming License.

(a) A Licensee has a property interest in his/her Tribal Gaming License which may
not be suspended, revoked or non-renewed by the Commission without due process. Such
property interest is protected by the Yavapai-Apache Nation Constitution.

(b) Due Process Notice Procedures. Following its investigation, but prior to
suspending, revoking, or non-renewing a Gaming License, the Commission shall provide a
Notice of Intent to Suspend, Revoke, or Non-renew to the Licensee. Such Notice shall be
based on Probable Cause, shall set forth the applicable grounds for suspension, revocation or

33


(b) Any Person who violates this Gaming Code, the Compact or the appendices, or
applicable Tribal, Federal or State law, or whose employees or agents in the course of their
employment or agency violate this Gaming Code, the Compact or the appendices, or
applicable Tribal, Federal or State law, may have the privilege to engage in business on the
Indian Lands of the Nation suspended or terminated by the Tribal Court.

[History: Section 1005 Revised and Amended by Resolution 55-06]
Section 1006. Arbitration

(a) Any party to an action brought under Chapter 10 in Tribal Court except for a
defendant in an action for Trespass, may demand binding arbitration in lieu of a Tribal Court
action to resolve disputes arising under this Gaming Code, by submitting a written demand for
arbitration with the Tribal Court. If the action has already been filed in the Tribal Court, the
Tribal Court shall not review the merits of the pending action or proceeding, but shall stay the
action or proceeding until an arbitration has been held in compliance with the Nation's
Arbitration Code.

(b) At any time during an arbitration, upon request of all parties to the arbitration, the

arbitrator(s) may make application to the Tribal Court for advice on any question of tribal or
state law.

[History: Section 1006 Revised and Amended by Resolution 55-06]

42


45.

46.

47.

48.

49.

50.

51.

c. The player uses the dispensed ticket to participate in an off-site random
drawing; and

d. The player's ability to play against the terminal for immediate payment or
reward is eliminated.

"Premises" means any room, hall, building, enclosure, outdoor, or other area where a
Gaming Activity is conducted.

"Primary Management Official" means the Person having management responsibilities
under a Management Contract; or any Person who has authority to hire and fire
employees or to set up working policy for a Gaming Operation; or the chief financial
officer or other Person who has financial management responsibility for a Gaming
Operation.

"Principal" means with respect to any Person:

a. Each of its officers and directors;

b. Each of its principal management employees, including any chief executive
officer, chief financial officer, chief operating officer or general manager;

c. Each of its owners or partners, if an unincorporated business;

d. Each of its shareholders who own more than ten (10) percent of the shares of
the corporation, if a corporation, including a proxy, trustee, agent or delegate
authorized to exercise any right of a shareholder of more than ten (10) percent
of the shares of the corporation;

e. Each person, other than a qualified banking institution insured by the Federal
Deposit Insurance Corporation, who has provided financing for the entity
constituting more than ten (10) percent of the total financing of the entity; and

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

"Probable Cause" means a reasonable ground for belief in certain alleged facts; more
than mere suspicion is required.

"Proposition Player" means a player who receives a salary, wage, or fixed sum from
the Gaming Facility Operator for playing in short games (those with empty seats),
starting new games or filling in where needed. Although a Proposition Player works
for the Gaming Facility Operator, the Proposition Player plays his or her own money,
retains his or her winnings and absorbs his or her losses.

"Refusal of Service" means a written notification by the Gaming Facility Operator to a
Person who is disorderly, rude, intoxicated, causing a public disturbance, or engaging
in unlawful behavior, which excludes the Person from the Premises for a specified
period of time. Refusal of Service is an action by the Gaming Facility Operator which
temporarily or permanently bans individuals from the Gaming Facility for such
reasons as the Gaming Facility Operator shall determine appropriate.

"Regulation" or "Gaming Regulation" means a written rule duly promulgated by the
Tribal Gaming Office, pursuant to Chapter 11 of this Code, representing the position
of the Tribal Gaming Office as to how the Compact, its Appendices, and this Code are

10


1. The failure of the Gaming Facility Operator or the Tribal Gaming
Office, to withhold or restore gaming privileges from or to a Self-Excluded
Person; or

2. Otherwise permitting a Self-Excluded Person to engage in Gaming
Activity while on the list of Self-Excluded Persons.

(b) Neither the Nation, the Gaming Facility Operator, the Tribal Gaming Board, the
Tribal Gaming Office, nor any employee thereof shall be liable to any Self-Excluded Person
or to any other party in any proceeding, and neither the Nation, the Gaming Facility Operator,
the Tribal Gaming Board, the Tribal Gaming Office, nor any employee thereof shall be
deemed to have waived their sovereign immunity with respect to any Person for any harm,
monetary or otherwise, which may arise as a result of disclosure or publication in any manner,
other than a willfully unlawful disclosure or publication, of the identity of any Self-Excluded
Person.

[History: Section 1404 Revised and Amended by Resolution 55-06]

52


CHAPTER 14: PROBLEM GAMBLING; SELF-EXCLUDED PERSONS
Section 1401. Notification to Problem Gamblers

(a) At all public entrances and exits of each Gaming Facility, the Gaming Facility
Operator shall post signs stating that help is available if a Person has a problem with gambling
and providing the State-wide toll-free crisis hotline telephone number established by the
Arizona State Lottery Commission.

[History: Section 1401 Revised and Amended by Resolution 55-06]

Section 1402. Self-Excluded Persons

(a) The Tribal Gaming Office shall require that the Gaming Facility Operator take
reasonable measures to deter entry into the Gaming Facilities of the Nation, and identify and
bar the participation in any Gaming Activities of the Nation by all Self-Excluded Persons.
These reasonable measures shall include, but are not limited to, the following:

1. Removing all Self-Excluded Persons from the Gaming Facility
Operator's mailing lists and revoking the slot or player's cards for all Self-
Excluded Persons;

2. Requiring that cage personnel check a Person's identification against
the State Gaming Agency's list of Self-Excluded Persons before allowing the
Person to cash a check or complete a credit card cash advance transaction;

3. Requiring that any Person identified as a Self-Excluded Person who
may have gained entry to the Gaming Facility is promptly escorted from the
Gaming Facility by the Gaming Facility Operator;

4. Posting signs at all public entrances of the Gaming Facilities of the
Nation warning that entry into the Gaming Facilities of the Nation by any Self-
Excluded Person is willful Trespass which may subject the Self-Excluded
Person to criminal prosecution and/or civil suit in the Tribal Courts of the
Yavapai-Apache Nation;

5. Prohibiting the payment of any hand-paid jackpot to any Person
identified by the Gaming Facility Operator as a Self-Excluded Person. Any
jackpot won by a Person on the self-exclusion list shall be donated by the
Gaming Facility Operator to a non-profit charitable organization in Arizona;

6. Advising Persons who inquire about self-exclusion of the existence of
State Gaming Agency's self-exclusion list, and the current telephone number,
address, and internet website address of the State Gaming Agency that the
Person can contact for placement on the self-exclusion list;

50


CHAPTER 17: LAW ENFORCEMENT AND EMERGENCY PERSONNEL

Section 1701. Cooperation with Law Enforcement

(a) The Tribal Gaming Office and the Gaming Facility Operator shall cooperate with
law enforcement officials of the State of Arizona, the Bureau of Indian Affairs, the Federal
Bureau of Investigation, and other law enforcement agencies and shall coordinate with the
State regarding the use of resources, authority, and personnel for the shared goal of preventing
and prosecuting criminal and undesirable activity by players, employees, or businesses in
connection with the Gaming Facility.

[History: Section 1701 Revised and Amended by Resolution 55-06]

Section 1702. Law Enforcement Service Plan

(a) The Gaming Facility Operator shall implement a written law enforcement services
plan in compliance with the provisions of Section 13(e) of the Compact that provides a
comprehensive and effective means to address criminal and undesirable activity at the
Gaming Facility, including but not limited to sufficient law enforcement resources that are to
be available twenty-four (24) hours a day, seven days per week and employment of a police
officer (either by the Gaming Facility Operator or the Yavapai-Apache Police Department)
holding current Arizona police officer standards and training certification, to be assigned to
handle gaming-related matters when they arise.

(History: Section 1702 Revised and Amended by Resolution 55-06]
Section 1703. Emergency Medical and Fire Suppression

(a) The Gaming Facility Operator shall make provisions for adequate emergency
accessibility and service. Such provisions shall include a written emergency medical and fire
suppression plan to be approved by the Tribal Gaming Office that includes all steps
reasonably appropriate to ensure the on-going availability of sufficient emergency services to
the Gaming Facility in compliance with the Compact.

[History: Section 1703 Revised and Amended by Resolution 55-06]

56


Section 1807. Unlawful Dissemination of Information Concerning Racing; Exemptions,
Penalty

(a) It shall be unlawful for any Person to furnish or disseminate any information in
regard to racing or races, from any point within the State to any point outside the State, by
telephone, telegraph, teletype, radio or any signaling device, with the intention that the

information is to be used to induce betting or wagering on the result of the race or races, or
with the intention that the information is to be used to decide the result of any bet or wage
made upon the race or races.

1. This Section does not prohibit:

(i) A newspaper of general circulation from printing and disseminating
news concerning races that are to be run or the results of races that have
been run; or

(ii) The furnishing or dissemination of information concerning wagers
made in an off-track pari-mutuel system of wagering authorized under
this Code, the Compact or its appendices.

[History: Section 1807 Revised and Amended by Resolution 55-06]

Section 1808. Detention and Questioning of Persons Suspected of Violating Tribal,
Federal or State law; Limitations on Liability and Posting of Notice

(a) Authorities who question any Person suspected of violating any Tribal, Federal or
State law, or any provision of this Code, the Compact or its appendices shall not be criminally
or civilly liable for:

1. The questioning of a suspected violator; or

2. Any report given to the Tribal Gaming Office, the Gaming Facility
Operator, the State Gaming Agency, Federal or State regulatory authorities, or
law enforcement authorities regarding the identity of a Person suspected of
violating any Tribal, Federal or State law, or any provision of this Code, the
Compact or its appendices.

(b) Any regulatory, public safety, security service provider or law enforcement
authority who has probable cause to believe that a Person has violated Tribal, Federal or State
law, while in a Gaming Facility located on the Indian Lands of the Nation, may take such
Person into custody and detain such Person in a reasonable manner and for a reasonable
length of time.

(c) Such taking into custody and detention shall not render the authority criminally or

civilly liable unless it is established by clear and convincing evidence that the custody and
detention was wholly unreasonable under all the circumstances.

60


CHAPTER 13: CONDUCT OF CLASS II AND CLASS Il GAMES

Section 130]. Class I Games

(a) The Nation may authorize the establishment and conduct of Class II Gaming at
designated locations on the Indian Lands of the Nation, including, but not limited to, poker,
Bingo, Lotto, pull-tabs, and tip jars, except that poker shall only be conducted under the limits
and pursuant to the restrictions set forth in the Compact and Appendix F(2), and the
Memorandum of Understanding Regarding Poker Between the Yavapai-Apache Nation and
the State of Arizona entered into on December 27, 2002, so long as such limits and
restrictions do not infringe upon the jurisdiction of the National Indian Gaming Commission
over the regulation of Class II Gaming.

[History: Section 1301 Revised and Amended by Resolution 55-06]
Section 1302. Class II Games

(a) Class III Gaming, including but not limited to Class II Gaming Devices,
blackjack, jackpot poker, Keno, lottery, off-track pari-mutuel wagering, pari-mutuel wagering
on horse racing, and pari-mutuel wagering on dog racing may be conducted or operated on the
Indian Lands of the Nation, only in conformance with the Compact and its appendices.

[History: Section 1302 Revised and Amended by Resolution 55-06]
Section 1303. Designation of Officer in Charge

(a) The Gaming Facility Operator shall designate a Person or Persons to be the officer
in charge of the Gaming Facility at all times. The officer in charge shall be primarily
responsible for the operation and conduct of Class II or Class III Gaming in the Gaming
Facility. The officer in charge must have obtained a License from the Tribal Gaming Office
at least ten (10) days prior to the Occasion. There shall be an officer in charge to supervise all
Gaming Activities and who shall be present on the Premises continuously during the conduct
of Gaming Activities and, if the Gaming Facility otherwise does not operate on a twenty-four
(24) hour basis, for a period of at least one (1) hour after the last Gaming Activities of the
Occasion has been completed.

[History: Section 1303 Revised and Amended by Resolution 55-06]
Section 1304. Merchandise Prizes

(a) When any merchandise is awarded as a prize in Class II] Gaming, the value of
such merchandise shall be its current retail price. Merchandise awarded, as a prize may be
redeemable or convertible into cash, as long as the cash amount equals the value of the
merchandise. A sign shall be posted that explains to the player that the top award
merchandise or the cash equivalent, as stated in U.S. dollars, will be awarded for the winning
combination of symbols stated on the award glass.

48


(ii) gross neglect of duty as defined in the Nation's Human Resources
policies or malfeasance in office.

3. Not less than twenty (20) nor more than thirty (30) days following
receipt of the request for removal, the Tribal Council shall determine whether
Probable Cause appears to convene an administrative hearing for the purpose
of determining if cause exists for removal of the Commissioner;

4. If the Tribal Council determines that Probable Cause exists, the
Commissioner shall be given written notice and a full opportunity, either in
person or through a representative of his or her choice, to answer or otherwise
respond to any and all charges against him or her at an administrative hearing;
and

5. If the Tribal Council determines by majority vote that removal for
cause has been established by a preponderance of the evidence, the Tribal
Council shall remove the Commissioner.

(d) Resignations and Vacancies. Any Commissioner may resign at any time by
giving written notice of such to the Secretary of the Commission and to the Secretary of the
Tribal Council. The resignation shall become effective at the time specified in such notice.
Any Commissioner vacancy, however caused, shall be filled for the unexpired portion of the
vacated Commissioner's term by another qualified person appointed by the Tribal Council.

(e) Motions and Resolutions; Meetings; Quorum. All official actions of the
Commission shall be taken by motion or resolution approved by the affirmative vote of a
majority of the Commissioners. In the case of an emergency, the Commissioners may
participate in meetings via electronic communications, whereby, each Commissioner can hear
and speak to the other Commissioners in real time.

