1.500 "Tribal" means the Pascua Yaqui Tribe its authorized officials, agents and
representatives.

1.510 "Tribe" means the Pascua Yaqui Tribe, its authorized officials, agents and
representatives.

1.520 “Wager” means,

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

(2) Inthe 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.

(3) Inthe case of blackjack, the sum of money in cash, or cash equivalent,

placed onto the Card Game Table by the player entitling the player to
an initial deal of cards and to all subsequent cards requested by the

player.
CHAPTER 2
ADMINISTRATION

2.010 Tribal Gaming Office. The Pascua Yaqui Tribal Gaming Office is hereby
established. The Tribal Gaming Office shall consist of an Executive Director appointed by
the Tribal Council and such other staff as the Executive Director may appoint. The
Executive Director shall be a contract employee of the Pascua Yaqui Tribe. The Tribal
Chairman shall be authorized to negotiate and execute the terms of said employment
contract subject to the approval of the Tribal Council.

2.020 Restrictions on Tribal Gaming Office. The Executive Director and other
employees of the Tribal Gaming Office may not hold other Tribal positions nor may they
engage in any business which is subject to the provisions of this Ordinance. Tribal gaming



1. After the respondent files an answer to the complaint, the Chairperson may
direct the parties to participate in a conference or conferences before the hearing on the
merits, for such purposes as expediting the disposition of the action, resolving discovery
issues, and facilitating the settlement of the case.

2. The participants at any prehearing conference under this section shall be
prepared to consider and take action with respect to any or all of the following, as
determined by the Chairperson:

a. The formulation and simplification of the issues;

b. The necessity or desirability of amendments to the complaint or
answer;

cor The possibility of obtaining admissions of fact and of documents

which will avoid unnecessary proof, stipulations regarding the
authenticity of documents, and advance rulings from the chairman
on the admissibility of evidence;

d. The avoidance of unnecessary proof and of cumulative evidence,

e. The identification of witnesses and documents, the need and
schedule for filing and exchanging prehearing briefs, and the date or
dates for further conferences and for the hearing on the merits;

f. The possibility of settlement;

& The disposition of pending motions;

h. The possibility that all evidence can be submitted by affidavits,
transcripts, and other documents; and

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

3. After any conference held pursuant to this Chapter, the parties shall set forth
in a written stipulation, to be filed with the Chairperson, any matters no
longer in dispute. As to those matters for which no agreement has been
reached, but which require a ruling from the hearing panel, the Chairperson
shall enter an order reciting the ruling.


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

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

3. The Tribal Gaming Office or the State Gaming Agency may require the
testing of any slot machine or gaming device to ensure compliance with the requirements
of this Section. Any such testing shall be conducted by persons selected by the agency
requiring the testing and shall be at the expense of the licensed manufacturer unless
otherwise agreed.

CHAPTER 6
HEARINGS

6.010 Licensing hearings.

1. The Tribal Gaming Office may hold hearings to consider any application for
a license or a finding of suitability. Written notice of such hearing shall be mailed to the
applicant, certified mail, return receipt requested, at least 30 days before the hearing date.

2. At the hearing, the applicant shall be allowed to present any relevant
information pertaining to the application, including, but not limited to, the live testimony
of witnesses. Any written documentation that the applicant intends to present at the
hearing shall be provided to the Tribal Gaming Office at least seven days prior to the
hearing or it may be excluded from consideration. Representatives of the State Gaming
Agency shall be allowed to be present at any such hearing and shall be allowed to present
any information relevant to the application.

3. Upon the conclusion of the hearing, the Tribal Gaming Office shall issue a
decision upon the application. The Tribal Gaming Office may approve any application
recommended for approval by the State Gaming Agency. A majority vote of the Tribal
Council is required to approve any application recommended for denial by the State
Gaming Agency.

6.020 Patron dispute hearings.


8.010

provisions of the Compact, Tribal Gaming Ordinances or tribal gaming regulations.
The hearing panel may impose a civil fine of not more than $5,000 for each separate
violation. All fines must be paid to the Tribe within 15 days after the decision is
issued imposing the fine unless otherwise ordered by the Office.

CHAPTER 8
ACCOUNTING REGULATIONS

Definitions. As used in this Chapter:

1.

8.020

Unless otherwise specified, "Executive Director" means the Executive
Director of the Tribal Gaming Office or his designee.

“Business year" means the annual period used by the Gaming Facility
Operator for internal accounting purposes.

"Fiscal year" means the fiscal year utilized by the Gaming Facility Operator.

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

"Statistical drop" means the dollar amount of cash wagered by a patron that
is placed in the drop box plus the dollar amount of chips or tokens
purchased at a table by a patron with currency with currency or credit
instruments.

"Statistical win" means the dollar amount won by the licensee through table
play.

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

Tribal Gaming Office audit procedures.

The Facility Gaming Operator, in accordance with Compact provisions, shall
select independent certified accountants to perform an annual audit of the
following audit functions for the Gaming Operation:

a. To conduct periodic audits or reviews of the books and records of the
Gaming Operation,

b. To review the accounting methods and procedures used by the
Gaming Facility Operator;


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

1.070 "Compact" means that written document exeeuted-fune24,1993-by between
the Pascua Yaqui Tribe and the State of Arizona approved by the Assistant Secretary,

Indian Affairs, Department of the Interior on January 24, 2003, governing the conduct of

Class III gaming activities on Tribal lands.

1.080 "Credit instrument" means a writing which evidences a gaming debt owed
to the Tribal Gaming Operation, and includes any writing taken in consolidation,
redemption or payment of a prior credit instrument.

1,090 "Distributor" means a person who distributes Class III Gaming Devices
and/or component parts thereof.

1.100 "Enterprise" means any corporation (other than a "publicly traded
corporation" as defined hereinafter), firm, partnership, limited partnership, trust, or other
form of business organization other than a Tribal enterprise wholly owned by the Tribe;
provided, however, that the term "enterprise" shall also include each corporation, firm,
partnership, limited partnership trust or other form of business organization not a natural
person which, directly or indirectly, owns, has the power or right to control or holds with
the power to vote all or any part of the outstanding voting securities, partnership interests,
limited partnership interests or beneficial interest in a trust which holds or applies for a
license or finding of suitability under the provisions of the Compact and this Ordinance.

1,110 "Equity security" means for each of the following:

1. Corporation - Any voting stock, or similar security; and security convertible,
with or without consideration, into sucha security, or carrying any warrant or right to
subscribe to or purchase such a security; any warrant or right; or any security having a
direct or indirect participation in the profits of the issuer.

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


Facility Operator and approved by the Tribal Gaming Office and the State Gaming
Agency.

9.070 Destruction of counterfeit chips and tokens.

1. As used in this section, "counterfeit chips or tokens" means any chip- or
token-like objects that have not been approved pursuant to this Chapter, including objects
commonly referred to as "slugs," but not including coins of the United States or any other
Tribe.

2. Unless a peace officer instructs or a court of competent jurisdiction orders
otherwise in a particular case, the Gaming Facility Operator shall destroy or otherwise
dispose of counterfeit chips and tokens discovered at the gaming facilities in such manner
as it deems appropriate.

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

4. The Gaming Facility Operator shall record:

a. The number and denominations, actual and purported, of the coins
and counterfeit chips and tokens destroyed or otherwise disposed of pursuant to this
Chapter;

b. The month during which they were discovered;

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

d. The names of the persons carrying out the destruction or other
disposition on behalf of the Gaming Facility Operator.


2. Each side of each chip issued for use exclusively at a race book or particular
game must bear an inscription clearly indicating that use of the chip is so restricted.

9.040 Specifications for tokens.

1. Unless the Tribal Gaming Office approves otherwise, tokens must be disk-
shaped and must measure as follows:

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

b. One dollar denomination tokens must be from 1.459 through 1.474
inches in diameter, from .095 through .115 inch thick, and, if the token has reeds or
serrations on its edges, the number of reeds or serrations must not exceed 150;

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

d. Twenty-five dollar denomination tokens must be larger than 1.75
inches but no larger than 1.95 inches in diameter (except that such tokens may be 1.654
inches (42 millimeters) in diameter if made of 99.9 percent pure silver), must be .10 inch
thick, and, if the token has reeds or serrations on its edges, the number of reeds or
serrations must not exceed 200; and

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

2. Tokens must not be manufactured from material possessing sufficient
magnetic properties so as to be accepted by a coin mechanism, other than that of a slot
machine.

3. Tokens must not be manufactured from a three-layered material consisting
of a copper-nickel alloy clad on both sides of a pure copper core, nor from a copper-based
material, unless the total of zinc, nickel, aluminum, magnesium, and other alloying
materials is at least 20 percent of the token's weight.

9.050 Use of chips and tokens.

1. The Gaming Facility Operator shall:


acquiring such knowledge for the purpose of placing, increasing or decreasing a bet or
determining the course of play contingent upon that event or outcome.

3. To claim, collect or take, or attempt to claim, collect or take, money or
anything of value in or from a gambling game, with intent to defraud, without having
made a wager contingent thereon, or to claim, collect or take an amount greater than the
amount won.

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

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

6. To reduce the amount wagered or cancel the bet after acquiring knowledge
of the outcome of the game or other event which is the subject of the bet, including
pinching bets.

7. 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,
including, but not limited to, varying the pull of the handle of a slot machine, with

knowledge that the manipulation affects the outcome of the game or with knowledge of
any event that affects the outcome of the game.

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


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

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

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

a. On account of any such questioning; or

b. For reporting to the Tribal Gaming Office, the State Gaming Agency,
Tribal, federal or state regulatory authorities, or law enforcement authorities the identity
of the person suspected of the violation.

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

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

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

4. State authorities right to detain and question under this Chapter within the
reservation is restricted to the Gaming Facility boundaries unless cross-deputized as Tribal
police and in the supervisory presence of a Tribal police officer. Nothing in this Chapter
shall be construed to grant to the State of Arizona criminal prosecutorial jurisdiction over


the alleged criminal misappropriation of the money by an agent or employee of the
Gaming Facility Operator where the agent, employee, or person was involved in the
collection process, and if the Gaming Facility Operator:

a Files a written report with an appropriate law enforcement agency,
other than the Tribal Gaming Office, alleging criminal misappropriation of the money and
furnishes a copy of such report to the Tribal Gaming Office within 45 days of its request;
or

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

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

8. If the Gaming Facility Operator recovers any money, previously excluded
from gross gaming revenue pursuant to subsection 7, the Gaming Facility Operator shall
include the money in gross gaming revenue for the month in which the money is
recovered.

8.080 State Gaming Agency. All records provided to the Tribal Gaming Office
pursuant to this Chapter shall be also be provided to the State Gaming Agency.

CHAPTER 9
CHIPS AND TOKENS

9.010 Definitions. As used in this Chapter:

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

2. "Token" means a metal representative of value, redeemable for cash, and
issued and sold by the Gaming Facility Operator for use in slot machines or for use in slot
machines and at table games or counter games at the Gaming Facility.


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

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

3.030 Applications, notices, statements and reports; contents; amendments;
incorporation by reference; proceedings not to have substantive

implications.

1. Every application, statement, notice or report must be filed on forms
furnished or approved by the Tribal Gaming Office and comply with Privacy Act Notices
required by the National Indian Gaming Commission and the Compact and must contain
and be accompanied and supplemented by such documents and information as may be
specified or required by the Tribe's Gaming Ordinance and by the National Indian
Gaming Commission. Failure to supply the information requested within 10 days after
the request has been received by the applicant constitutes grounds for delaying
consideration of the application.

2. It is grounds for denial of an application or disciplinary action for any
person to make any untrue statement of material fact in any application, notice, statement
or report filed with the Tribal Gaming Office or State Gaming Agency in compliance with
the provisions of law referred to in paragraph 1 or willfully to omit to state in any such
application, notice, statement or report any material fact which is required to be stated
therein or omit to state a material fact necessary to make the facts stated in view of the
circumstances under which they were stated, not misleading.

3. All information required to be included in an application must be true and
complete as of the dates of the Tribal Gaming Office action sought by such application;
and an applicant shall promptly supply by amendment prior to such date any information


7.070 Discovery: mandatory exchanges.

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

2. At each conference the parties shall:

a. Exchange copies of all documents then reasonably available to a
party which are then intended to be offered as evidence in support of
the party's case in chief;

b. Identify, describe, or produce all tangible things, other than
documents, then reasonably available to a party which are then intended to be offered as
evidence in support of the party's case in chief, and upon request, arrange for the
opposing parties to inspect, copy, test, or sample the same under the supervision of the
parties; and

c Exchange written lists of persons each party then intends to call as a
material witness in support of that party's case in chief. Each witness shall be identified by
name, if known, position, business address, and a brief description of the purpose for
which the witness will be called. If no business address is available, the party shall
provide a home address for the witness, or shall make the witness available for service of
process. For the purpose of this paragraph, a "material witness" is a person whose
testimony relates to a genuine issue in dispute which might affect the outcome of the
proceeding.

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

7.080 Conduct of hearings, The following procedures will apply when
appropriate:

1. The respondent will be allowed to present and argue any legal objections to
the complaint set forth in the answer; the Executive Director may thereupon
present his answering argument; and thereafter the respondent may present


CHAPTER 2.000 Gaming Authorized

(1) Class II gaming as defined in the Indian Gaming Regulatory Act, P.L. 100-
447, 25 U.S.C. Section 2703(7)(A) ("IGRA") and by the regulations
promulgated by the National Indian Gaming Commission at 25 C.F.R. §
502.3 (as published in the Federal Register at 57 FR 12382-12393, April 9,
1992) and Class III gaming as defined in 25 U.S.C. Section 2703(8) as
authorized by the Tribal-State Compact executed fune24,1993 January 9,

2003 is hereby authorized.

(2) __No person under 21 years of age shall be permitted to place any wager,
directly or indirectly, in any Class II gaming activity.

CHAPTER 3.000 Ownership of Gaming

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

CHAPTER 4.000 Use of Gaming Revenue

1. Net revenues from Class II and Class III gaming shall be used only for the
following purposes: to fund tribal government operations and programs; provide for the
general welfare of the Tribe and its members; promote tribal economic development;
donate to charitable organizations; or help fund operations of local government agencies.

2. If the Tribe elects to make per capita payments to tribal members, it shall
authorize such payments only upon approval of a plan submitted to the Secretary of the
Interior under 25 U.S.C. § 2710(b)(3). [Guidelines to Govern the Review and Approval of
Per Capita Payments, memorandum to All Area Directors from the Assistant Secretary -
Indian Affairs, December 21, 1992]

CHAPTER 5.000 Audit
1 The Tribe shall cause to be conducted annually an independent audit of
gaming operations and shall submit the resulting audit reports to the National Indian

Gaming Commission.