1. Executive Director:

The Tribal Council shall hire an Executive Director of the Tribal Gaming
Office who shall serve as the formal liaison to the person holding the similarly
titled position with the State Gaming Agency and have overall responsibility
for the administrative functions of the Tribal Gaming Office. The Executive
Director shall be a salaried full time employee of the Nation, subject to the
Nation's Human Resources policies and shall devote his/her full efforts and
diligence to the position.

2. Duties and Responsibilities:

(i) To oversee the daily operations of the Tribal Gaming Office and to
supervise its staff;

20


CHAPTER 9: NOTICE OF VIOLATIONS AND DUE PROCESS FOR AGGRIEVED
PERSONS

Section 901. Investigation Responsibilities

(a) The Tribal Gaming Office has the responsibility for investigating Compact
Violations, Gaming Code Violations and internal Regulatory Violations, when such
investigation is reasonably necessary to ensure the integrity of gaming, the protection of
persons and property, and compliance with the Compact and its Appendices, this Gaming
Code, and Regulations duly promulgated pursuant to Chapter 11 of this Code.

[History: Section 901 Revised and Amended by Resolution 55-06]

Section 902. Notice Procedures

(a) The Tribal Gaming Office shall serve written notice on the Person who caused the
alleged violation, with copies to the Department Director, the General Manager of the Gaming
Facility Operator, and the Tribal Gaming Board.

(b) The notice shall specify whether it is a Compact Violation, which is also reported
to the State, or a Gaming Code Violation or Internal Regulatory Violation, which is not
reported to the State. The notice shall also set forth the specific facts giving rise to the alleged
violation, which the Commissioners have Probable Cause to believe the Person has committed
and shall cite the applicable provisions of the Compact, the Gaming Code, or the applicable
Regulation.

(c) The Commission shall include in the notice any recommended courses of action to
resolve the alleged violation and a reasonable time period to take corrective action.

(d) In the case of a Compact Violation which is reported to the State, the Commission
shall file a follow-up report with the State, indicating the corrective action taken, with a copy
to the Tribal Gaming Board.

(History: Section 902 Revised and Amended by Resolution 55-06]

Section 903. Hearing Procedures

(a) Any Aggrieved Person upon receiving a written notice of violation under this
section may request in writing, within 10 days, a due process hearing in front of the
Commission. The Commissioners shall notify the Aggrieved Person of the place and date of a
hearing, such date to be not more than thirty (30) days after receiving such request. The
Aggrieved Person may request a different hearing date, which request shall not be
unreasonably refused.

38


REVISED GAMIN iG CODE OF THE YAVAPAEAPACHE NATION

CHAPTER ONE: GENERAL PROVISIONS

SECTION 101. ENACTMENT OF THE Y AVAPAI-APACHE NATION GAMING CODE
SECTION 102. PURPOSE

SECTION 103. OWNERSHIP OF GAMING ENTERPRISE

SECTION 104. CONSTRUCTION

CHAPTER TWO: DEFINITIONS

CHAPTER THREE: NOTICE PROVISION
SECTION 301. NOTICE

CHAPTER FOUR: GAMING POLICY
SECTION 401. GAMING ACTIVITY PROHIBITED
SECTION 402. REPORTING TO THE GAMING COMMISSION

CHAPTER FIVE: GAMING FACILITY OPERATOR
SECTION 501. RESPONSIBILITIES

SECTION 502. SAFETY AND SECURITY

SECTION 503. BUSINESS OPERATIONS

SECTION 504. PROTECTION OF ENVIRONMENT

CHAPTER SIX: YAVAPAI-APACHE NATION GAMING COMMISSION
SECTION 602. STRUCTURE OF COMMISSION
SECTION 602. RIGHT OF INSPECTION

CHAPTER SEVEN: LICENSE FOR OPERATING AND CONDUCTING GAMING ACTIVITY

SECTION 701. GAMING FACILITY OPERATOR AND GAMING VENDORS

SECTION 702. GAMING EMPLOYEES

SECTION 703. NON-GAMING EMPLOYEES

SECTION 704. LODGE EMPLOYEES

SECTION 705. TRIBAL GAMING OFFICE EMPLOYEES AND COMMISSIONERS

SECTION 706. UTILIZATION OF GAMING EMPLOYEES

SECTION 707. LICENSE APPLICATION

SECTION 708. BACKGROUND INVESTIGATION

SECTION 709. TEMPORARY GAMING LICENSE

SECTION 710. ELIGIBILITY DETERMINATION

SECTION 711. ADDITIONAL BACKGROUND INVESTIGATION

SECTION 712. PROCEDURES FOR FORWARDING APPLICATION AND REPORTS FOR KEY EMPLOYEES AND PRIMARY
MANAGEMENT OFFICIALS TO THE NATIONAL INDIAN GAMING COMMISSION

SECTION 713. REPORT TO THE NATIONAL INDIAN GAMING COMMISSION

SECTION 714. DURATION AND RENEWAL OF TRIBAL LICENSES

SECTION 715. EMPLOYEE STANDARDS

SECTION 716. OBLIGATION TO DISCLOSE POSSIBLE GROUNDS FOR DENIAL, SUSPENSION OR NON-RENEWAL;
OBLIGATION TO DISCLOSE CHANGE OF PRINCIPALS

SECTION 717. GROUNDS FOR REVOCATION, SUSPENSION, DENIAL OR NON-RENEWAL

SECTION 718. LICENSEE'S RIGHT TO DUE PROCESS IN PROCEEDINGS TO SUSPEND, REVOKE OR NON-RENEW
GAMING LICENSE



3. Is determined to be a person whose prior activities, criminal record if
any, or reputation, habits, and associations pose a threat to the public interest
or to the effective regulation and control of gaming, or create or enhance the
dangers of unsuitable, unfair, or illegal practices, and methods, and activities in
the conduct of gaming or the carrying on of the business and financial
arrangements incidental thereto.

[History: Section 715 Revised and Amended by Resolution 55-06]

Section 716. Obligation to Disclose Possible Grounds for Denial, Suspension, Revocation
or Non-Renewal; Obligation to Disclose Change of Principals.

(a) After an Applicant has first submitted an application to the Tribal Gaming
Office or has been licensed by the Tribal Gaming Office, such Person shall have an ongoing
and affirmative obligation to promptly and in writing disclose to the Tribal Gaming Office
any subsequent grounds for revocation, suspension, denial or non-renewal of such Person's
license including, but not limited to, those grounds set forth at Section 717 of this Code.

(b) After any Applicant who is not a natural person is licensed by the Tribal
Gaming Office, such entity shall file a report of each change of its Principals with the Tribal
Gaming Office and the State Gaming Agency. Each new Principal shall file a complete
application within (30) days after the change of Principal takes place, regardless of whether
the change occurs by appointment, election, or some other means. The Tribal Gaming Office
shall forward a copy of the application to the State Gaming Agency. The entity's License shall
remain valid unless the Tribal Gaming Office disapproves the change or denies the
application. Pursuant to the Compact, the entity's certification also shall remain valid unless
the State Gaming Agency disapproves the change or denies the application.

[History: Section 716 Revised and Amended by Resolution 55-06]
Section 717. Grounds for Revocation, Suspension, Denial or Non-Renewal

(a) The Commission may revoke, suspend, deny or refuse to renew a License when
the Applicant or Licensee:

1. Has been determined by the National Indian Gaming Commission to
not be eligible for employment. If, after a License has been issued, the Tribal
Gaming Office receives reliable information from the National Indian Gaming
Commission that a Key Employee or Primary Management Official is not
eligible for employment, the Commission shall suspend such License and shall
notify in writing the Licensee of the suspension and the proposed revocation.
After a revocation hearing, the Commission shall decide to revoke or to
reinstate the Gaming License, and it shall notify the National Indian Gaming
Commission of its decision;

31


CHAPTER 6: YAVAPAI-APACHE NATION GAMING COMMISSION
Section 601. Structure of Commission

(a) The Yavapai-Apache Nation Gaming Commission is established to oversee the
Tribal Gaming Office and to carry out the regulation of Gaming Activities on the lands of the
Yavapai-Apache Nation, subject to the provisions of this Gaming Code.

1. Commissioners:

There shall be five (5) Commissioners who are Enrolled Tribal Members
appointed by the Tribal Council. Each Commissioner shall serve for a term of
five (5) years; provided that, in order to stagger the expiration of terms of
office, the first Commissioner appointed shall serve a five-year term, the
second Commissioner appointed shall serve a four-year term, and the third
Commissioner appointed shall serve a three year term. A Commissioner may
serve after the expiration of his or her term of office until a successor has been
appointed, unless such Commissioner has been removed for cause under
Chapter 601(c) of this Code.

(i) Qualifications:

No Person shall be eligible or qualified to serve or continue to serve as
a Commissioner unless he/she meets the following qualifications:

(A) Must be twenty-one (21) years of age or older;

(B) Must have never been convicted of a felony, criminal
drug offense, gaming offense, or any other criminal conduct
which would preclude the person from receiving a Tribal
Gaming License;

(C) Have no financial interest in, or management
responsibility for, any Gaming Activity;

(D) Has not been employed by the Gaming Facility Operator
for a six month period immediately preceding appointment as a
Commissioner, unless waived by the Tribal Council;

(E) Has no financial interest in any business or entity which
provides Gaming Services to the Nation, or that is a Distributor
or Manufacturer of Gaming Devices for the Nation;

(F) Must qualify for and obtain a valid Class III Gaming

License issued by the Tribal Gaming Office and certification by
the State Department of Gaming;

17


CHAPTER 7: LICENSE FOR OPERATING AND CONDUCTING GAMING
ACTIVITY

Section 701. Gaming Facility Operator and Gaming Vendors

(a) The Gaming Facility Operator, including its Principals, Primary Management
Officials, and Key Employees; Manufacturers and Distributors of Gaming Devices; and each
Person providing Gaming Services, within or without a Gaming Facility, shall apply for and
receive a License from the Tribal Gaming Office and where applicable, shall be certified by
the State Gaming Agency, before their participation in any way in the operation or conduct of
any Gaming Activities on the Indian Lands of the Nation. A separate License shall be
required for each location of a Gaming Facility. Utility Companies that are the sole available
source of any particular service to the Gaming Facility are not required to be certified by the
State Gaming Agency.

[History: Section 701 Revised and Amended by Resolution 55-06]
Section 702. Gaming Employees

(a) Every Gaming Employee shall apply for and receive a License from the Tribal
Gaming Office Section prior to commencement of employment.

[History: Section 702 Revised and Amended by Resolution 55-06]
Section 703. Non-Gaming Employees

(a) Non-Gaming Employees. Non-gaming employees must hold special non-gaming
licenses issued by the Tribal Gaming Office. These include the following positions, so long

as they do not have unescorted access to Secure Areas:

1. Food and beverage service personnel such as chefs, cooks, waiters,
waitresses, bus persons, dishwashers, food and beverage cashiers, and hosts;

2. Gift shop managers, assistant managers, cashiers, and clerks;
3. Greeters;

4. Landscapers, gardeners, and groundskeepers;

5. Maintenance, cleaning, and janitorial personnel;

6. Stewards and valets;

7. Wardrobe personnel;

8. Warehouse personnel; and

23


12. To conduct administrative hearings regarding Licensees and License
applicants in accordance with this Code;

13. To conduct hearings concerning Patron Disputes, pursuant to the
Compact, whether presented by the Gaming Facility Operator or upon the
request of the patron;

14. To require by subpoena the attendance and testimony of witnesses and
the production of documents and other physical evidence relating to any
hearing before the Commission, and to bring actions in the Tribal Court for the
enforcement of such subpoenas;

15. To administer oaths and affirmations to witnesses appearing at a
hearing before the Commission;

16. To keep minutes, records, and books containing the true, faithful, and
correct record of all proceedings before the Commission;

17. To make recommendations for hiring of staff to the Nation's Human
Resources department;

18. Subject to the applicable notice and comment provisions of Section
1102 of this Code, to promulgate regulations to implement the provisions of
this Gaming Code;

19. To submit quarterly and annual reports to the Tribal Council on the
activities of the Tribal Gaming Office, such report to include financial
information and regulatory activities; and

20. To delegate responsibility to Tribal Gaming Office employees to detain
individuals who may be involved in illegal activities, for purpose of notifying
and summoning appropriate law enforcement authorities.

(c) Removal:

A Commissioner may be involuntarily removed from office before the expiration of
his or her term in accordance with the following procedures:

1. A member of the Tribal Council, or a majority of the current
Commissioners, shall initiate the removal of a Commissioner by submitting a
written request to the Tribal Council, specifying the factual basis of the request
for removal;

2. The cause for removal shall be limited to:

(i) failure to meet or maintain the qualifications for Commissioners set
forth in Section 601(a)( 1)(i) of this Code, or

19


2. Has violated, failed or refused to comply with the provisions,
requirements, conditions, limitations or duties imposed by any provision of this
Gaming Code, the Compact or its appendices, or any provision of any
Regulation duly promulgated under Chapter 11 of this Code, or when any such
violation has occurred upon any premises occupied or operated by any such
Person or over which he or she has substantial control;

3. Knowingly causes, aids, abets, or conspires with another to cause any
Person to violate any of the laws of the Nation, rules of the State Gaming
Agency, provisions of this Gaming Code, the Compact or its appendices, or
any Regulation duly promulgated under this Code;

4. Has obtained a tribal License or State Certification by fraud,
misrepresentation, concealment or through inadvertence or mistake;

5. Has been convicted of, or forfeited bond upon a charge of, or pleaded
guilty to, forgery, larceny, extortion, conspiracy to defraud, willful failure to
make required payment or reports to any tribal, state or United States
governmental agency at any level, or filing false reports therewith, or of any
similar offense or offenses, or of bribing or otherwise unlawfully influencing a
public official or employee of the Nation, or any state of the United States, or
of any crime, whether a felony or misdemeanor, involving any Gaming
Activity or physical harm to individuals or moral turpitude;

6. Makes a misrepresentation of, or fails to disclose a material fact to the
Nation, Tribal Gaming Office or State Gaming Agency;

7. Fails to prove, by clear and convincing evidence, that he, she or it is
qualified in accordance with the provisions of this Section;

8. Is subject to current prosecution or pending charges, or a conviction
which is under appeal, for any of the offenses included under this Section of
this Code; provided, that at the request of any Applicant, the Commissioners
may defer decision upon the application during the pendency of such
prosecution or appeal;

9. Has had a Gaming License issued by any state or tribe in the United
States revoked, suspended, denied or refused renewal;

10. Has demonstrated a willful disregard for compliance with gaming
regulatory authority in any jurisdiction, including suspension, revocation,
denial of an application or forfeiture of license;

11. Has pursued or is pursuing economic gain in an occupational manner or

context which is in violation of the criminal laws of the Nation or the State if

such pursuit creates Probable Cause to believe that the participation of such

person in gaming or related activities would be detrimental to the proper

operation of an authorized gaming or related, activity on the Indian Lands of

the Nation. For purposes of this paragraph, occupational manner or context
32


CHAPTER 4: GAMING POLICY
Section 401. Gaming Activity Prohibited

(a) No Person may operate or conduct any Gaming Activity on the Indian Lands of
the Nation except in accordance with the provisions of this Gaming Code and the applicable
provisions of the Compact and its appendices.