2. All gaming related contracts that result in the purchase of supplies, services,
or concessions in excess of $25,000.00 annually, except contracts for professional legal and


1. Payoff schedules or award cards applicable to every licensed game, slot
machine and gaming device shall be displayed at all times either on the table or machine
or in a conspicuous place immediately adjacent thereto. In the case of keno, the foregoing
requirement will be satisfied if published payoff schedules are maintained in a location
readily accessible to players and notice of the location of such schedule is posted on or
adjacent to the table.

2. Payoff schedules or award cards must accurately state actual payoffs or
awards applicable to the particular game or device and shall not be worded in such
manner as to mislead or deceive the public. Maintenance of any misleading or deceptive
matter on any payoff schedule or award card or failure on the part of the Gaming Facility
Operator to make payment in strict accordance with posted payoff schedules or award
cards may be deemed an unsuitable method of operation.

5.040 Gaming by principals and key employees. No person who is licensed or
found suitable as a principal or key employee of the Gaming Facility Operator or
Management Contractor, nor any key employee who actively participates in the
management of the Gaming Facility or the conduct of its licensed games, shall play or be
permitted to play, either directly or indirectly through another person, any gambling
game, including slot machines and gaming devices, but not including poker in the
Gaming Facility.

5.050 Criminal convictions as grounds for revocation or suspension. The Tribal
Gaming Office may revoke or suspend the license or finding of suitability of a person who
is convicted of a crime, even though the convicted person's postconviction rights and
remedies have not been exhausted, if the crime or conviction discredits or tends to
discredit the Tribe.

5.060 Transfer of interest among licensees. If a person who is the owner of an
interest in a licensed enterprise proposes to transfer any portion of his interest to a person
who is then the owner of an interest in such licensed enterprise, both parties shall give
written notice of such proposed transfer to the Tribal Gaming Office, including the names
and addresses of the parties, the extent of the interest proposed to be transferred and the
consideration therefor. In addition, the proposed transferee shall furnish to the Tribal
Gaming Office a sworn statement setting forth the source of funds to be used by him in
acquiring such interest; and he also shall furnish to the Tribal Gaming Office such further
information as it may require. The Tribal Gaming Office shall forward the information to
the State Gaming Agency who may conduct such investigation pertaining to the
transaction as it deems appropriate and shall report the results thereof to the Tribal



employees may not gamble in the Gaming Facility nor may they have any personal
financial interest in any gambling by any patron of the Gaming Facility.

2.030 Compensation. The Executive Director shall be compensated at the rate to
be established annually by the Tribal Council. The Executive Director shall be reimbursed
for actual expenses incurred on Tribal Gaming Office business, including necessary and
reasonable travel expenses.

2.040 Quarterly Reports. The Tribal Gaming Office shall make quarterly reports to
the Council within 30 days after the close of the calendar quarter for which the
information is being required. The reports shall include a full and complete statement of
gaming revenues paid to the Tribe, expenses and all other financial transactions of the
Tribal Gaming Office and a summary of all licensing and enforcement actions.

2.050 Necessary Powers. The Tribal Gaming Office shall exercise all powers
necessary to effectuate the purposes of this Tribal Gaming Ordinance. The Tribal Gaming
Office may exercise any proper power and authority necessary to perform the duties
assigned to it by this Tribal Gaming Ordinance or the Tribal Council, and is not limited by
the enumeration of powers in this Ordinance.

2.060 Regulations. The Tribal Gaming Office is empowered to adopt, amend and
repeal regulations subject to final approval by the Tribal Council to effectuate the
provisions of the Compact, this Tribal Gaming Ordinances and the Tribe's gaming policy.
Regulations shall be adopted, amended or repealed in accordance with the following
procedures:

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

a. Published in such locations as the Tribal Gaming Office prescribes;

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

co When the Tribal Gaming Office deems advisable, mailed to any
person whom the Tribal Gaming Office believes would be interested in the proposed
action, and published in such additional form and manner as the Tribal Gaming Office
prescribes.


3.080 Application after denial. Any person or enterprise whose application has
been denied is not eligible to apply again for a license, finding of suitability or approval
until after expiration of one year from the date of such denial, unless the Tribal Gaming
Office advises that the denial is without prejudice as to delay in reapplication.

3.090 Applications for employment after denial or revocation. Following a
decision by the Tribal Gaming Office to deny an application for employment made
pursuant to the provisions of the Compact, or to revoke a work permit, a succeeding
application for employment must not be entertained by the Tribal Gaming Office for a
period of two years from the date of the Tribal Gaming Office's decision on the preceding
application.

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

3.110 Standards for licensing.

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

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

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

c 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


necessary for the immediate preservation of the public peace, health, safety, morals, good
order or general welfare, together with a statement of the facts constituting the emergency.

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

7. The Tribal Gaming Office may request the advice and assistance of the
Tribal Council in carrying out the provisions of this section.

2.070 Personnel. The Tribal Gaming Office’s Executive Director hall hire
personnel necessary to ensure the proper enforcement of the provisions of the Compact,
this and any other Gaming Ordinance. The Tribal Gaming Office shall consult with and
obtain the approval of the Tribal Council to determine a budget for the hiring and
retention of all necessary personnel, and to determine the qualifications required for
hiring.

2.080 Forms. Any application or reporting form utilized by the Arizona State
Gaming Agency or the Arizona Gaming Commission shall be deemed to satisfy the
requirements of this and other Gaming Ordinances with respect to the use of forms.

CHAPTER 3
APPLICATIONS: PROCEDURE

3.010 Applications; general.

1. Any gaming license or finding of suitability which is issued by the Tribal
Gaming Office shall be deemed to be a revocable privilege and no person holding such a
license or finding of suitability by the Tribal Gaming Office is deemed to have acquired
any vested rights therein.

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


Gaming Office within 15 days. If the Tribal Gaming Office does not give notice of
disapproval of the proposed transfer of interest within 15 days after the receipt by it of the
report of the State Gaming Agency, the proposed transfer of interest will be deemed
approved and the transfer of interest may then be effected in accordance with the terms of
transfer as submitted to the Tribal Gaming Office. The parties shall immediately notify the
Tribal Gaming Office when the transfer of interest is actually effected.

5.070 Transfer of interest to stranger to license.

1. No individual who is the owner of any interest in a licensed enterprise shall
in any manner whatsoever transfer any interest therein representing more than 10% of the
equity securities of the enterprise to any person, firm or corporation not then an owner of
an interest therein, and no such transfer shall become effective for any purpose until the
proposed transferee or transferees shall have made application for and been found
suitable or licensed, as appropriate. Transfers of 10% or less of the equity securities of a
licensed enterprise shall be governed by the provisions of Section 5.060.

2. Applications for a transfer of interest to a stranger to the license shall be
made by the transferee applying for licensing or a finding of suitability under the
provisions of the Compact and this Ordinance.

3. Evidence of the transferor's agreement to transfer the interest applied for
must accompany the application. Licensing or a finding of suitability of the transferee
shall be deemed to constitute approval of the transfer by the Tribal Gaming Office.

5.080 Options. Every person or enterprise who grants an option to purchase an
equity security of a licensed enterprise shall report the grant of such option in writing to
the Tribal Gaming Office within 30 days after the option the agreement becomes effective.
The exercise of any such option shall be governed by the provisions of Sections 5.060 and
5.070.