[History: Section 401 Revised and Amended by Resolution 55-06]
Section 402. Reporting to the Commission

(a) The Gaming Facility Operator, or a Tribal Gaming Office inspector or agent, who
becomes aware of any Unusual Occurrences and all violations or suspected violations of the
Compact and its appendices shall report it to the Tribal Gaming Office within forty-eight
hours.

[History: Section 402 Revised and Amended by Resolution 55-06]

14


Section 1802. Use of Device for Calculating Probabilities

(a) It shall be unlawful for any Person patronizing a Gaming Facility located within
the exterior boundaries of the Indian Lands of the Nation to use, or possess with the intent to
use, any device to assist:

1. In projecting the outcome of the game;
2. In keeping track of the cards played;

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

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

[History: Section 1802 Revised and Amended by Resolution 55-06]

Section 1803. Use of Counterfeit or Unapproved Chips or Tokens or Unlawful Coins or
Devices; Possession of Certain Devices, Equipment, Products or Materials

(a) It shall be unlawful for any Person to use counterfeit chips in a game regulated
pursuant to this Code.

(b) It shall be unlawful for any Person, playing or using any game regulated pursuant
to this Code, which is designed to be played with, received or operated using chips or tokens
approved by the Commission or by lawful coin of the United States:

1. To knowingly use chips or tokens other than those approved by the
Commission or lawful coin, legal tender of the United States, or to use coin not
of the same denomination as the coin intended to be used in that gambling
game; or

2. To use any device or means to violate the provisions of this Code, the
Compact or its appendices.

(c) It shall be unlawful for any Person, not a duly authorized employee of a Gaming
Facility Operator acting in furtherance of his or her employment with the Gaming Facility
Operator, to have on his or her person or in his or her possession, on or off the Premises, any
device intended to be used to violate, the provisions of this Code, the Compact or the
appendices.

(d) It shall be unlawful for any Person, not a duly authorized employee of the Gaming
Facility Operator acting in furtherance of his or her employment within the Gaming Facility,
to have on his or her person or in his or her possession, on or off the Premises, any key or
device demonstrated to have been designed for the purpose of and suitable for opening,
entering or affecting the operation of any game regulated pursuant to this Code, drop box or
any electronic or mechanical device connected thereto or for moving money or other contents
there from.

58


12.

13.

14.

15.

16.

17.

18.

19.

"Compact" means the Gaming Compact between the Yavapai-Apache Nation and the
State of Arizona, dated December 27, 2002.

“Compact Violation” shall mean a violation of the specific provision(s) of the
Compact with the State of Arizona, and shall be: (a) the unlawful operation of table
games or gaming machines not authorized by the Compact, (b) operating gaming on
premises not authorized by the Compact; (c) operating gaming without licensed
personnel; (d) not paying the local or state government funds imposed by the
Compact. A Compact Violation is a violation required by the Compact to be reported
to the State, and does not necessarily include regulatory violations, licensing violations
or Gaming Code Violation.

"Distributor" means a Person who distributes Class [I] Gaming Devices and/or
component parts thereof.

"Enrolled Tribal Member" means an enrolled member of the Yavapai-Apache Nation
whose name appears in the tribal membership roll.

"Gaming Activity" or "Gaming Activities" means all forms of Class II] gaming owned
and operated by the Nation and conducted on the Indian Lands of the Nation.

"Gaming Code" or "Code" means this Revised Gaming Ordinance enacted by the
Tribal Council of the Yavapai-Apache Nation pursuant to its sovereign and tribal
constitutional powers.

"Gaming Code Violation" means noncompliance with specific provision or provisions
of the Tribal Gaming Code, which is not required to be reported to the State unless it
also constitutes a Compact Violation. Gaming Code Violations are handled
administratively by the Tribal Gaming Office.

"Gaming Device" means a mechanical device, an electro-mechanical device or a
device controlled by an electronic microprocessor or another manner, whether that
device constitutes Class II Gaming or Class III Gaming that allows a player or players
to play games of chance, whether or not the outcome also is affected in some part by
skill, and whether the device accepts coins, tokens, bills, coupons, ticket vouchers,
pull tabs, smart cards, electronic in-house accounting system credits or other similar
forms of consideration and, through the application of chance, allows a player to
become entitled to a prize, which may be collected through the dispensing of coins,
tokens, bills, coupons, ticket vouchers, smart cards, electronic in-house accounting
system credits or other similar forms of value. Gaming Device does not include any of
the following:

a. Devices that issue and validate paper lottery products and that are directly
operated only by Arizona State Lottery licensed retailers and their employees.

db. Devices that are operated directly by a lottery player and that dispense paper
lottery tickets, if the devices do not identify winning or losing lottery tickets,
display lottery winnings or disburse lottery winnings.

6


Section 713. Report to the National Indian Gaming Commission

(a) Pursuant to the procedures set out in Section 708 of this Code, the Commission
shall prepare and forward to the National Indian Gaming Commission an investigative report
on each background investigation. An investigative report shall include all of the following:

1. Steps taken in conducting the background investigation;
2. Results obtained;

3. Conclusions reached; and

4. The bases for those conclusions.

5. The Commission shall submit with the report a copy of the eligibility
determination made under Section 710.

6. If a License is not issued to an Applicant, the Commission;
(i) Shall notify the National Indian Gaming Commission; and

Gi) May forward copies of its eligibility determination and
investigative report (if any) to the National Indian Gaming Commission
for inclusion in the Indian Gaming Individuals’ Records System.

7. With respect to Key Employees and Primary Management Officials,
the Commission shall retain applications for employment and reports (if any)
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.

8. If, within a thirty (30) day period after the National Indian Gaming
Commission receives a report, the National Indian Gaming Commission
notifies the Commission that it has no objection to the issuance of a License
pursuant to a License application filed by a Key Employee or a Primary
Management Official for whom the Commission have provided an application
and investigative report to the National Indian Gaming Commission, the
Commission may issue a License to such Applicant.

9. The Commission shall respond to a request for additional information
from the Chairman of the National Indian Gaming Commission concerning a
Key Employee or a Primary Management Official who is the subject of a
report. Such a request shall suspend the 30-day period under Section 713 of
this Code until the Chairman of the National Indian Gaming Commission
receives the additional information.

29


(iv) Current business and residence telephone numbers;

(v) A description of any existing and previous business relationships
with Indian tribes, including ownership interests in those businesses,
and a description of any potential or actual conflict of interest between
such businesses and Indian tribes;

(vi) A description of any existing and previous business relationships
in the gaming industry, including ownership interests in those
businesses;

(vii) The name and address of any licensing or regulatory agency with
which in the Person has filed an application for a License related to
gaming, whether or not such License was granted;

(viii) For each felony for which there is an ongoing prosecution or a
conviction, the charge, the date of the charge, the name and address of
the court involved, and the disposition, if any;

(ix) For each misdemeanor for which there is an ongoing prosecution
or conviction (excluding minor traffic violations), the charge, the date
of the charge, the name and address of the court involved, and the
disposition, if any;

(x) For each criminal charge (excluding minor traffic charges),
whether or not there is a conviction, if such criminal charge is not
otherwise listed pursuant to Section 707 (a)(3)(vii) or 707(a)(3(ix) of
this Code, the criminal charge, the date of the charge, the name and
address of the criminal involved, and the disposition, if any;

(xi) The name and address of any licensing or regulatory agency with
which the Person has filed an application for an occupational license, as
an Applicant, Primary Management Official, or Key Employee, and
whether or not such license was granted;

(xii) A current photograph;
(xiii) Any other information the Commission deem relevant;

(xiv) Fingerprints consistent with procedures adopted by the Nation
according to 25 C.F.R. § 522.2(h). For purposes of this section, the
Yavapai-Apache Nation Tribal Gaming Office is hereby identified as
the law enforcement agency that processes the fingerprints and
forwards them to the Arizona Department of Public Safety, as set forth
in 25 C.F.R. 522.2(b); and

26


CHAPTER FIFTEEN: UNDER THE AGE GAMBLING PROHIBITED
SECTION 1501. PROHIBITION AGAINST GAMBLING BY PERSONS UNDER THE AGE OF 21

CHAPTER SIXTEEN TRESPASS: CONSENT TO JURISDICTION
SECTION 1601. TRESPASS

SECTION 1602. PROSECUTION FOR TRESSPASS

SECTION 1603. NOTICE AND CONSENT TO JURISDICTION

CHAPTER SEVENTEEN: FINANCIAL PRACTICES AND REPORTING
SECTION 1701. COOPERATION WITH LAW ENFORCEMENT

SECTION 1702. LAW ENFORCEMENT SERVICE PLAN

SECTION 1703. EMERGENCY MEDICAL AND FIRE SUPPRESSION

CHAPTER EIGHTEEN: FRAUDULENT ACTS; CHEATING

SECTION 1801. CHEATING

SECTION 1802. USE OF DEVICE FOR CALCULATING PROBABILIIES

SECTION 1803. USE OF COUNTERFIET OR UNAPPROVED CHIPS OR TOKEN OR UNLAWFUL COINS OR
DEVICES; POSSESSION OF CERTAIN DEVICES, EQUIPMENT PRODUCTS OR MATERIALS

SECTION 1804. POSSESSION OF PARAPHERNALIA

SECTION 1805. MARKETING, ALTERING OR MODIFICATION OF EQUIPMENT AND DEVICES ASSOCIATED
WITH GAMING, UNLAWFUL INSTRUCTION

SECTION 1806. PENALTIES

SECTION 1807. UNLAWFUL DISSEMINATION OF INFORMATION CONCERNING RACING, EXEMPTIONS,
PENALTY

SECTION 1808. DETENTION AND QUESTIONING OF PERSONS SUSPECTED OF VIOLATING TRIBAL,
FEDERAL OR STATE LAW; LIMITATIONS ON LIABILITY; POSTING OF NOTICE

SECTION 1809. DISPOSTION OF EVIDENCE OR OTHER PROPERTY SEIZED BY AGENT OF THE COMMSSION
OR THE STATE GAMING AGENCY

CHAPTER NINETEEN: OTHER PROVISIONS
SECTION 1901. SEVERABILITY

SECTION 1902. EFFECTIVE DATE

SECTION 1903. AGENT FOR SERVICE OF PROCESS


CHAPTER EIGHT: EMPLOYMENT GUIDELINES
SECTION 801. FOR EMPLOYMENT AND CONSENT TO TESTING
SECTION 802. PREFERENCE IN EMPLOYMENT

SECTION 803. PERSONNEL POLICIES

SECTION 804. HIRING AND TRAINING OF EMPLOYEES
SECTION 805. EXPENSES OF TRAINING EMPLOYEES

SECTION 806. IDENTIFICATION

SECTION 807. PROHIBITION AGAINST EMPLOYEES PLAYING
SECTION 808. PROHIBITION AGAINST SELF-DEALING

CHAPTER NINE: NOTICE OF VIOLATIONS AND DUE PROCESS FOR AGGRIEVED PERSONS
SECTION 901. INVESTIGATION RESPONSIBILITIES

SECTION 902. NOTICE PROCEDURES

SECTION 903. HEARING PROCEDURES

SECTION 904. HEARING; WRITTEN DECISION

SECTION 905. REVIEW OF COMMISSIONERS DECISIONS

CHAPTER TEN: JURISDICTION OF THE TRIBAL COURT

SECTION 1001. JURISDICTION; WHO MAY INITIATE THE ACTION

SECTION 1002. ACTIONS INITIATED BY THE COMMISSION

SECTION 1003. ACTIONS INITIATED BY THE GAMING FACILITY OPERATOR OR AGGRIEVED PERSONS
SECTION 1004. ACTIONS FOR TRESPASS

SECTION 1005. REMEDIES

SECTION 1006. ARBITRATION

CHAPTER ELEVEN: PROMULGATION OF REGULATIONS: COMMISSION APPROVAL OF

GAMING FACILITY RULES AND PROCEDURES

SECTION 1101. AUTHORITY TO PROMULGATE REGULATIONS

SECTION 1102. NOTICE AND COMMENT

SECTION 1103. COMISSION; REVIEW OF GAMING FACILITY PLANS, RULES, PROCEDURES OR TOUNAMENT
STANDARDS.

CHAPTER TWELVE: FINANCIAL PRACTICES AND REPORTING
SECTION 1201. MONTHLY REPORTS

SECTION 1202. MAINTENANCE OF BOOKS AND RECORDS; COMMISSION ACCESS
SECTION 1203. ALLOWABLE OPERATING EXPENSES

SECTION 1204. DEPOSIT OF GROSS RECIEPTS; PAYMENT OF OPERATING EXPENSES
SECTION 1205. ANNUAL AUDIT

SECTION 1206. DISPOSITION OF NET REVENUES

SECTION 1207. COMPLIANCE WITH INTERNAL REVENUE CODE

CHAPTER THIRTEEN: CONDUCT OF CLASS II AND CLASS Il GAMES
SECTION 1301. CLASS I GAMES

SECTION 1302. CLASS III GAMES; TRIBAL-STATE COMPACT REQUIRED

SECTION 1303. DESIGNATION OF OFFICER IN CHARGER

SECTION 1304. MERCHANDISE PRIZES

SECTION 1305. LIMITS ON PRIZES

SECTION 1306. PATRON DISPUTES

SECTION 1307. FINANCIAL SERVICES IN GAMING FACILITES

CHAPTER FOURTEEN: PROBLEM GAMBLING; SELF EXCLUDED PERSONS

SECTION 1401. NOTIFICATION TO PROBLEM GAMBLERS

SECTION 1402. SELF-EXCLUDED PERSONS

SECTION 1403. RESPONSIBILIITES OF THE COMMISSION REGARIDNG SELF-EXCLUDED PERSONS

SECTION 1404. LIMITATIONS ON LIABILITY/NO WAIVER OF SOVEREIGN IMMUNITY FOR
SELF-EXCLUSION

2


CHAPTER 5: GAMING FACILITY OPERATOR
Section 501. Responsibilities

(a) The Gaming Facility Operator has full responsibility for the on-site operation,
management, and security of the Gaming Facility in compliance with this Code and the
Compact. The Gaming Facility Operator, through its Tribal Gaming Board of Directors, shall
propose reasonable procedures designed to provide for the safety and security of the Gaming
Facility.