5.090 Slot machines and gaming devices.

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

a. Have been approved under the provisions of the Compact, or have
otherwise been authorized by the Tribal Gaming Office and the State Gaming Agency; and


an interstate common pari-mutuel pool whether or not the wager is actually included in
the total amount of the interstate wagering pool.

1.340 "Ordinance" means this Pascua Yaqui Tribe Gaming Ordinance as codified
at Title 6 of the Pascua Yaqui Tribe.

1,350 “Pari-mutuel" means a system of wagering on a race or sporting event
whereby the winners divide the total amount wagered, after deducting commission, fees,
and taxes, in proportion to the amount individually wagered.

1.360 "Principal" means with respect to any Person:
(1) Each of its officers and directors;

(2) Each of its principal management employees, including any
chief executive officer, chief financial officer, chief operating
officer or general manager;

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

(4) Each of its shareholders who own more than then (10) percent
of the shares of the corporation, if a corporation;

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

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

1.370 "Publicly traded corporation" means any corporation or other legal entity
except a natural person which has one or more classes of securities registered pursuant to
section 12 of the Securities Exchange Act of 1934, as amended (15 U.S.C. § 781), or is an
issuer subject to section 15(d) of the Securities Exchange Act of 1934, as amended (15
U.S.C. § 780).

1,380 “Race book" means the business of accepting wagers upon the outcome of
any event held at a track which uses the pari-mutuel system of wagering.


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

c Melting pots or other receptacles;
d, Torches; and
e. Tongs, trimming tools or other similar equipment.

6. Possession of more than one of the devices, equipment, products or
materials described in this section permits a rebuttable inference that the possessor
intended to use them for cheating.

11.050 Cheating. It is unlawful for any person, whether he is a principal or
employee of the Gaming Facility Operator, or a player in the Gaming Facility, to cheat at
any gambling game.

11.060 Unlawful manufacture, sale, distribution, marking, altering or

modification of equipment and devices associated with gaming;
unlawful instruction.

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

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

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

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

3. It is unlawful for any person to instruct another in cheating or in the use of
any device for that purpose, with the knowledge or intent that the information or use so

conveyed may be employed to violate any provision of the Compact or this Chapter.

11.070 Penalties.


13. Any other information the Tribe deems relevant; and

14. _ Fingerprints consistent with procedures adopted by the Tribe
according to 25 C.F.R. § 522.2(h).

(b). The Tribe shall conduct an investigation sufficient to make a
determination under subsection 4. below. In conducting a
background investigation, the Tribe or its agent shall promise to keep
confidential the identity of each person interviewed in the course of
the investigation.

4. Eligibility Determination

The Tribe shall review a person's prior activities, criminal record, if any, and
reputation, habits and associations to make a finding concerning the eligibility of a key
employee or primary management official for employment in a gaming operation. If the
Tribe determines that employment of the person poses a threat to the public interest or to
the effective regulation of gaming, or creates or enhances dangers of unsuitable, unfair, or
illegal practices and methods and activities in the conduct of gaming, a tribal gaming
operation shall not employ that person in a key employee or primary management official
position.

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

Commission

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

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


CHAPTER 5
OPERATIONAL REQUIREMENTS

5.010 Methods of operation.

1. It is the policy of the Tribe to require that the Gaming Facility Operator, and
all enterprises licensed or found suitable in connection therewith, are conducted in a
manner suitable to protect the public health, safety, morals, good order and general
welfare of the Tribe.

2. Responsibility for the employment and maintenance of suitable methods of
operation rests with the licensee and the Gaming Facility Operator and willful or
persistent use or toleration of methods of operation deemed unsuitable will constitute
grounds for license revocation or other disciplinary action.

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

1. Failure to exercise discretion and sound judgment to prevent incidents
which might reflect on the repute of the Tribe and act as a detriment to the development of
the Gaming Facility Operator.

2. Permitting persons who are visibly intoxicated to participate in gaming
activity.
3. Complimentary service of intoxicating beverages in the casino area to

persons who are visibly intoxicated.

4. Catering to, assisting, employing or associating with, either socially or in
business affairs, persons who have been identified in writing by the Tribal Gaming Office
or the State Gaming Agency as persons of notorious or unsavory reputation or who have
extensive police records, or persons who have defied congressional investigative


Tribal Gaming Office. The report shall identify every individual who is directly or
indirectly engaged in the administration or supervision of the Gaming Operation or
physical security activities of the Gaming Facility Operator. The following classes of
gaming employees are presumed to be actively and directly engaged in the administration
or supervision of gaming:

a. All individuals who are compensated in any manner in excess of
$20,000 per annum;
b. All individuals who may approve or extend gaming credit in any

amount, or whose recommendations in this regard are ordinarily sought or followed;

c. All individuals who have authority to hire or terminate gaming
employees;

d. All individuals who have the authority to supervise or direct a shift
of any gaming or security activity, including but not limited to supervision or direction of
the gaming device area, keno or bingo games, slot machines, race or sports books,
pari-mutuel operations, or any persons having authority to supervise or direct such
persons,

e. All individuals who regularly participate in the count more
frequently than one day in each week or who actually participate in the count more than
10 days in any 30-day period;

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

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

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

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


(b). Primary management official means

1. The person having management responsibility for a
management contract;

2. Any person who has authority:
(1) Tohire and fire employees; or
(2) To set up working policy for the gaming operation; or

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

2. Application Forms

(a) 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:

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 National Indian Gaming Commission members and staff
who have need for the information in the performance of their official duties. The information may
be disclosed to appropriate Federal, Tribal, State, local, or foreign law enforcement and regulatory
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 in connection with
the hiring or firing of an employee, the issuance or revocation of a gaming license, or investigations
of activities while associated with 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.

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

(b). _ Existing key employees and primary management officials shall be
notified in writing that they shall either:

1. Complete a new application form that contains a Privacy Act
notice; or


accounting services, shall be specifically included within the scope of the audit that is
described in subsection A. above.

CHAPTER 6.000 _—_ Protection of the Environment and Public Health and Safety

Class II and Class III gaming facilities shall be constructed, maintained and
operated in a manner that adequately protects the environment and the public health and
safety.

CHAPTER 7.000 _ Licenses for Key Employees and Primary management Officials

The Tribe shall ensure that the policies and procedures set out in this section are
implemented with respect to key employees and primary management officials employed
at any Class II or Class III gaming enterprise operated on Indian lands:

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

(a). Key employee means
1 A person who performs one or more of the following

functions:

(1) Bingo Caller,

(2) Counting room supervisor

(3) Chief of security;

(4) Custodian of gaming supplies or cash,

(5) Floor manager,

(6) Pit boss;

(7) Dealer;

(8) | Croupier;

(9) Approver of credit; or

(10) | Custodian of gambling or gaming devices including
persons with access to cash and accounting records
within such devices;

2. If not otherwise included, any other person whose total cash
compensation is in excess of $50,000 per year; or

3. If not otherwise included, the four most highly compensated
persons in the gaming operation.


1.390 "Regulation" means a rule, standard, directive or statement of general
applicability which effectuates the provisions and policy of the Compact, this Ordinance
or the policy of the Tribe.

1.410 “Reservation” or "Tribal lands" means Pascua Yaqui Tribe Indian lands as
defined by 25 U.S.C. § 2703 (4)(A) and (B), subject to the provisions of 25 U.S.C. § 2719.