[History: Section 501 Revised and Amended by Resolution 55-06]
Section 502. Safety and Security

1. The Gaming Facility Operator shall establish and adhere to policies and
procedures which provide for the safety and security of its employees and patrons. Copies of
these policies shall be provided to the Tribal Gaming Office, but the Tribal Gaming Office
shall have no power to amend or revise such policies, or to preclude the Gaming Facility
Operator from enforcing them.

a. Refusal of Service. Pursuant to its safety and security policies and
procedures, the Gaming Facility Operator may temporarily or permanently
exclude individuals from the Gaming Facility and surrounding premises
controlled by the Gaming Facility Operator for such reasons and for such
period of time as the Gaming Facility Operator, in its sole discretion, shall
determine appropriate, including but not limited to individuals who are
disorderly, rude, intoxicated, causing a public disturbance or engaging in
unlawful behavior.

The Gaming Facility Operator may detain individuals briefly for the purposes
of obtaining identification from the individual in connection with the issuance
of a written notice of Refusal of Service and may detain individuals who may
be involved in illegal activities for the purposes of notifying and summoning
appropriate law enforcement authorities. If the Gaming Facility Operator
requests that an individual leave the Gaming Facility or the surrounding
premises for any reason and the individual refuses to do so, the Gaming
Facility Operator may eject the individual using such force as may be
necessary under the circumstances or request the Yavapai-Apache Police
Department to remove the individual. Any Person wishing to challenge an
action by the Gaming Facility Operator under this section may appeal to the
Gaming Board of Directors.

b. Surveillance. The Gaming Facility Operator or the Tribal Gaming Office
shall establish, maintain and enforce reasonable policies and procedures for
surveillance. The Gaming Facility Operator or the Tribal Gaming Office shall
operate a surveillance system in all areas of the Gaming Facility in which
Gaming Activity is conducted which meets the requirements of Appendix C to
the Compact. The Gaming Facility Operator or the Tribal Gaming Office may
also, in its discretion, conduct such surveillance in other areas of the Gaming

15


CHAPTER 2: DEFINITIONS

The following words shall have the following meanings under this Gaming Code, unless the
context otherwise requires:

1.

10.

11.

"Act" means the Indian Gaming Regulatory Act, Public Law 100-497, 25 U.S.C. §§
2701-2721 and 18 U.S.C. §§ 1166-1168.

"Aggrieved Person" means any licensed Person who receives a notice from the Tribal
Gaming Office of an alleged violation of the Compact, its Appendices, this Gaming
Code or any Internal Regulation duly promulgated by the Tribal Gaming Office.

"Applicant" means any Person who has applied for a License or other approval from
the Commission or certification from the State Gaming Agency under this Gaming
Code and the Compact.

"Assets" means:

a. All cash, chips coins, tokens, receivables, and customer deposits constituting
the total amount for which the bankroll custodian is responsible and all of the
above items being transported within the Gaming Facility;

db. All gaming devices, apparatus, and the like, that are used in connection with
Class III Gaming including but not limited to slot machines, table games, and
the equipment used on the gaming tables, and all devices and apparatus used in
the collection and accounting of the funds and revenue generated therefrom.

"Barred Person" means a Person who is excluded from the Gaming Facility by the
Commission because of his or her criminal conduct on the premises, or criminal
history or association with career offenders or career offender organizations who pose
a threat to the integrity of the Gaming Activity of the Nation.

"Chairman" means the Chairman of the Yavapai-Apache Nation.

"Class I Gaming" means all forms of gaming defined as Class I in Section 4(6) of the
Indian Gaming Regulatory Act, 25 U.S.C. § 2703(6).

"Class II Gaming" means all forms of gaming defined as Class II in Section 4(7) of the
Indian Gaming Regulatory Act, 25 U.S.C. § 2703(7).

"Class III Gaming" means all forms of gaming as defined in Section 4(8) of the Indian
Gaming Regulatory Act, 25 U.S.C. § 2703(8).

"Class III Net Win" means gross gaming revenue, which is the difference between
gaming wins and losses, before deducting costs and expenses.

"Commissioners" means the individuals appointed by the Tribal Council to serve on
the Tribal Gaming Commission pursuant to Chapter 6 of this Gaming Code.

5


(ii) To issue notices of alleged violations of the Compact and Code,
and any duly promulgated Regulations in accordance with the due
process procedures in Chapter 7, Section 718, and Chapter 9;

(iii) To issue new identification cards to employees who transfer
positions within the Gaming Facility within 48 hours, except where the
employee is transferring from a non-gaming position to a position as a
Gaming Employee;

(iv) To temporarily suspend Gaming Licenses pending formal action by
the Commission pursuant to Chapter 7 of this Code;

(v) To ensure that adequate numbers of Tribal Gaming Office.
Inspectors are on duty in areas where Gaming Activity is occurring at
all times; and

(vi) To keep the Commission fully informed of Tribal Gaming Office
operations and to carry out such other regulatory duties and
responsibilities as are delegated by the Commission pursuant to this
Code.

3. Tribal Gaming Office Staff:
The Tribal Gaming Office shall employ sufficient staff members to carry out
the regulatory functions of the Tribal Gaming Office. Staff members shall be

hired and employed in accordance with the Nation's Human Resource policies,
and shall report to the Executive Director of the Tribal Gaming Office.

4, Qualifications:

(i) All staff, with the exception of clerical employees, must be at least
21 years of age;

(ii) Must have high school diploma or GED;

(iii) Must qualify for and obtain valid Class III Gaming License and
certification issued by the Arizona State Department of Gaming.

(iv) Must not have been employed by the Gaming Facility Operator for
a six-month period immediately preceding, unless waived by the Tribal
Gaming Board.

[History: Section 601 Revised and Amended by Resolution 55-06]

21


L
2 y
$ é
a,
ty >

UL 21 2006

Chairman Jamie Fullmer
Yavapai-Apache Nation
2400 West Datsi Street
Camp Verde, AZ 86322

RE: Revised Gaming Code of the Yavapai-Apache Nation
Dear Chairman Fullmer:

This letter is in response to your request for the National Indian Gaming
Commission (NIGC) to review and approve the Revised Gaming Code of the
Yavapai-Apache Nation (Ordinance), submitted on July 17, 2006. The Yavapai
Nation Tribal Council enacted the Ordinance on July 13, 2006 by Resolution 55-
06 on July 13, 2006. This letter constitutes approval of your submission under the
Indian Gaming Regulatory Act (IGRA). It is important to note that the Gaming
Ordinance amendments are approved for gaming only on Indian lands, as defined
in the IGRA, over which the Tribe has jurisdiction.

Thank yo ubmNting the Gaming Code for review and approval. The NIGC
sti id I look forward to working with you and the Tribe on future gaming

NATIONAL HEADQUARTERS — 1447 L St. NW, Suite 9100, Washington, DC 20005 Tel: 202.632.7003 Fax: 202.632.7066 WWW.NIGC.cOv

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; St. Paul, MN; Tulsa, OK


2. If the Commissioners do submit written comments and/or objections to
the proposed plans, rules, procedures or standards pursuant to this Section, the
Commission and the Gaming Facility Operator shall meet and confer within
fourteen (14) days in a good faith effort to resolve such objections. Within five
(5) days following the conclusion of this consultation, the Commission shall
either issue a written decision approving the proposed plans, rules, procedures
or standards as originally proposed by the Gaming Facility Operator or as may
be modified by the Commission. The decision of the Commission upon the
conclusion of this process shall be final, except that the Gaming Facility
Operator may appeal this final decision pursuant to Chapter 10 of this Code.

[History: Section 1103 Revised and Amended by Resolution 55-06]

44


27.

28.

29.

30.

31.

32.

33.

“Interactive Terminal" or "Video Lottery Terminal" means an on-line computer or
data-processing terminal capable of providing a source of both input and a video
display output for the computer system to which it is connected, in which a player is
playing against the algorithm of the terminal so that the player is playing directly
against the terminal for immediate payment and is immediately rewarded or penalized
based on the outcome, and which dispenses a paper receipt which can be redeemed by
the player for the player's winnings.

"Keno" means a house banking game in which a player selects from one to twenty
numbers on a card that contains the numbers one through eighty; the house randomly
draws twenty numbers; players win if the numbers they select correspond to the
numbers drawn by the house, and the house pays all winners, if any, and collects from
all losers.

"Key employee" means a Gaming Employee who performs one or more of the
following functions:

Counting room supervisor;

Chief of security;

Custodian of gaming supplies or cash;

Floor manager;

Custodian of Gaming Devices, including Persons with access to cash and

accounting records within such devices;

Bingo caller

Pit Boss

Dealer;

Croupier;

Approver of credit;

If not otherwise included, any other person whose total cash compensation is
in excess of $50,000 per year; or if not otherwise included, the four most highly
compensated persons in the Gaming Operation.

gano op

ae og rh

"License" or "Gaming License" means an approval issued by the Tribal Gaming
Office to any Person to be involved in the Gaming Operation or in providing Gaming
Services to the Nation.

"Licensee" means any Person who has been licensed by the Tribal Gaming Office to
be involved in the Gaming Operation or in the provision of Gaming Services to the
Nation.

"Licensing Violation” shall mean an infraction of the rules and regulations allowing a
person to have a Gaming License with the Nation. Licensing Violations are not
Compact Violations, and shall be handled administratively as Gaming Code
Violations.

"Lotto" is the generic name for a type of on-line lottery game operated by the State of
Arizona in which a player selects a group of numbers from a larger field of numbers
and wins by matching specific numbers subsequently drawn.

8


20.

21.

22.

23.

24.

25.

26.

c. Devices that are operated directly by a lottery player and that validate paper
lottery tickets for a game that does not have a predetermined number of
winning tickets, if:

(1) _ the devices do not allow interactive gaming;

(2) the devices do not allow a lottery player to play the lottery for
immediate payment or reward;

(3) _ the devices do not disburse lottery winnings; and

(4) _ the devices are not Video Lottery Terminals.

d. Player Activated Lottery Terminals.

"Gaming Employee" means any person employed as a Primary Management Official
or Key Employee of a Gaming Operation of the Nation, and any person employed in
the operation or management of a Gaming Operation, including, but not limited to,
any person whose employment duties require or authorize access to Restricted Areas
of a Gaming Facility not otherwise open to the public.

"Gaming Facility" means those buildings or structures in which Class III Gaming
Activities, as authorized by the Compact are conducted.

"Gaming Facility Operator" means the Nation, an enterprise owned by the Nation, or
such other entity of the Nation as the Nation may from time to time designate by
written notice to the State of Arizona under the Compact as the wholly-owned tribal
entity having full authority and responsibility for the operation and management of
Gaming Activities.

"Gaming Operation" means any Gaming Activity conducted within any Gaming
Facility.

"Gaming Services" means providing of goods or services, except for legal services,
utilities, and sale of alcohol, to the Nation, in connection with the operation of Class
I Gaming in a Gaming Facility, including, but not limited to, equipment,
transportation, food, linens, janitorial supplies, maintenance, or security services for
the Gaming Facility, in an amount in excess of $10,000 in any single calendar month.

"Gross Receipts" means receipts from the sale of shares, tickets, or rights in any
manner connected with participation or the right to participate in Gaming Activities,
including, but not limited to any admission fee or charge, the sale of merchandise,
refreshments, souvenirs, services, equipment, or supplies, interest earned on deposits,
and all other miscellaneous receipts.

"Indian Lands" means all lands within the limits of the Yavapai-Apache Nation
Reservation and any lands title to which is held in trust by the United States for the
benefit of the Yavapai-Apache Nation or a member thereof or held by the Yavapai-
Apache Nation or member thereof, subject to restriction by the United States against
alienation, and over which the Yavapai-Apache Nation exercises governmental power.


CHAPTER 18: FRAUDULENT ACTS; CHEATING

Section 1801. Cheating
(a) It shall be unlawful for any Person:

1. To alter or misrepresent the outcome of a game or other event on which
Wagers have been made after the outcome is arrived at but before it is revealed
to the player;

2. To place, increase or decrease a bet or to determine the course of play
after acquiring knowledge, not available to all players, of the outcome of the
game or any event that affects the outcome of the game or which is the subject
of the bet;

3. To aid anyone in the acquisition of such knowledge for the purpose of
placing, increasing or decreasing a bet or determining the course of play
contingent upon that event or outcome;

4. To claim, collect or take, or attempt to claim, collect or take, money or
anything of value in a Gaming Facility, with intent to defraud, without having
made a Wager contingent thereon, or to claim, collect or take an amount
greater than the amount won;

5. To knowingly entice or induce another to participate in gaming
conducted or operated in violation of the provisions of this Code with the
intent that the other Person play or participate in that gambling game;

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

7. To reduce the amount Wagered or cancel the bet after acquiring
knowledge of the outcome of the game or the event which is the subject of the
bet, including pinching bets; or

8. To manipulate, with the intent to cheat, any component of a Gaming
Device in a manner contrary to the designed and normal operational purpose
for the component with knowledge that the manipulation affects the outcome
of the game or with knowledge of any event that affects the outcome of the
game.

[History: Section 1801 Revised and Amended by Resolution 55-06]

37


CHAPTER 10: JURISDICTION OF THE TRIBAL COURT
Section 1001. Jurisdiction: Who may Initiate Action

(a) Except as otherwise provided in this Gaming Code, the Tribal Court shall have
exclusive jurisdiction over all matters concerning the administration and enforcement of this
Gaming Code, provided, however, that nothing in this Gaming Code is intended nor shall it be
construed to preclude prosecution in Federal Court pursuant to the Indian Gaming Regulatory
Act, as may be amended from time to time, or any regulations promulgated there under or any
other applicable Federal or Tribal law, or to authorize or require the exercise of criminal
jurisdiction over non-Indians except to the extent allowed by any applicable present or future
act of Congress or any applicable Federal court decision.

(b) An action in Tribal Court may be initiated by the Nation, the Commission, the
Gaming Facility Operator or the Tribal Gaming Board.

[History: Section 1001 Revised and Amended by Resolution 55-06]
Section 1002. Actions Initiated by the Commission

(a) Enforcement of Commission Subpoenas. If a Person subpoenaed by the
Commission to attend or to produce books, accounts, records, or other documents in any
investigation or hearing conducted by the Commission fails to obey the command of the
subpoena without reasonable cause, or if a Person in attendance at any hearing or
investigation refuses without lawful cause to be examined, to answer a legal and pertinent
question, or to exhibit any book, account, record, or other document when ordered to do so by
the representative of the Commission conducting such investigation or hearing, the
Commission may apply to the Tribal Court for an order returnable in not less than five (5) nor
more than ten (10) days directing the Person to show cause why he or she should not comply
with such subpoena or order, or for the issuance of a subpoena by the Tribal Court. For
purposes of this Gaming Code, no Person shall be excused from testifying or producing any
books, accounts, records, or other documents in any investigation or hearing on the ground
that such testimony or documentary evidence may tend to incriminate him or her, if the
Commission or the Tribal Court agree in writing that such Person shall not be prosecuted,
punished, or subjected to any penalty or forfeiture resulting from such testimony or
production, provided that no Person shall be exempt from prosecution or punishment for any
act of perjury committed by him or her under a grant of immunity under this subsection.

(b) Action for Court Enforcement by Commission. The Commission may, based on
reasonable grounds or on reliable complaint made, and after written notice giving the Gaming
Facility Operator thirty (30) days to cure an alleged violation of this Gaming Code, the
Compact or its appendices, seek such relief from the Tribal Court, as authorized in this
Gaming Code, against the Gaming Facility Operator or its Licensees as may be necessary in
the judgment of the Commission for the proper enforcement of this Gaming Code, the
Compact or appendices, or applicable Tribal, Federal or State law regulating Gaming
Activity.

[History: Section 1002 Revised and Amended by Resolution 55-06]

40


(b) If the Commissioners determine that employment or involvement of the Person or
Applicant poses a threat to the public interest or to the effective regulation of a Gaming
Activity, or creates or enhances dangers of unsuitable, unfair, or illegal practices and methods
and activities in the conduct of Gaming Activities, the Commission shall deny the application.
If the Commissioners deny an application, the Commission shall forward to the State Gaming
Agency, together with all documents relied on, a statement setting forth the grounds of denial.

(c) Pursuant to the Compact, the State Gaming Agency also shall conduct a
background investigation of all Applicants and shall provide the Commission with a written
recommendation as to whether the Commission should License the Applicant. If the Nation or
Tribal Gaming Office takes any action with respect to a License despite a State
recommendation to the contrary, the Nation or Commission shall afford the State an
opportunity for a hearing before an appropriate Tribal forum to contest the Nation's or
Commission’ licensing decision. If the Tribal forum upholds a licensing decision of the Nation
or Commission contrary to the State Gaming Agency's recommendation, the State Gaming
Agency may appeal to an independent three member tribunal by providing written notice to
the Nation or Tribal Gaming Office consistent with the Compact.

[History: Section 710 Revised and Amended by Resolution 55-06]
Section 711. Additional Background Investigations

(a) The Tribal Gaming Office retains the right to conduct additional background
investigations of any Person required to be licensed at any time while the License is valid.

[History: Section 711 Revised and Amended by Resolution 55-06]

Section 712. Procedures for Forwarding Applications and Reports for Key Employees
and Primary Management Officials to the National Indian Gaming Commission.

(a) When a Key Employee or Primary Management Official begins work at a Gaming
Operation authorized by this Gaming Code, the Commission shall forward to the National
Indian Gaming Commission a completed application for employment and conduct the
background investigation and make the determination referred to herein.

(b) The Commission shall forward the report referred to in Section 712(a) of this
Chapter to the National Indian Gaming Commission within sixty (60) days after an employee
begins work or within sixty (60) days of the approval of this Gaming Code by the Chairman
of the National Indian Gaming Commission.

(c) The Gaming Operation shall not employ as a Key Employee or Primary
Management Official a Person who does not have a License after ninety (90) days of his or
her commencement of work at the Gaming Operation or who does not have a validly extended
temporary license.

[History: Section 712 Revised and Amended by Resolution 55-06]

28


CHAPTER 12: FINANCIAL PRACTICES AND REPORTING

Section 1201. Monthly Reports

(a) On or before the twentieth day of each month, the Gaming Facility Operator shall
file with the Tribal Gaming Office, the Tribal Gaming Board, and the Tribal Council a
certified financial report for the preceding calendar month, prepared in accordance with
Generally Accepted Accounting Principles, showing (1) the amount of Gross Receipts derived
from Gaming Activities, (2) the operating expenses incurred or paid, (3) the specific
classifications of such receipts and expenses allocated by Department, and (4) the net
revenues derived from Gaming Activities. It is the duty of the Gaming Facility Operator to
maintain and keep such books and records as may be necessary to substantiate the particulars
of each report. If the Gaming Facility Operator fails to file the report within the time allowed,
or if a report is not properly certified or not fully, accurately, and truthfully completed, the
License(s) of the Gaming Facility Operator may be suspended by the Commission until such
time as the deficiency has been collected.

[History: Section 1201 Revised and Amended by Resolution 55-06]

Section 1202. Maintenance of Books and Records; Commission’ Access

(a) Full and accurate books of account shall be kept on the Indian Lands of the Nation
at the places of business of the Gaming Facility Operator showing the condition of the
business and all transactions relating to Gaming Activities on the Indian Lands of the Nation.
All books and records relating to authorized Gaming Activities, including the records of the
Gaming Facility Operator, and the Tribal Gaming Office, shall be separately maintained in
order to facilitate auditing in compliance with the Compact and Appendix I. The Commission
and the Chairman of the Nation shall have access to such books of account and shall be
entitled to examine them during ordinary business hours upon 24 hours notice either in person
or by an agent. All records of Gaming Activities in whatever medium shall be retained for
five (5) years and during the pendency of any litigation arising from the Compact or for one
(1) year following the termination of the Compact. Such books shall be maintained according
to generally accepted accounting principles and shall be suitable for audit pursuant to
standards of the American Institute of Certified Public Accountants.

[History: Section 1202 Revised and Amended by Resolution 55-06]

Section 1203. Allowable Operating Expenses

(a) No item of expense shall be included or paid in connection with operating or
conducting any Gaming Activity except a bona fide expense in a reasonable amount in
compliance with Generally Accepted Accounting Practices.

[History: Section 1203 Revised and Amended by Resolution 55-06]

45


(xv) The fee required by the State Gaming Agency and the Tribal
Gaming Office.

[History: Section 707 Revised and Amended by Resolution 55-06 ]

Section 708. Background Investigations

(a) Upon receipt of a completed application and required fee for licensing, the Tribal
Gaming Office shall conduct, or cause to be conducted a background investigation to
determine whether the Applicant is qualified for licensing.

(b) In conducting a background investigation, the Tribal Gaming Office shall promise
to keep confidential the identity of each Person interviewed in the course of the investigation,
except as otherwise authorized by law.

[History: Section 708 Revised and Amended by Resolution 55-06]
Section 709. Temporary Gaming License

(a) Employees requiring State Certification. Within twenty (20) days of the receipt of
a completed application for licensing, and upon request of an Applicant or the Gaming
Facility Operator, the Tribal Gaming Office shall request from the State Gaming Agency the
issuance of a temporary License to the Applicant unless the background investigation
undertaken discloses that the Applicant has a criminal history, or unless other grounds
sufficient to disqualify the Applicant are apparent on the face of the application. The
temporary License shall become void and be of no effect upon either (1) the issuance of the
license; or (2) the issuance of a notice of denial, in accordance with the Compact and this
Code.

(b) Employees not requiring State Certification. Within ten (10) days of the receipt of
a completed application for licensing and upon the request of an Applicant or the Gaming
Facility Operator, the Tribal Gaming Office shall issue a temporary License to the Applicant
unless the background investigation undertaken discloses that the Applicant has a criminal
history, or unless other grounds sufficient to disqualify the Applicant are apparent on the face
of the application. The temporary License shall become void and be of no effect upon either
(1) the issuance of the license or; (2) the issuance of a notice of denial in accordance with the
Compact and this Code.

[History: Section 709 Revised and Amended by Resolution 55-06]

Section 710. Hligibility Determination

(a) The Commission shall review a Person's prior activities, criminal record, if any,
and reputation, habits, and associations to make a determination concerning the eligibility of
an Applicant, Key Employee or Primary Management Official of an Applicant, for
employment or involvement in a Gaming Operation. Upon completion of the investigation,
the Commission shall either issue a License or deny the application.

27


BE IT ENACTED BY THE COUNCIL OF THE YAVAPAI-APACHE NATION:

A Gaming Code to govern, regulate, and control Gaming Activities conducted on the Indian
Lands of the Yavapai-Apache Nation.

CHAPTER 1: GENERAL PROVISIONS

Section 101. Enactment of Yavapai-Apache Nation Gaming Code

(a) The Tribal Council as the Legislature for the Yavapai-Apache Nation and pursuant
to its Constitutional legislative authority under Article V (v) of the Yavapai-Apache
Constitution and in compliance with Section 6 (c) of the Yavapai-Apache Nation and State of
Arizona Gaming Compact 2002, hereby enacts this Gaming Code as the Revised Gaming
Code of the Nation as its official Tribal Gaming Ordinance required by law. This Code from
the date of its enactment supercedes, repeals, amends and replaces all prior gaming
ordinances, resolutions, codes and other legislative documents regulating tribal gaming under
the provisions of the Compact.

[History: Section 101 Revised and Amended by Resolution 55-06]

Section 102. Purposes

(a) The purpose of this Gaming Code is to make lawful and to regulate the operation
and conduct of Gaming Activities on the Indian Lands of the Nation so that revenue may be
produced to fund Tribal governmental operations and programs which promote the health,
education, and welfare of the Nation and its members and which promote Tribal economic
development. One of the primary purposes of this Code is to establish the Tribal Gaming
Office required by Section 6 of the Compact.

[History: Section 102 Revised and Amended by Resolution 55-06]
Section 103. Ownership of Gaming Enterprise

(a) The Yavapai-Apache Nation is the sole owner of the proprietary interest in and to
any Gaming Activity on the Indian Lands of the Nation. The Nation acts through the Tribal
Council, or such other entity designated by the Nation.

[History: Section 103 Revised and Amended by Resolution 55-06]

Section 104. Construction

(a) This Gaming Code is an exercise of the sovereign power of the Nation and shall
be liberally construed for the accomplishment of its purpose and to comply with the Compact
and the Act.

[History: Section 104 Revised and Amended by Resolution 55-06]


(G) May not be a close relative of any other Commissioner
(e.g. brother, sister, wife, husband, mother, father; and

(H) May not be a member of the Tribal Council.
(b) Powers and Duties:

The Commission shall regulate Gaming Activity on the Indian Lands of the Nation
and within the confines of this Code.

The Commissioners’ regulatory powers and duties shall include the following:

1. To regulate the operation or conduct of Gaming Activities on the Indian
Lands of the Nation;

2. To cause investigations of alleged violations of this Code;

3. To conduct or cause to be conducted background investigations of

Persons required to be licensed by the Compact;

4, To grant, suspend, or revoke Licenses in accordance with this Gaming
Code;
5. To have reasonable access to the Premises giving due consideration to

the need for such access;

6. To inspect, examine, photocopy, and audit all papers, books, and
financial records regarding gross receipts of Gaming Activities conducted in
the Gaming Facility, during normal business administration hours, with
twenty-four hours written notice;

7. To bring suits in the Tribal Court seeking remedies for violations of
this Code;
8. To issue written regulatory opinions, providing at least 15 days for the

Gaming Facility Operator to comply with or to challenge the validity of such
opinions and/or the authority of the Commission to render such opinions;

9. To enter into contracts pursuant to budgets approved by the Tribal
Council, for services or activities necessary to the discharge of the duties of the
Tribal Gaming Office under this Gaming Code;

10. To operate the Tribal Gaming Office within the budget approved by the
Tribal Council;

11. To establish fees for applications for Licenses and renewals thereof
subject to the approval of the Tribal Council;

18


Section 1603. Notice and Consent to Jurisdiction

(a) Any Person who enters the Gaming Facilities of the Nation is deemed to have
consented to the jurisdiction of the Tribal Courts of the Nation. The Gaming Facility
Operator shall conspicuously display at all entrances to the Gaming Facility, and in any other
place as may be appropriate, a notice which shall be clearly legible, printed or otherwise
inscribed in bold face type and which is substantially in the following form:

1. Any Person who enters Cliff Castle Casino consents and agrees to be
subject to the laws of the Yavapai-Apache Nation and to the jurisdiction of the
Tribal Courts of the Yavapai-Apache Nation in all civil and criminal
proceedings consistent with applicable law.

2. If you are Person who has been barred from this Gaming Facility or any
other Gaming Facility in Arizona or if you have been issued a notice of
Refusal of Service or have placed yourself on the Self-Exclusion list
maintained by the Yavapai-Apache Tribal Gaming Office or the Arizona
Department of Gaming, your presence in Cliff Castle Casino is willful trespass
which may subject you to criminal prosecution and/or civil suit in the Tribal
Courts of the Yavapai-Apache Nation or, where applicable, Federal or State
Court.

3. If you a person under the age of 21 and attempt to place a wager in
Cliff Castle Casino, your actions may subject you to criminal prosecution
and/or civil suit for trespass in the Tribal Courts of the Yavapai-Apache Nation
or, where applicable, Federal or State Court.

[History: Section 1603 Revised and Amended by Resolution 55-06]

55


CHAPTER 19: OTHER PROVISIONS
Section 1901. Severability
(a) In the event that any section or subsection of this Code be held invalid or

unenforceable by a court of competent jurisdiction, such holding shall not invalidate or render
unenforceable any other section or subsection of this Code.

[History: Section 1901 Revised and Amended by Resolution 55-06]

Section 1902. Effective Date

(a) This Gaming Code shall be effective as of the date the National Indian Gaming
Commission approves this Title.