1.420 "Slot machine" means and includes Gaming Device as that term is defined
in Section 2(1) of the Compact and Section 1.170 of this Ordinance.

1.430 "State" means the State of Arizona, its authorized officials, agents and
representatives.

1,440 "State Gaming Agency" means the agency of the State which the Governor
may from time to time designate by written notice to the Tribe as the single state agency
which shall act on behalf of the State under this Compact.

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

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

1.470 "Tribal Council" or "Council" means the Tribal Council of the Pascua Yaqui
Tribe.

1.480 "Tribal Gaming Office" means the department, agency or commission
designated by action of the Tribal Legislative Council as the Tribal entity which shall
exercise the civil regulatory authority of the Tribe over Class III Gaming Activities within
the Tribe.

1.490 “Tribal law enforcement agency" means the police force of the Tribe
established and maintained by the Tribe pursuant to the Tribe's powers of
self-government to carry out law enforcement within the Tribal Lands.


10.

11.

12.

Current business and residence telephone numbers;

A description of any existing and previous business
relationships with Indian tribes, including ownership interests
in those businesses;

A description of any existing and previous business
relationships with the gaming industry generally, including
ownership interests in those businesses,

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

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

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

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

The name and address of any licensing or regulatory agency
with which the person has filed an application for an
occupational license or permit, whether or not such license or
permit was granted;

A current photograph;


based on facts occurring after the original application so as to make such information not
misleading as of the date of such action by the Tribal Gaming Office.

4. An application may be amended in any respect by leave of the Tribal
Gaming Office or State Gaming Agency at any time prior to final action thereon by the
Tribal Gaming Office. Any amendment to an application shall have the effect of
establishing the date of such amendment as the new filing date of such application with
respect to the time requirements in the Compact or this Ordinance for action on such
application.

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

3.040 Tribal Application and Investigative Fees.

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

2. Applications for the following licenses, findings of suitability and approvals
must be accompanied by the following nonrefundable fees:

a. Manufacturer - $ 1,500.00
b. Distributor - 1,500.00
fom Manager - 1,500.00
d. Gaming services - 150.00
e. Principals - 300.00
f. Key employees - 500.00
g Other gaming employees - 150.00
3. In addition to any nonrefundable application fees paid, the Tribal Gaming

Office or State Gaming Agency may require an applicant to pay such supplementary
investigative fees and costs as may be determined by the Tribal Gaming Office or State
Gaming Agency pursuant to the Compact. The Tribal Gaming Office or State Gaming
Agency may estimate the supplementary investigative fees and costs and require a deposit
to be paid by the applicant in advance as a condition precedent to beginning or continuing
an investigation.


ONAL No,

V4

L
5 5
a
UM, eo
Sf CoMN
JAN 14 2004

Laura Razo, Assistant Attorney General
Pascua Yaqui Tribe
Office of the Attorney General

7474 S. Camino De Oeste
Tucson, Arizona 85746

RE: Amended Gaming Ordinance of the Pascua Yaqui Tribe of Arizona
Dear Mrs. Razo:

This letter is in response to the Pascua Yaqui Tribe’s (Tribe) request that the National
Indian Gaming Commission (NIGC) review and approve the amendment to the Tribe’s
Ordinance No. 4, certified by the Tribal Council of the Pascua Yaqui Tribe, pursuant to
Resolution No. C05-23-03, on May 14, 2003. The Chairman of the NIGC approved the
Tribe’s Ordinance in 1993 and an earlier amendment in 2000. This letter constitutes our
approval under the Indian Gaming Regulatory Act (IGRA).

The amendment to the Ordinance was adopted to fulfill the State of Arizona requirement
that the Tribe prohibit gambling in its facilities by any person under 21 years of age.

For future reference, please note that pursuant to 25 C.F.R. § 522.3, a tribe must submit its
amendments to an ordinance or resolution to the Chairman of the NIGC within 15 days of
adoption by the appropriate tribal authority.

a) .
Thank you fer submitting tHe amendment to the Tribe’s Ordinance. The NIGC staff and

Philip N. Hogen
Chairman

NATIONAL HEADQUARTERS 1441 L St. NW, Suite 9100, Washington, DC 20005 Tel: 202.632.7003 Fax: 202.632.7066 Wwww.NIGc.cov

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


c Individual and statistical game records to reflect statistical drop,
statistical win, and the percentage of statistical win to statistical drop by table for each
table game, and to reflect statistical drop, statistical win, and the percentage of statistical
win to statistical drop for each type of table game, either by each shift or other accounting
period determined by the Gaming Facility Operator, and individual and statistical game
records reflecting similar information for all other games,

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

e. the records required by the internal control system.
3. The Gaming Facility Operator shall create and maintain records sufficient to
accurately reflect gross gaming revenue and expenses relating solely to the Gaming

Operation.

8.040 Standard financial statements.

1. The Gaming Facility Operator shall prepare a financial statement covering
all financial activities of the Gaming Facility Operator for each fiscal year to include food,
or beverage facilities at the Gaming Facility, in accordance with generally accepted
accounting standards. The Gaming Facility Operator shall submit the financial statements
to the Tribal Gaming Office not later than four months following the end of the fiscal year
covered by the statement. Each financial statement must be signed by an appropriate
representative of the Gaming Facility Operator who thereby attests to the completeness
and accuracy of the statement.

2. If the Gaming Facility Operator changes its business year, or begins
operation, the Gaming Facility Operator shall prepare and submit to the Tribal Gaming
Office audited or reviewed financial statements covering the "stub" period from the end of
the previous business year to the beginning of the new business year not later than 120
days after the end of the stub period or incorporate the financial results of the stub period
in the statements for the new business year.

8.050 Internal control. Manager shall operate the Gaming Operation pursuant to
an approved internal control system that meets the requirements of the Compact.
Manager shall provide a copy of the internal control system and any amendments thereto
to the Tribal Gaming Office and the State Gaming Agency.


7. Granting a Gaming License

(a).

(b).

(¢)

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

The Tribe 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 paragraph 7.(a). of this section until the Chairman of
the National Indian Gaming Commission receives the additional
information.

If, within the thirty (30) day period described above, the National
Indian Gaming Commission provides the Tribe with a statement
itemizing objections to the issuance of a license to a key employee or
to a primary management official for whom the Tribe has provided
an application and investigative report to the National Indian
Gaming Commission, the Tribe shall reconsider the application,
taking into account the objections itemized by the National Indian
Gaming Commission. The Tribe shall make the final decision
whether to issue a license to such applicant.

8. License Suspension

(a).

(b).

If, after the issuance of a gaming license, the Tribe receives from the
National Indian Gaming Commission reliable information indicating
that a key employee or a primary management official is not eligible
for employment under subsection 4. above, the Tribe shall suspend
such license and shall notify in writing the licensee of the suspension
and the proposed revocation.

The Tribe shall notify the licensee of a time and a place for a hearing
on the proposed revocation of a license.


(©)

The gaming operation shall not employ as a key employee or
primary management official a person who does not have a license
after 90 days.

Report to the National Indian Gaming Commission

(a).

(b).

(c).

(d).

Pursuant to the procedures set out in subsection 5 of this section, the
Tribe 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 a background investigation;
2. Results obtained;

3. Conclusions reached; and

4. The bases for those conclusions.

The Tribe shall submit, with the report, a copy of the eligibility
determination made under subsection 4. of this section.

If a license is not issued to an applicant, the Tribe:
1. Shall notify the National Indian Gaming Commission; and

2. 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.