[History: Section 1902 Revised and Amended by Resolution 55-06]
Section 1903. Agent for Service of Process.

(a) The Tribal Chairperson is the authorized agent for service of process.

[History: Section 1903 Revised and Amended by Resolution 55-06]

62


affirm the decision of the Commission unless such decision is arbitrary,
capricious, or otherwise in contravention of applicable law.

2. Time Limits. An appeal of a final decision to suspend, revoke or non-renew
a Gaming License must be filed in writing within ten (10) days after receipt of
said decision by the Licensee.

[History: Section 718 Revised and Amended by Resolution 55-06]

CHAPTER 8: EMPLOYMENT GUIDELINES

Section 801. Qualifications for Employment and Consent to Testing

(a) Employees of the Gaming Facility Operator and Tribal Gaming Office shall be
of good moral character, shall not have been convicted of any felony or gaming offense, and,
as a condition of their contract of employment, shall agree to any lawful means of testing for
truthfulness, including but not limited to polygraph testing, at any time and without prior
notice, concerning the handling, collection, and/or disbursement of gross receipts, and to any
lawful drug testing. No Person shall be employed whose prior activities, criminal record if
any, reputation, habits, or associations pose a threat to the public interest or to the effective
regulation and control of Gaming Activities, or create or enhance the dangers of unsuitable,
unfair, or illegal practices, methods, and activities in the operation or conduct of Gaming
Activities or the carrying on of the business and financial arrangements incidental thereto.

(History: Section 801 Revised and Amended by Resolution 55-06]

Section 802. Preference in Employment
(a) Members of the Nation who meet the minimum required qualifications for

employment shall be given absolute preference with respect to hiring and promotions for
positions with the Gaming Facility Operator and Tribal Gaming Office. Preference shall be
based on the following criteria and shall be given in the following order:

1. Enrolled Tribal Members;

2. Spouses or children of Enrolled Tribal Members;

3. Enrolled members of other recognized Native American Tribes;

4. Veterans; and

5. All other Persons.

[History: Section 802 Revised and Amended by Resolution 55-06]

35


Section 803. Personnel Policies

(a) The Gaming Facility Operator shall maintain written personnel policies that shall
be provided to each employee. The Tribal Gaming Office shall operate under the Nation's
written personnel policies.

[History: Section 803 Revised and Amended by Resolution 55-06]
Section 804. Hiring and Training of Employees

(a) The Gaming Facility Operator and the Tribal Gaming Office shall provide
appropriate and timely training to their employees. The Gaming Facility Operator shall train
all employees who are Enrolled Tribal Members and their spouses and children pursuant to
written training programs containing specified time lines to allow such employees to acquire
the experience and skills necessary to become managers and supervisors in Gaming
Activities.

[History: Section 804 Revised and Amended by Resolution 55-06]
Section 805. Expenses of Training Employees

(a) The expense of providing training to employees of the Gaming Facility Operator
shall be an operating expense of the Gaming Facility Operator and the expense of providing
training to employees of the Tribal Gaming Office shall be an operating expense of the Tribal
Gaming Office.

[History: Section 805 Revised and Amended by Resolution 55-06]

Section 806. Identification

(a) All employees of the Gaming Facility Operator, and all employees of the Tribal
Gaming Office shall wear in plain view, identification cards issued by the Tribal Gaming
Office which shall, at a minimum, include a photograph, first and last name, an identification
number unique to the individual Tribal License, the Nation's seal, and a date of expiration.
The Gaming Facility Operator shall have responsibility for preparing and issuing visitors
badges.

[History: Section 806 Revised and Amended by Resolution 55-06]

Section 807. Prohibition Against Employees Playing

(a) Commissioners and employees of the Tribal Gaming Office shall not play any
Class II or Class III Gaming in any Gaming Facility owned by the Nation. Employees of the
Gaming Facility Operator may play Class II and Class III Gaming pursuant to procedures
established by the Gaming Facility Operator, except that:

36


7. Implementing a procedure for the confidentiality, maintenance, and
appropriate dissemination of the self exclusion list by the Gaming Facility
Operator, including the necessary identifying information received by the
Gaming Facility Operator from the Tribal Gaming Office concerning Self-
Excluded Persons; and

8. Provide training to employees of the Gaming Facility Operator in
procedures for identification of Self-Excluded Persons and prompt notification
to the appropriate individuals within the Gaming Facility.

(History: Section 1402 Revised and Amended by Resolution 55-06]
Section 1403. Responsibilities of the Commission regarding Self-Excluded Persons

(a) Commissioners have the responsibility to ensure that the Gaming Facility
Operator is kept aware of Self-Excluded Persons. The Commission shall:

1. Establish a procedure for adding and removing Persons listed on the
State Gaming Agency's list of Self-Excluded Persons to the Commissioner's
list of Self-Excluded Persons and to promptly disseminate the updated lists to
the Gaming Facility Operator, and if applicable, to any other Person having
responsibilities for enforcing the provisions relating to Self-Excluded Persons
within the Gaming Facility;

2. Implement a procedure for the confidentiality, maintenance, and
appropriate dissemination of the self-exclusion list, including the necessary
identifying information received by the Tribal Gaming Office from the State
concerning Self-Excluded Persons;

3. Compile identifying information concerning Self-Excluded Persons,
such information to contain at a minimum the full name and any aliases of the
Person, a photograph of the Person, the social security or driver's license
number of the Person and the mailing address of the Person; and

4. Provide training to employees of the Tribal Gaming Office in
procedures for identification of Self-Excluded Persons and prompt notification
to the appropriate individuals within the Gaming Facility and the Tribal
Gaming Office.

[History: Section 1403 Revised and Amended by Resolution 55-06]

Section 1404. Limitations on Liability: No Waiver of Sovereign Immunity for Self-
Exclusion.

(a) Neither the Nation, the Gaming Facility Operator, the Tribal Gaming Board, the
Tribal Gaming Office, nor any employee thereof shall be liable to any Self-Excluded Person
or to any other party in any proceeding and neither the Nation, the Gaming Facility Operator,
the Tribal Gaming Board, the Tribal Gaming Office, nor the Commissioners shall be deemed
to have waived their sovereign immunity with respect to any Person for any harm, monetary
or otherwise, which may arise as a result of:

51


9. Hotel personnel.

[History: Section 703 Revised and Amended by Resolution 55-06]

Section 704. Lodge Employees

(a) Employees who work exclusively at the Cliff Castle Lodge and Conference Center
and the Gathering Restaurant are not required to be licensed by the State or the Tribal Gaming
Office, so long as they provide no services within the Gaming Facility and do not have access
to restricted areas.

[History: Section 704 Revised and Amended by Resolution 55-06]

Section 705. Tribal Gaming Office Employees and Commissioners

(a) All Tribal Gaming Office employees, including the Commissioners, are required
to be licensed through the Nation and certified by the State.

(History: Section 705 Revised and Amended by Resolution 55-06]

Section 706. Utilization of Gaming Employees

(a) When the needs of the business dictate, the Gaming Facility Operator may utilize
any Gaming Employee holding a valid license in any other position within the Gaming
Facility without requiring a new license from the Tribal Gaming Office as long as that
employee has authorized access to areas required by the other position.

[History: Section 706 Revised and Amended by Resolution 55-06]
Section 707. License Application

(a) Each Applicant for a License shall file with the Tribal Gaming Office a written
application in the form prescribed by the Commission along with the Applicant's fingerprint
card, current photograph, and the fee required by the State Gaming Agency and Tribal
Gaming Office. For purposes of these requirements, the Yavapai-Apache Nation Tribal
Gaming Office is hereby identified as the law enforcement agency that processes the
fingerprints and forwards them to the Arizona Department of Public Safety, as set forth in 25
C.F.R. 522.2(b)The Applicant may not withdraw an application without the permission of the
Tribal Gaming Office. Copies of all license application materials shall be provided to the
Applicant, upon his/her request.

1. The following notice shall be placed on the application form for a Key
Employee or a Primary Management Official before that form is filled out by
an Applicant:

24


CHAPTER 16: TRESPASS; CONSENT TO JURISDICTION

Section 1601. Trespass

(a) The following Persons are deemed to have committed Trespass on the Premises
where any Gaming Activity is conducted by the Nation:

1. Any Self-Excluded Person who enters any Gaming Facility of the
Nation;

2. Any Person under the age of 21 years who places or attempts to place
any Wager, directly or indirectly, in any Gaming Activity conducted in the
Gaming Facilities of the Nation, so long as such conduct remains prohibited
under Tribal law and State Law;

3. Any Person who enters any Gaming Facility of the Nation who has
been excluded from the Indian Lands of the Nation pursuant to Article V(t) of
the Tribal Constitution and other applicable laws of the Nation;

4. Any Barred Person excluded from the Premises by action of the
Commission;

5. Any Person who has been issued a Refusal of Service by the Gaming
Facility Operator and who refuses to immediately leave or returns to the
Premises before the expiration of the Refusal of Service;

6. Any other Person who enters, remains, refuses to immediately leave, or
returns to the Premises in contravention to the oral or written request of an
agent of the Tribal Gaming Office, a public safety officer, or any authorized
agent of the Gaming Facility Operator, for the duration of the oral or written
request and any extension thereof.

[History: Section 1601 Revised and Amended by Resolution 55-06]
Section 1602. Prosecution for Trespass
(a) The Nation or the Tribal Gaming Office may initiate a civil suit for Trespass, and
to the extent permitted by law, a criminal prosecution against any Person who commits
trespass upon the Gaming Facilities or property of the Nation or upon a Person or property of

another while on the Premises of the Gaming Facilities of the Nation. Such action shall be
filed in the Tribal Courts of the Nation.

[History: Section 1602 Revised and Amended by Resolution 55-06]

54


EXHIBIT “A”


CHAPTER 11: PROMULGATION OF REGULATIONS BY THE COMMISSION:
COMMISSIONERS APPROVAL OF GAMING FACILITY RULES AND
PROCEDURES.

Section 1101. Authority to Promulgate Regulations

(a) The Commission has authority to promulgate written Regulations to guide the
activity of Persons responsible for conducting Gaming Activity on the Indian Lands of the
Nation, subject to procedural requirements of the APA

[History: Section 1101 Revised and Amended by Resolution 55-06]

Section 1102. Notice and Comment

(a) When promulgating Regulations pursuant to the Commissioners’ regulatory
responsibilities and authority under this Code, the Compact and appendices, the Commission
shall comply with the notice and comment procedures contained in the Yavapai-Apache
Nation Administrative Procedures Act, unless a different procedure is otherwise called for by
the Gaming Code, the Compact, or its appendices:

[History: Section 1102 Revised and Amended by Resolution 55-06]

Section 1103. Commission Review of Gaming Facility Operator's Plans, Rules,
Procedures or Tournament Standards

(a) Right to Audit. Unless specifically required by this Gaming Code, the Tribal
Gaming Office shall not require submission of the Gaming Facility Operator's plans, rules, or
procedures for advance review prior to implementation. The Tribal Gaming Office has the
authority to audit such plans, rule, or procedures after implementation for regulatory
compliance.

(b) Submission for Prior Approval; Time Limits. Where the Compact, its appendices,
or this Code requires the Gaming Facility Operator to submit plans, rules, procedures,
tournament standards or the like to the Commission for review and approval prior to
implementation, the following procedures shall apply.

1. The Commission shall submit to the Gaming Facility Operator any
written comments and/or objections to the proposed plans, rules, procedures or
standards, within ten (10) days of receipt. If the Commissioners do not provide
written comments and/or objections to the proposed plans, rules, procedures or
standards within ten (10) days of receipt, then the plans, rules, procedures or
standards are deemed approved by the Commission.

43


Section 1003. Actions Initiated by the Nation, the Gaming Facility Operator, or the
Tribal Gaming Board.

(a) Appeal of Adverse Decision, Order or Ruling. Except as otherwise provided in the
Gaming Code, the Gaming Facility Operator, the Nation, or the Tribal Gaming Board may file
a written appeal from any final decision, order or ruling of the Tribal Gaming Office to the
Tribal Court. Such appeal must be filed with the Clerk of the Tribal Court within ten (10)
days after receipt of the final order, decision or ruling in conformance with the applicable
rules of procedure for the Tribal Court, as may be amended from time to time by the Tribal
Council. A copy of the appeal also must be sent simultaneously to the Executive Director of
the Tribal Gaming Office.

1. In reaching its decision, the Tribal Court shall consider only such
evidence relating to the decision, ruling or order from which appeal is taken as
appears in the records of the Tribal Gaming Office and was available to the
Commissioners at the time of their decision, order or ruling.

2. The Tribal Court may affirm, reverse, vacate, or modify a decision,
tuling or order of the Commission; provided that the Tribal Court shall affirm
the decision, ruling or order of the Commission unless such decision, ruling or
order is arbitrary, capricious, or otherwise in contravention of applicable law.

(b) Review of Regulations Promulgated by the Tribal Gaming Office. The Tribal
Gaming Board or the Gaming Facility Operator may appeal a final regulation promulgated by
the Tribal Gaming Office to the Tribal Court. The Tribal Court shall affirm the validity of the
regulation, unless such regulation is found to be arbitrary, capricious, or otherwise in
contravention of applicable law.

[History: Section 1003 Revised and Amended by Resolution 55-06]

Section 1004. Actions for Trespass

(a) The Nation or the Tribal Gaming Office may, based upon reasonable grounds or
reliable complaint made, bring an action in the Tribal Court against any person who commits
Trespass upon the Premises as provided for in Section 16 of this Code.

[History: Section 1004 Revised and Amended by Resolution 55-06]
Section 1005. Remedies

(a) The Tribal Court may award monetary damages, back-pay, attorneys fees,
injunctive relief, punitive damages, criminal and civil penalties, fines, restitution, forfeiture of
property and evidence, costs of administrative proceedings and investigations, taxes, duties or
fees or any other relief that is just and equitable under the circumstances to the prevailing

party.

41


52.

53.

54.

55.

56.

57.

58.

59.

60.

61.

62.

63.

to be interpreted. Gaming Regulations are not laws enacted by the Tribal Council of
the Nation and do not have the force or effect of law, unless formally adopted by
Resolution of the Tribal Council.

"Regulatory Violation" means noncompliance with specific provision or provisions of
a Regulation, which violation is not required by the Compact to be reported to the
State.

"Restricted Area" means all Non-public areas within the Gaming Facility excluding
the Secured Areas; examples are administrative offices, team member break room, and
team member hallways.