With respect to key employees and primary management officials,
the Tribe 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.


11.040 Use of counterfeit or unapproved chips or tokens or unlawful coins or
devices; possession of certain devices, equipment, products or

materials.

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

2. It is unlawful for any person, in playing or using any gambling game
designed to be played with, receive or be operated by chips or tokens approved by the
Tribal Gaming Office or by lawful coin of the United States of America:

a. Knowingly to use other than chips or tokens approved by the Tribal
Gaming Office or lawful coin, legal tender of the United States of America, or to use coin
not of the same denomination as the coin intended to be used in that gambling game; or

b. To use any device or means to violate the provisions of the Compact
or this Chapter.
3. It is unlawful for any person, not a duly authorized employee of the Gaming

Facility Operator acting in furtherance of his employment within the Gaming Facility, to
have on his person or in his possession on or off the premises of the Gaming Facility any
device intended to be used to violate the provisions of the Compact or this Chapter.

4. It is unlawful for any person, not a duly authorized employee of the Gaming
Facility Operator acting in furtherance of his employment within the Gaming Facility, to
have on his person or in his possession on or off the premises of the Gaming Facility any
key or device known to have been designed for the purpose of and suitable for opening,
entering or affecting the operation of any gambling game, drop box or any electronic or
mechanical device connected thereto, or for removing money or other contents therefrom.

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

a. Lead or lead alloys;


7.100

7.110

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

By way of illustration only, those matters that would be admissible in a
court of law are hereby deemed to be reliable, in addition to those matters

that satisfy the standards set forth in subsections 1 and 2.

Irrelevant or unduly repetitious evidence shall be excluded upon request of
a party or the Office's own initiative.

Evidence: authentication and identification.

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

By way of illustration only, those matters that would be accepted as
authentic in a court of law, are hereby deemed to be authentic, in addition to
matters that satisfy the standard set forth in subsection 1 of this section.

Failure or refusal to testify.

If a respondent fails to testify in his own behalf or asserts a claim of privilege
with respect to any question propounded to him, the hearing panel may
infer therefrom that such testimony or answer would have been adverse to
his case.

If any person controlling, controlled by, or under common control with, or
employed by, or an agent of, a respondent fails to respond to a subpoena, or
asserts a claim of privilege with respect to any question propounded to him,
the hearing panel may, taking into account all of the circumstances, infer
that such testimony would have been adverse to the respondent.


Facility Operator, Manager, or licensee. Failure of the Gaming Facility Operator,
Manager, or licensee to respond as required by this section shall constitute grounds for
disciplinary action.

4.040 Loans to Gaming Facility Operator. Whenever the Gaming Facility
Operator applies for or receives, accepts, or makes use of any cash, property, credit,
guarantee, or other form of security loaned to, or provided for, or on behalf of the Gaming
Facility Operator, it shall notify the Tribal Gaming Office within 30 days of such
transaction. Such notice shall be on forms provided by the Tribal Gaming Office and shall
include a report of the names and addresses of all parties to the transaction, the amount
and source of the funds, property or credit received or applied, the nature and amount of
security provided by or on behalf of the Gaming Facility Operator, the purpose of the
transaction, and such other information as the Tribal Gaming Office may require. The
report shall be accompanied or supplemented by copies of documents, and such other
supporting data as the Tribal Gaming Office may require. If, after such investigation as
the Tribal Gaming Office deems appropriate, the Tribal Gaming Office finds that the
transaction is inimical to the health, safety, morals, good order and general welfare of the
Tribe, or would reflect, or tend to reflect, discredit upon the Tribe, the Tribal Gaming
Office shall order the transaction rescinded within such time and upon such terms and
conditions as it may deem appropriate.

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

1, No person shall acquire or be granted an option to purchase an equity
security of a licensee without first notifying the Tribal Gaming Office, on such forms as
may be required by the Tribal Gaming Office, of the terms and conditions upon which the
option was granted or acquired. Additionally, any such person shall comply with
applicable requirements of the Compact and the Act.

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

4.060 Furnishing of reports to State Gaming Agency. The Tribal Gaming Office
shall furnish the State Gaming Agency with a copy of all reports filed under this Chapter
pursuant to applicable Compact provisions.



8.060 Gross gaming revenue computations.

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

2. For each slot machine, gross revenue equals drop less fills to the machine,
jackpot payouts, and the actual cost to the Gaming Facility Operator of any personal
property (other than costs of travel, food, lodging, services, and food and beverages)
provided for or distributed to a patron as winnings. The initial hopper load is not a fill
and does not affect gross gaming revenue. The difference between the initial hopper load
and the total amount that is in the hopper at the end of each quarter must be adjusted
accordingly as an addition to or subtraction from the drop for that quarter.

3. For each counter game, gross gaming revenue equals:

a. The money accepted by the Gaming Facility Operator on events or
games that occur during the month or will occur in subsequent months, less money paid
out during the month to patrons on winning wagers; or

b. The money accepted by the Gaming Facility Operator on events or
games that occur during the month plus money, not previously included in gross revenue,
that was accepted by the Gaming Facility Operator in previous months on events or
games occurring in the month, less money paid out during the month to patrons on
winning wagers.

4. For each card game and any other game in which the Gaming Facility
Operator is not a party to a wager, gross revenue equals all money received by the
Gaming Facility Operator as compensation for conducting the game.

5. The Gaming Facility Operator shall not include either shill win or shill loss
in gross revenue computations.

6. If in any month the amount of gross revenue is less than zero, the Gaming

Facility Operator may deduct the excess in the succeeding months, until the loss is fully
offset against gross gaming revenue.

8.070 Treatment of credit for purposes of computing gross revenue.


2. The annual employee report shall also include a description of the gaming
duties, casino responsibilities, and casino authority delegated to each individual
identified in the report.

3. Any changes, additions, or deletions to any information contained within
the annual employee report which occurs subsequent to the filing of the report and
prior to the filing of the report for the next calendar year shall be reported to the Tribal
Gaming Office in writing no less than 10 days after the end of the calendar quarter
during which the change, addition, or deletion occurred.

4.030 Key employees.

1, Any employee as that term is defined in Section 2(v) of the Compact and
Chapter 7.000, 1.(a). of Part I of this Gaming Ordinance.

2. Whenever it is the judgment of the Tribal Gaming Office that the policies set
forth in the Compact or this Ordinance will be served by requiring any principal or key
employee to be licensed or found suitable, the Tribal Gaming Office shall serve notice of
such determination upon the Gaming Facility Operator, Manager or the licensee, as
appropriate. The Tribal Gaming Office shall not be restricted by the title of the job
performed but shall consider the functions and responsibilities of the person involved in
making its decision as to key employee status. Grounds for requiring licensing of a key
employee which are deemed to serve the public interest and the policies of the Tribe
include but are not limited to the following:

a. The key employee is new to the Gaming Facility Operator, Manager,
or the business of the licensee, the position, or the level of influence or responsibility
which he has and the Tribal Gaming Office has little or outdated information concerning
his character, background, reputation, or associations, or

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

3. The Gaming Facility Operator, Manager, or licensee shall, within 30 days
following receipt of the notice of the Tribal Gaming Office's determination, present the
application for licensing of the key employee to the Tribal Gaming Office or provide
documentary evidence that such key employee is no longer employed by the Gaming


1. the tort claim arises from an alleged personal injury claim to or claim
of injury to or loss of property owned by a patron of its Class III
Gaming Facilities during the use of such facilities;

2. the claim seeks relief in the form of monetary damages for an alleged
personal injury claim to or claim of injury to or loss of property
owned by a patron and the claim is included within the scope of the
Tribe's public liability insurance coverage, and

3. the claim is first presented to the Tribe through the Tribal Attorney’s
Office in writing by the claimant within two (2) years of the alleged
injury or claim of property damage.

14.60 Limitation to Relief Sought. This limited waiver of sovereign immunity
shall not extend to claims in excess of one million dollars ($1,000,000.00).

14.70 Jurisdiction. The Pascua Yaqui Tribal Court shall have original jurisdiction
over all claims arising under this chapter, subject to the terms and conditions of this
chapter.

14.80 Retention of Rights. The Tribe expressly retains its sovereign immunity
from suit for those claims or causes of action which are not covered by the Tribe's
insurance policy or which do not meet the terms and conditions of this chapter. Nothing
contained in this chapter shall prohibit the Tribe from waiving its sovereign immunity by
separate ordinance to permit claims not included in this chapter.


2.

Sign a statement that contains the Privacy Act notice and
consent to the routine uses described in that notice.

(c). The following notice shall be placed on the application form for a key
employee or a primary official before that form is filled out by an
applicant.

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

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

(d). The Tribe shall notify in writing existing key employees and primary
management officials that they shall either:

a.

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

b. Sign a statement that contains the notice regarding false
statements.
3. Background Investigations

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

1.

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

Currently and for the previous 5 years: business and
employment positions held, ownership interests in those
businesses, business and residence addresses, and drivers
license numbers;

The names and current addresses of at least three personal
references, including one personal reference who was
acquainted with the applicant during each period of residence
listed under paragraph 3(a)(2) of this section;


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

a. A statement of the time, place and nature of the proceedings for
adoption, amendment or repeal;

b. Reference to the authority under which the action is proposed; and

c Either the express terms or an informative summary of the proposed
action.

3. On the date and at the time and place designated in the notice, the Tribal
Gaming Office shall afford any interested person or his authorized representative, or both,
the opportunity to present statements, arguments or contentions in writing, with or
without opportunity to present them orally. The Tribal Gaming Office shall consider all
relevant matter presented to it, and shall obtain the concurrence of the State Gaming
Agency, if required by and in accordance with Compact provisions for changes in
technical standards for Gaming Devices or changes in regulations, before adopting,
amending or repealing any regulation.

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

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

(2) The reasons for the request; and

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

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

5. In emergencies, the Tribal Gaming Office may, with the concurrence of the
State Gaming Agency, if required by the Compact, summarily adopt, amend or repeal any
regulation affecting Class III gaming if at the same time it files a finding that such action is


CHAPTER 11
CRIMES AND LIABILITIES CONCERNING GAMING

11.010 "Cheat" defined; applicability of definitions in the Compact. As used in
this Chapter:

1. "Cheat" means to alter the selection of criteria which determine:
a. The result of a game; or
b. The amount or frequency of payment in a game.
2. "Authorities" means agents of the Tribal Gaming Office, Tribal Police,

Federal Law Enforcement Officers, the State Gaming Agency, a Management Contractor
and its principals, employees and agents, and principals, employees and agents of the
Gaming Facility Operator. It also means an Arizona Peace Officer if deputized pursuant
to an Intergovernmental or Cross-deputization Agreement with the Tribe.

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

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

11,015 Unlawful Wagering. It is unlawful for any person under 21 years of age to
place any wager directly or indirectly, in an Class III gaming activity.

1.020 Fraudulent acts. It is 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 made sure but before it is revealed to the
players.

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 or to aid anyone in


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

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

CHAPTER 12
REPEAL FORMER GAMING ORDINANCE

12.100 Ordinance Supersedes Former Gaming Ordinance. All statutory
provisions formerly enacted regarding the subject matter of this ordinance are hereby
repealed. The provisions of this Ordinance supersede all such formerly enacted sections.
This Ordinance is effective immediately.

CHAPTER 13
SEVERABILITY

13,100 Severability Clause. The provisions of the Pascua Yaqui Tribe Gaming
ordinance shall be severable and if any phrase, clause, sentence or provision of the
ordinance is found to be contrary to the Pascua Yaqui Tribal Constitution, or declared to
be in violation of applicable Federal Law, or is held to be invalid, the validity of the
remainder of this ordinance shall not be affected and shall remain in full force and effect.

Chapter 14
LIMITED WAIVER OF SOVEREIGN IMMUNITY

14.10 Purpose. The Pascua Yaqui Tribe of Arizona is a federally recognized
sovereign Indian tribe. As such, the Tribe retains inherent sovereign governmental
authority, including sovereign immunity from suit. Article XXIV of the Constitution of
the Pascua Yaqui Tribe provides that the Tribe shall be immune from suit unless the tribal


final and binding upon the patron and the Gaming Facility Operator and shall not be
subject to judicial review, dispute resolution or other legal action.

CHAPTER 7
DISCIPLINARY PROCEEDINGS REGARDING LICENSES

7.010 Applicability. Chapter 7 shall apply to disciplinary proceedings involving
tribal licenses issued pursuant to Tribal Gaming Ordinances and the Compact.

7.020 Definitions.

1. "Office" means the Tribal Gaming Office.
2. "Chairperson" means the Chairperson of the Hearing Panel.
3. “Executive Director" means the Executive Director of the Tribal

Gaming Office, his staff and counsel.

4. "Licensee" means any person or enterprise licensed or found suitable
under the provisions of this Ordinance and the Compact.

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

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


7.040 Answer; setting of hearing. The respondent shall file an answer to the
complaint with the Office within 20 days after service of the complaint. A copy of the
answer must also be served upon the State Gaming Agency. In his answer the respondent
must:

1, State in short and plain terms his defenses to each claim asserted.
2. Admit or deny the facts alleged in the complaint.
3. State which allegations he is without knowledge or information sufficient to

form a belief as to their truth. Such allegations shall be deemed denied.

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

5. May demand a hearing. Failure to demand a hearing constitutes a waiver of
that right but the Office may order a hearing even if the respondent waives that right.
6. Failure to file an answer or to appear at the hearing constitutes an admission

by the respondent of all facts alleged in the complaint. The Office may take action based
on such an admission an on other evidence without further notice to the respondent.

7. The Office shall serve notice of the hearing date within seven days after
receipt of respondent's answer and shall conduct the hearing within 60 days of the date of

said notice, unless the proceedings are continued for good cause.

7.050 Appearance through counsel.

1. Parties to proceedings governed by this Chapter may appear personally or
through an attorney, except that the parties must personally attend any hearing on the
merits unless such attendance has been waived.

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

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

7.060 Prehearing conferences; scheduling: management.



a. Comply with all applicable statutes, regulations, and policies of
Arizona and of the United States pertaining to chips or tokens;

b. Sell chips and tokens only to patrons of the Gaming Facility and only
at their request;

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

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

e. Take reasonable steps, including examining chips and tokens and
segregating those issued by another Gaming Facility to prevent the issuance to its patrons
of chips and tokens issued by another Gaming Facility.

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

3. The Gaming Facility Operator shall not redeem its chips or tokens if
presented by a person who the Gaming Facility Operator knows or reasonably should
know is not a patron of the Gaming Facility, except that a licensee shall promptly redeem
its chips and tokens if presented by an employee of the Gaming Facility Operator who
presents the chips and tokens in the normal course of employment.