"Secured Area" means the following areas within the Gaming Facility: the cashier’s
cage, count rooms, change booth, change bank/cabinets, Gaming Device repair and
storage areas, surveillance, the vault, security offices, Tribal Gaming Office offices,
revenue accounting offices, and rooms containing information systems that monitor or
control Gaming Activities.

“Self-Excluded Person" means a Person who, by acknowledging that he or she is a
problem gambler, has voluntarily placed his or her name on the Nation's and/or the
State Gaming Agency's self-exclusion list.

"State Certification" means the process utilized by the State Gaming Agency to ensure
that all Persons required to be certified are qualified to hold such certification in
accordance with the provisions of the Compact.

"State Gaming Agency" means the agency of the State of Arizona, which the Governor

may from time to time designate by written notice to the Nation as the single State
agency, authorized to act on behalf of the State under the Compact.

"Suspicious Activity" means Unusual Occurrence.
"Temporary Exclusion" means an immediate removal of a person from the Gaming
Facility by the Tribal Gaming Office employees based on probable cause to believe

that the Commission have grounds to permanently bar this patron.

"Trespass" means a Person who has unlawfully entered or remained on the Premises in
violation of this Code.

"Tribal Constitution" means the Constitution of the Yavapai-Apache Nation as
amended.

"Tribal Council" means the Tribal Council of the Yavapai-Apache Nation, the
governing body of the Nation.

"Tribal Court" means the judiciary of the Yavapai-Apache Nation.

11


CHAPTER 15: UNDER THE AGE GAMBLING PROHIBITED

Section 1501. Prohibition Against Gambling by Persons under the Age of 21 Years

(a) No Person under 21 years of age may place any Wager, directly or indirectly, in
any Gaming Activity, unless the State amends its law to permit wagering by Persons under 21
years of age in any Gaming Activity by a Person or entity other than an Indian tribe,
whereupon the Nation may amend Tribal law to change the lawful gaming age under the
Compact to correspond to the lawful gaming age under State law.

(b) Unless the Nation amends Tribal law to permit wagering by Persons under 21
years of age as described at Section 1501(a) of this Code, any Wager placed by a Person
under the age of 21 years in the Gaming Facilities of the Nation is automatically void and the
Gaming Facility Operator shall not knowingly payout any winnings arising out of such
Wager, and any payout inadvertently paid to such underage person shall be and is
immediately forfeited to the Gaming Facility Operator.

(c) Neither the Nation, the Gaming Facility Operator, the Tribal Gaming Board, the
Tribal Gaming Office, nor any employee thereof shall be deemed to have waived the
sovereign immunity of the Nation or be liable in any way to a Person under 21 years of age or
to any other party in any proceeding as a result of the participation of a Person under 21 years
of age in the Gaming Activities of the Nation in violation of this Code and the Compact, or as
a result of such Person being prohibited from participating in any Gaming Activity of the
Nation.

[History: Section 1501 Revised and amended by Resolution 55-06]

53


(e) It shall be unlawful for any Person to have on his or her person or in his or her
possession any paraphernalia for manufacturing slugs.

[History: Section 1803 Revised and Amended by Resolution 55-06]

Section 1804. Possession of Paraphernalia

(a) Possessing paraphernalia for manufacturing slugs, which includes possession of
more than one device, piece of equipment, product or material described in this Section, shall
create, in any action against the possessor resulting from such possession, a rebuttable
inference that the possessor intended to use them for the purpose of cheating.

[History: Section 1804 Revised and Amended by Resolution 55-06]

Section 1805. Marking, Alteration or Modification of Equipment and Devices
Associated with Gaming; Unlawful Instruction

(a) It shall be unlawful to mark, alter or otherwise modify any Gaming Device in a
manner that:

1. Affects the normal criteria of random selection or Gaming Device, as
defined in the Compact or its appendices, affecting the operation of a game or
which determines the outcome of a game; or

2. Alters the normal criteria of random selection affecting the operation of
a game or which determines the outcome of a game.

(b) It shall be unlawful for any person to instruct another in cheating or in the use of
any device for that purpose, with the knowledge or intent that the information or its use so
conveyed may be employed to violate any provision of this Code, the Compact or its
appendices.

[History: Section 1805 Revised and Amended by Resolution 55-06]
Section 1806. Penalties

(a) Any Person who violates any provision of this Section shall be punished to the
maximum extent allowable by Tribal, Federal, and State law.

(b) Any Person or Persons who attempt(s), or two or more persons who conspire, to
violate any provision of this Section, shall each be punished by imposing the penalty provided
in Section 1806(a) of this Code, or in conformance with any other applicable penalty pursuant
to Tribal, Federal, or State law, for the completed crime, whether or not he or she personally
played any gambling game or used any prohibited device.

[History: Section 1806 Revised and Amended by Resolution 55-06]

59


CHAPTER 3: NOTICE PROVISIONS
Section 301. Notice

(a) Any notice required pursuant to this Gaming Code shall be in writing, unless
otherwise specified herein.

[History: Section 301 Revised and Amended by Resolution 55-06]

13


approved by the NIGC Chairman.

NOW THEREFORE BE IT RESOLVED by the Tribal Council that the Revised Gaming Code, a
true and correct copy of which is attached to this Resolution, be adopted as Title 8 of the Yavapai-
Apache Nation Tribal Codes, subject to final approval by the NIGC.

BE IT FURTHER RESOLVED that the Tribal Council hereby withdraws the May 4, 2006
submission of the Gaming Code and authorizes the submission of the Revised Gaming Code
(Exhibit A) along with a certified copy of this Resolution to the National Indian Gaming
Commission and the Arizona Department of Gaming by the Nation's Attorney General.

BE IT FURTHER RESOLVED that the effective date of the Revised Gaming Code shall be the
date that it is approved in writing by the Chairman of the National Indian Gaming Commission ("the
effective date").

BE IT FURTHER RESOLVED that the Revised Gaming Code shall from its effective date
forward control the Nation's Gaming operations and shall repeal and supersede any and all Gaming
Ordinances and Gaming Codes previously enacted by the Tribal Council.

CERTIFICATION

I hereby certify that the foregoing resolution was adopted by an affirmative vote of the
Tribal Council, at a Special Meeting of the Tribal Council with a quorum present on < 3
2006, by a vote of (» in favor, _\_ opposed and _© abstaining, pursuant to the authority
contained under the Constitution of the Yavapai-Apache Nation.

ATTEST:
Kaba Camir
Karla Reimer, Council Secretary


non-renewal pursuant to Section 717 of this Code and shall state the specific facts giving rise
to the alleged violations thereof. The Notice shall also specify a time, place and date for a
preliminary administrative hearing to be held before the Commission not less than twenty(20)
days after the Licensee receives the notice, unless the Licensee requests a later date, which
request shall not be unreasonably refused. Service shall be by personal hand delivery to the
Licensee or by certified mail, return receipt requested, to the Licensee at the address shown
upon the records of the Tribal Gaming Office. A copy shall be provided to the Tribal Gaming
Board and to the Gaming Facility Operator.

(c) Access to evidence. The Licensee shall have immediate access to and be entitled
to copies of all documents, reports, tapes, or other evidence relied upon by the Commission
prior to the preliminary administrative hearing. The Licensee may provide a written
Response, setting forth any denials or defenses to the allegations at least five (5) days prior to
the preliminary administrative hearing. The Licensee may be accompanied by Counsel or
another representative of his/her choice.

(d) Preliminary Administrative Hearing. The Preliminary Administrative Hearing
shall be recorded electronically or stenographically and the records shall be maintained for six
months or until all appeals have been exhausted. The Commission shall fairly consider the
evidence presented by the Licensee, including documentary or testimonial evidence. The
burden of proof shall be on the Commission to show by a preponderance of the evidence that
the License should be suspended, revoked or non-renewed.

(e) Decision by Commission. The Commissioners shall issue their final decision in
writing within twenty (20) days following the Preliminary Administrative Hearing. Based on
the evidence presented, the Commission may:

1. Dismiss the charges; or

2. Condition dismissal of the charges on the Licensee taking specified
corrective action within a stated time period; or.

3. Issue a Final Decision to Suspend, Revoke or Non-renew the License.

(f) Additional Sanctions. Upon its determination to suspend or revoke a License the
Commission, in addition to any other penalties that may be imposed, may declare the
Licensee ineligible to operate or conduct Gaming Activity, to participate, directly or
indirectly, in the operation or conduct of Gaming Activity, or to apply for a License for a
period not exceeding twenty-four (24) months. Such declaration of ineligibility may be
extended to include any Principals, owners, officers, or directors of the Licensee, and any of
its subsidiary organizations, parent organizations, or affiliates.

(g) Licensee's Right to Appeal:

1. APA Review of Commission’ Final Decision. A Licensee may appeal an
adverse final licensing decision of the Commission to the Nation's APA Board,
as provided in the Yavapai-Apache Nation Administrative Procedures Act.
The APA Board shall hold an evidentiary hearing and may affirm, reverse,
vacate or modify the final licensing decision; provided that the Board shall

34


Section 602. Right of Inspection

(a) As required by the Compact, the Premises where any Gaming Activity is being
operated or conducted, or where it is intended that Gaming Activity will be operated or
conducted, shall at all times be open to immediate inspection by the Tribal Gaming Office and
its agents and employees, pursuant to Regulations duly promulgated by the Commission.

[History: Section 602 Revised and Amended by Resolution 55-06]

22


JUL 17 ns

RESOLUTION NO.55-06
OF THE GOVERNING BODY OF THE
YAVAPAI-APACHE NATION

A Resolution Approving the Revised Gaming Code as Title 8

of the Yavapai-Apache Gaming Code and Authorizing Submission to the NIGC for approval

WHEREAS:

WHEREAS

WHEREAS

WHEREAS.

WHEREAS:

WHEREAS

WHEREAS

WHEREAS

: The Yavapai-Apache Tribal Council ("Council") is empowered to represent the
Yavapai-Apache Nation ("Nation") and act on all matters that concem the health and
welfare of the Nation, and to make decisions not inconsistent with or contrary to the
Constitution of the Yavapai-Apache Nation; and

: The Council is the legislative body of the Nation empowered to enact laws,
ordinances, and resolutions incidental to the exercise of legislative powers as
provided by Article V(v) and (w) of the Nation's Constitution, and the Council
through its legislative powers manages and directs the economic affairs of the
Nation pursuant to Article V(i) and (k) of the Nation's Constitution, and the Council
is the legislative body charged with protecting the Nation's culture, health, welfare,
and prosperity by managing the assets of the Nation and its people and dealing with
other governmental entities in pursuing these interests as specified and authorized
pursuant to the provisions of Article V(a), (b), (e), and (1) of the Nation's
Constitution; and

: By Resolution 13-06, the Council adopted a new Gaming Code which was submitted
to the NIGC in February, 2006 for NIGC approval; and

: The NIGC attorneys reviewed the Gaming Code and through communications with
the Attorney General's office requested certain minor revisions; and

By Resolution 37-06 the Council enacted the revisions to the Gaming Code which
had been requested by the NIGC and resubmitted said Gaming Code along with a
copy of Resolution 37-06 to the NIGC for approval on May 4, 2006; and

: The NIGC by letter dated May 11, 2006 officially disapproved the Gaming Code
submitted February, 2006, stating that it would treat the May 4, 2006 Gaming Code
as a second, separate submission, and requested further revisions be made; and

: The Attorney General's office has engaged in extensive communications with the
NIGC attomeys to resolve any remaining issues and has received assurances that the
final revised Gaming Code, attached hereto as Exhibit A, meets the requirements of
IGRA and that the NIGC will make every effort to expedite approval of this version
by the NIGC Chairman; and

: The Tribal Council finds it in the best interest of the Nation to withdraw the Gaming
Code submitted to the NIGC May 4, 2006 and to adopt the revised Gaming Code of
the Yavapai-Apache Nation, Title 8 (which is attached as Exhibit A to this
Resolution) to be submitted to the NIGC and to become effective on the date it is

{


Section 1204. Deposit of Gross Receipts; Payment of Operating Expenses

(a) All Gross Receipts shall be deposited in a special account of the Gaming Facility
Operator, which shall contain only Gross Receipts. Such account(s) shall be separate and
distinct from all other accounts of the Nation. All operating expenses shall be withdrawn from
such account by consecutively numbered checks duly signed by the Gaming Facility Operator
or an official or officials thereof designated by the Gaming Facility Operator, payable to a
specific Person or organization. No check shall be drawn to "cash" or a fictitious payee.

[History: Section 1204 Revised and Amended by Resolution 55-06]
Section 1205. Annual Audit

(a) The Gaming Facility Operator shall cause to be audited the financial statements of
the Gaming Operation, not less than annually at its fiscal year end, by an independent certified
public accountant, approved by the Nation, at the expense of the Gaming Facility Operator
consistent with the terms of the Compact.

1. Reports. The independent certified public accountant shall issue a
report on audited financial statements of the Gaming Operation. The
independent certified public accountant shall perform the audit in accordance
with generally accepted auditing standards published by the American Institute
of Certified Public Accountants and submit the audited financial statements,
along with any reports the accountant has prepared, to the Tribal Council, the
Tribal Gaming Office, the Commission, and the State Gaming Agency in
accordance with all applicable regulations within one hundred twenty (120)
days after the Gaming Operation's fiscal year end. If the Gaming Facility
Operator changes its fiscal year end, it may elect either to prepare financial
statements for a short fiscal year or for an extended fiscal year, but in no event
shall an extended fiscal year extend more than fifteen months.

2. Auditors. Either the firm or all independent certified public accountants
engaged to do audits pursuant to Chapter 12 of this Code shall be licensed by
the Arizona State Board of Accountancy.

3. Audit of Contracts. Any contract for supplies, services, or merchandise
in an amount greater than twenty-five thousand ($25,000) per year, except
contracts for professional legal or accounting services, which contract relates
to Gaming Activities, shall be subject to annual outside independent certified
audits on the order of the Tribal Council at the expense of the Gaming Facility
Operator.

[History: Section 1205 Revised and Amended by Resolution 55-06]
Section 1206. Disposition of Net Revenues

(a) The Net Revenues derived from Gaming Activities shall be deposited into a

separate fund of the Nation and shall not be used for purposes other than those

contained in the Nation’s Revenue Allocation Plan, as approved by the U.S.
46


10. If, within the thirty (30) day period described above, the National
Indian Gaming Commission provides the Commission with a statement
itemizing objections to the issuance of a License to a Key Employee or to a
Primary Management Official for whom the Commissioners have provided an
application and investigative report to the National Indian Gaming
Commission, the Commission shall reconsider the application, taking into
account the objections itemized by the National Indian Gaming Commission
and make a final decision whether to issue a License to Applicant.

(History: Section 713 Revised and Amended by Resolution 55-06]
Section 714. Duration and Renewal of Tribal Licenses

(a) Any Tribal License or State Certification shall be effective for one (1) year from
the date of issuance, except that Tribal licenses and State Certifications for financiers,
Manufacturers and Distributors of Gaming Devices, and Persons providing Gaming Services,
shall be effective for two (2) years from the date of issuance. A licensed or certified employee
or Person that has applied for renewal may continue to be employed or engaged under the
expired License or State Certification until action is taken on the renewal application by the
Nation or Tribal Gaming Office, as applicable, or the State Gaming Agency. Applicants for
renewal of a License or State Certification shall provide updated material as requested, on the
appropriate renewal forms, to both the Nation or the Tribal Gaming Office, as applicable, and
the State Gaming Agency, consistent with the provisions of the Compact, but shall not be
required to resubmit historical data already available to the Nation or the Tribal Gaming
Office, or the State Gaming Agency. Additional background investigations shall not be
required of Applicants for renewal unless new information concerning the Applicant's
continuing eligibility for a License or a State Certification is discovered.

[History: Section 714 Revised and Amended by Resolution 55-06]
Section 715. Employee Standards

(a) The issuance of a License by the Tribal Gaming Office does not create or imply a
right of employment or continued employment. The Tribal Gaming Office and the Gaming
Facility Operator shall not employ, and if already employed, shall terminate, a Tribal Gaming
Office employee or Gaming Employee if it is determined by the Commission that the
Applicant:

1. Has been convicted of any felony or gaming offense;

2. Has knowingly and willfully provided materially important false
statements or information or omitted materially important information on his
or her employment application or background questionnaire; or

30


(b) In the request for hearing, the Aggrieved Person shall inform the Commission
whether he/she desires to present evidence. At the request of the Aggrieved Person, or on its
own motion, the Commission shall issue subpoenas for the attendance of witnesses and for the
production of papers, books, records, and documents. At least five days prior to the hearing
date, the Commission and the Aggrieved Person shall exchange a list of the witnesses and
exhibits to be used at the hearing.

[History: Section 903 Revised and Amended by Resolution 55-06]
Section 904. Hearing; Written Decision

(a) The Commission shall hold a hearing, which shall be recorded electronically or by
stenographic means. The Aggrieved Person shall be allowed to present testimonial and/or
documentary evidence, which shall be fairly considered by the Commission. The burden of
proof shall be on the Aggrieved Person to show by a preponderance of evidence why the
violation should be withdrawn.

(b) The Commission shall issue their written decision, including findings of fact
supporting their decision, within thirty (30) days of the hearing and shall immediately notify
the Aggrieved Person, and the Department Director, if applicable, by certified mail or
personal delivery.

(c) In the event the Commissioners decide to rescind a Compact Violation, a copy of
their written decision shall also be sent to the State Gaming Agency. The records of the

hearing shall be maintained for a minimum of six months or until all appeals have been
exhausted.

[History: Section 904 Revised and Amended by Resolution 55-06 ]

Section 905. Review of Commission Ruling

(a) An Aggrieved Person may appeal an adverse final ruling to the APA Board as
provided in Title 10, the Yavapai-Apache Nation Administrative Procedures Act.

[History: Section 905 Revised and Amended by Resolution 55-06]

39


In compliance with the Privacy Act of 1974, the following information is
provided: Solicitation of the information on this form is authorized by 25
U.S.C. §§ 2701 et seq. The purpose of the requested information is to
determine the eligibility of individuals to be employed in a Gaming Operation.
The information will be used by members and staff of the Yavapai-Apache
Nation Tribal Gaming Office and the National Indian Gaming Commission
who have need for the information in the performance of their official
duties. The information may be disclosed to appropriate Federal, tribal, state,
local, or foreign law enforcement and regulatory agencies when relevant to
civil, criminal, or regulatory investigations or prosecutions or when, pursuant
to a requirement by a tribe or the National Indian Gaming Commission, the
information is relevant to the hiring or firing of an employee, the issuance or
revocation of a gaming license, or investigations of activities while associated
with a tribe or a Gaming Operation. Failure to consent to the disclosures
indicated in this notice will result in a tribe's being unable to hire you in a
primary management official or key employee position with a tribal gaming
enterprise. The disclosure of your Social Security Number ("SSN") is
voluntary. However, failure to supply a SSN may result in errors in processing
your application.

2. The following notice shall also be placed on the application form for a
Key Employee or a Primary Management Official before that form is filled out
by an Applicant:

A material false statement on any part of your application may be grounds for
not hiring you, or for firing you after you begin work. Also, you may be
punished by fine or imprisonment pursuant to 18 U.S.C. § 1001.

3. The Tribal Gaming Office shall request from each Applicant, and from
each Principal, Primary Management Official, and Key Employee of each
Applicant, all of the following information:

(i) Full name, other names used (oral or written), social security
number(s), birth date, place of birth, citizenship, gender, and all
languages spoken or written;

(ii) Currently and for the previous five (5) years, business and
employment positions held, ownership interests in those businesses,
business and residence addresses, and driver's license numbers;
provided that all Applicants who are a Primary Management Official,
Key Employee, Manufacturer and Supplier of Gaming Devices, and/or
a Person providing Gaming Services, must provide such information
currently and from the age of eighteen;

(iii) The names and current addresses of at least three personal
references, including one personal reference who was acquainted with
the Applicant during each period of residence listed in Section
7(D)(2)(b) of this Code;

25


34.

35.

36.

37.

38.

39.

40.

41.

42.

43.

44,

"Manufacturer" means any Person that manufactures Gaming Devices and/or
component parts thereof as defined by the Compact for use or play in the Gaming
Facilities.

"Minimum Internal Controls" or "MICS" means the standards designated as such by
the Commission, pursuant to 25 USC 2701 et seq.

"Nation" means the Yavapai-Apache Nation, a federally recognized Indian Nation.

"National Indian Gaming Commission" or "Commission" means the National Indian
Gaming Commission established by the Indian Gaming Regulatory Act, 25 U.S.C. §§
2701-21, 18 U.S.C. §§ 1166-68.

"Net Revenues" means the Gross Receipts less the operating expenses, which include
but are not limited to wages, management fees, prizes, utilities costs, insurance costs,
advertising costs, repair costs, maintenance costs, costs of supplies, security services
costs, janitorial services costs, trash removal costs, taxes, rent, lawyers’ and
accountants’ fees, repayment of capital contributions, and such other deductions or
charges as may be specifically authorized hereunder.

"Non-gaming employee" means any Gaming Employee who works in the Gaming
Facility but is not required to be certified by the State pursuant to the Compact or this
Code, pursuant to Section 4(b) 1-9 of the Compact.

“Non-public area” means any area within the Gaming Facility that requires any badge
authorized by TGO.

"Occasion" means a gathering at which a Gaming Activity is conducted.

"Patron Dispute" means the dispute that occurs whenever the Gaming Facility
Operator refuses payment of alleged winnings to a patron or there is otherwise a
dispute regarding that patron's wins or losses from Gaming Activity, and the Gaming
Facility Operator and the patron are unable to resolve the dispute to the satisfaction of
the patron.

"Person" includes a natural person, trust, firm, company, association, partnership,
society, political subdivision, government agency, municipality, industry, public or
private corporation, or any other entity whatsoever, except that the term "Person" does
not include the Nation or the Tribal Council.

"Player Activated Lottery Terminal" means an on-line computer system that is player
activated, but that does not provide the player with interactive gaming, and that uses
the terminal for dispensing purposes only, in which:

a. The terminal algorithm is used for the random generation of numbers;
b. The tickets dispensed by the terminal do not allow the player the means to play
directly against the terminal;


(d) There must be displayed in a conspicuous place in the gaming enterprise a notice
in boldface type which is clearly legible in substantially this form:

1. Agents of the Tribal Gaming Office or the State Gaming Agency, or
any public safety officer who has Probable Cause for believing that a Person
has violated Chapter 18 of the Yavapai-Apache Nation Gaming Code
prohibiting cheating or other fraudulent acts in gaming may detain that person
in the Gaming Facility.

[History: Section 1808 Revised and Amended by Resolution 55-06]

Section 1809. Disposition of Evidence or Other Property Seized by Agent of the Tribal
Gaming Office

(a) Except as otherwise provided in the Compact and its appendices, any evidence of
cheating, fraudulent acts or other violations of this Section, seized from the suspected
perpetrator, shall be turned over to the custody of the Tribal Police pending resolution bya
court of competent jurisdiction. If no prosecution is undertaken or the court dismisses the
case, any Person who has a claim to the seized evidence may file a written claim for return of
said evidence with the Tribal Gaming Office within 30 days of receiving notice from the
Tribal Gaming Office.

(b) If more than one Person files a claim for the evidence or property:

1. The Persons who have filed a claim for such evidence or may agree
among themselves as to how they wish to divide the evidence or property, or

2. The Persons who have filed a claim for such evidence or property may
agree to submit the matter to binding arbitration or any single Person may
institute legal proceedings before the Tribal Court to determine the proper
disposition of the evidence or property. The Commission shall return the
evidence or property to the Persons who have filed a claim for such evidence
or property in accordance with any agreement among the Persons who filed the
claim or a final judgment or award made pursuant to the provisions of this
Section.

3. A Person to whom evidence or property is returned by the Commission
pursuant to this Section shall execute such documents as are required by the
Commission to defend, hold harmless, indemnify and release the Commission
from any liability arising from the delivery of the evidence or property to the
claimant.

4. If no claim is submitted within the thirty (30) days as provided herein,
the Nation may use such evidence or property for any lawful purpose. The
Commission may dispose of any evidence or property, which cannot be used
for any lawful purpose in any reasonable manner.

[History: Section 1809 Revised and Amended by Resolution 55-06]

61


Department of the Interior.

(b) In no event shall the Net Revenues from any tribal gaming be used for
purposes other than:

(69) to fund tribal government operations or programs;

(ii) __ to provide for the general welfare of the Indian tribe and its members; and

(iii) to promote tribal economic development; and

(iv) to donate to charitable organizations; or

(v) _ to help fund operations of local government agencies.

[History: Section 1206 Revised and Amended by Resolution 55-06]
Section 1207. Compliance with Internal Revenue Code

(a) The Gaming Facility Operator shall maintain a permanent record containing the
name and address of each player who receives a prize as required by and in accordance with
the Internal Revenue Code. The Gaming Facility Operator will provide the State Gaming
Agency a copy of the documentation the Gaming Facility Operator submits to the Internal
Revenue Service indicating such game winnings of patrons of the Gaming Operation.

[History: Section 1207 Revised and Amended by Resolution 55-06]

47


(b) Equipment, prizes, and supplies for Gaming Activities shall not be purchased or
sold at prices in excess of a reasonable price thereof.

[History: Section 1304 Revised and Amended by Resolution 55-06}
Section 1305. Limits on Prizes

(a) The size of the prizes offered or given in Class II or Class II] Gaming or on any
occasion shall be determined by the Gaming Facility Operator, subject to such limits as may
be established by the Compact, its appendices or the Tribal Council of the Nation.

[History: Section 1305 Revised and Amended by Resolution 55-06]
Section 1306. Patron Disputes

(a) All Patron Disputes shall be handled in accordance with the requirements in the
Compact. No Person may bring an action for the resolution of a Patron Dispute unless the
Person immediately notifies an employee of the Tribal Gaming office or the Gaming Facility
Operator of the disputed matter.

(b) All Patron Disputes arise exclusively under principles of common law contract,
and such disputes shall not, under any circumstances, create a cause of action under any other
principle of law including, but not limited to, principles of property law or tort law. Damages,
costs, expenses, and attorneys’ fees shall not be awarded to a patron in any Patron Dispute,
and in no event shall a patron be entitled to recover more than the patron's alleged winnings.

[History: Section 1306 Revised and Amended by Resolution 55-06]

Section 1307. Financial Services in Gaming Facilities

(a) The following financial services shall be prohibited by the Gaming Facility
Operator:

1. Locating an automatic teller machine ("ATM") adjacent to, or in close
proximity to any Gaming Device;

2. Locating in a Gaming Facility an ATM that accepts electronic benefit
transfer cards issued pursuant to a state or Federal program that is intended to
provide for needy families or individuals;

3. Accepting checks or other non-cash items issued pursuant to a state or
Federal program that is intended to provide for needy families or individuals;
and

4. Extending credit to any patron of a Gaming Facility for Gaming
Activities.

[History: Section 1307 Revised and Amended by Resolution 55-06]

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64.

65.

66.

67.

68.

"Tribal Gaming Board" or "Gaming Board of Directors" means the Management
Board appointed by the Yavapai-Apache Tribal Council pursuant to the Cliff Castle
Casino Board of Directors Act.

"Tribal Gaming Office" means the tribal regulatory agency designated by action of the
Tribal Council as the entity which shall exercise the civil regulatory authority of the
Nation over Class II] Gaming Activities pursuant to this Gaming Code.

"Unusual Occurrence" means an action or event that is beyond the ordinary and
expected behavior of persons in the gaming facility and tends to suggest criminal
behavior. Suspicious activity is an Unusual Occurrence.

"Wager" means:

a.

In the case of a Gaming Device, the sum of money placed in the Gaming
Device in cash, or cash equivalent, by the player, which will allow activation
of the next random play of the Gaming Device.

In the case of poker, the sum of money placed into the pot and onto the card
game table by the player in cash, or cash equivalent, which entitles the player
to an initial deal of cards, a subsequent deal of a card or cards, or which is
required to be placed into the pot and onto the card game table by the player
entitling the player to continue in the game.

In the case of blackjack, the sum of money in cash, or cash equivalent, placed
onto the blackjack table by the player entitling the player to an initial deal of
cards and to all subsequent cards requested by the player.

"APA" refers to the Yavapai-Apache Administrative Procedures Act, Title 10 of the
Yavapai-Apache Nation Tribal Code.

[History: Chapter 2 Revised and Amended by Resolution 55-06]

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