4. Chips whose use is restricted to uses other than at table games or other than
at specified table games may be redeemed by the Gaming Facility Operator at table games
or non-specified table games if the chips are presented by a patron, and the Gaming
Facility Operator redeems the chips with chips issued for use at the game, places the
redeemed chips in the table's drop box, and separates and properly accounts for the
redeemed chips during the count performed pursuant to the internal control system.

9.060 Redemption and disposal of discontinued chips and tokens. If the

Gaming Facility Operator permanently removes from use or replaces approved chips or
tokens at the Gaming Facility it shall redeem discontinued chips and tokens that remain
outstanding at the time of discontinuance pursuant to a plan prepared by the Gaming


methods, and activities in the conduct of gaming or the carrying on of
the business and financial arrangements incidental thereto.

2, No license or finding of suitability shall be granted to a management
contractor unless and until the applicant has satisfied the Tribal Gaming Office that the
funding of the enterprise is (a) adequate for the nature of the enterprise, and (b) froma
suitable source. The suitability of the source of funds shall be determined by the
standards enumerated in paragraph 1(a), (b) and (c) above. Prior to issuing any license or
finding of suitability, the Tribal Gaming Office shall notify the Commission of the results
of the investigation.

3.120 Licensing of a natural person under the age of eighteen prohibited. The
Tribal Gaming Office will not grant a license or finding of suitability to an individual
under eighteen years of age. No person under 21 years of age shall be employed in the
service of alcoholic beverages at any Gaming Facility, unless otherwise permitted under
state liquor laws and regulations.

3.121 Duration and Renewal of Tribal Licenses and State Certifications. Any
Tribal license or State Certification shall be effective for one (1) year from the date of
issuance; provided, that a licensed or certified employee or person that has applied for
renewal may continue to be employed or engaged under the expired license or State
Certification until action is taken on the renewal Application by the Tribal Gaming Office
or the State Gaming Agency. Applicants for renewal of a license or certification shall
provide updated material as requested, on the appropriate renewal forms, but shall not be
required to resubmit historical data already available to 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 by either the Tribal Gaming
Office or the State Gaming Agency.

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


d. May accept a credit instrument either before, at the time, or after the
patron incurs the debt. The credit instrument and the debt that the credit instrument
represents are enforceable without regard to whether the credit instrument was accepted
before, at the time or after the debt is incurred.

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

4, If a credit instrument is lost or destroyed, the debt represented by the credit
instrument may be enforced by the Gaming Facility Operator or Manager if they can
prove the existence of the credit instrument.

5. A patron's claim of having a mental or behavioral disorder involving
gambling:

a. Is not a defense in any action by the Gaming Facility Operator or a
person acting on behalf of the Gaming Facility Operator to enforce a credit instrument or
the debt that the credit instrument represents.

b. Is not a valid counterclaim to such an action.

6. The failure of the Gaming Facility Operator or Management Contractor, as
applicable, to comply with the provisions of this section or the regulations does not
invalidate a credit instrument or affect the ability to enforce the credit instrument or the
debt that the credit instrument represents.


council enacts an ordinance expressly consenting to suit against it. The Tribe enacts this
chapter to ensure the public’s safety and welfare in the conduct of Class III gaming
operations, by providing its gaming patrons with a process for redress of their legitimate
tort claims as specified in this chapter.

14.20 Gaming Facility or Class II] Gaming Facilities, As used in this Chapter,
these terms have the same meaning as defined in the Tribal-State Compact as: “the
buildings or structure in which Class III Gaming, as authorized by this Compact, is
conducted.” For purposes of this Chapter, these terms expressly do not include buildings
or structures in which Class II gaming is conducted unless Class III gaming also is
conducted within such buildings or structures.

14.30 Tort Remedies for Patrons of the Tribe’s Class III Gaming Facility and
Liability for Damage to Patrons and their Property.

1. The Tribe shall establish procedures for the disposition of tort claims
arising from alleged injuries to patrons of its Class II] Gaming Facilities. The
Tribe shall not be deemed to have waived its sovereign immunity from suit
with respect to such claims by establishing such procedures.

2. The Tribe shall maintain public liability insurance which provides no less
than one million dollars ($1,000,000) for personal injury and property
damage arising from its Class III Gaming Facilities. The Tribe’s insurance
policy shall include an endorsement providing that the insurer may not
invoke Tribal sovereign immunity up to the limits of the insurance policy set
forth above.

14.40 Sovereign Immunity of the Tribe Article XXIV of the Constitution of the
Pascua Yaqui Tribe of Arizona provides:

The Pascua Yaqui Tribe and any person acting within the scope of his or her
capacity as an officer or employee of the Pascua Yaqui Tribe shall be
immune from suit, unless the tribal council enacts an ordinance expressly
consenting to suit.

14.50 Limited Waiver of Sovereign Immunity of the Tribe. In accordance with
Article XXIV of the Constitution of the Tribe, the Tribe hereby grants a limited waiver of

its sovereign immunity as to any tort claim arising from alleged personal injury claims to
or claims of injury to or loss of property owned by a patron of its Class II Gaming
Facilities if, and only if, each and every one of the following conditions is met:


PASCUA YAQUI TRIBE OF ARIZONA
TITLE 6 “we
GAMING ORDINANCE

History: Originally the Arizona Club Bingo Ordinance enacted by Tribal Council in Ordinance No.C4-2-89
dated April 13, 1989.

Repealed and replaced by the Gaming Ordinance of the Pascua Yaqui Tribe, Ordinance No. 92-12-01
dated December 17, 1992. Approved by National Indian Gaming Commission on October 14, 1993.

Amended by Tribal Council Resolution No. 94-23-C4 dated April 28, 1994 to dissolve the Gaming
Commission and amend Sec. 3.040. Submitted for approval to the National Indian Gaming
Commission on May 17, 1994. Currently on file with the National Indian Gaming Commission.

Amended by Tribal Council Resolution No. C05-119-00, dated May 6, 2000 to add Chapter14, Limited
Waiver of Sovereign Immunity.

PARTI

BE IT ENACTED BY THE COUNCIL OF THE PASCUA YAQUI TRIBE OF ARIZONA
AN ORDINANCE:

(PART I) AUTHORIZING CLASS II AND CLASS III GAMING OPERATIONS ON
THE PASCUA YAQUI INDIAN RESERVATION;

(PART I) ESTABLISHING A TRIBAL GAMING OFFICE, PROCEDURES FOR
LICENSING, REPORTING REQUIREMENTS, OPERATIONAL REQUIREMENTS,
HEARINGS AND PATRON DISPUTES, DISCIPLINARY PROCEEDINGS,
ACCOUNTING REGULATIONS, SPECIFICATION OF CHIPS AND TOKENS,
ENFORCEABILITY OF CREDIT INSTRUMENTS.

CHAPTER 1.000 Purpose

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


c To review and observe methods and procedures used by the Gaming
Facility Operator to count and handle cash, chips, tokens, negotiable
instruments, and credit instruments;

d. To examine the Gaming Facility Operator's records and procedures
in extending credit;

e. To examine and review the Gaming Facility Operator's internal
control procedures and, if applicable, the Manager Contractor's
compliance therewith;

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

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

2. The independent certified accountants shall conduct an audit in
conformity with Compact standards. The independent certified
accountants shall prepare an appropriate report at the conclusion of an
audit and shall submit a copy of the report to the Tribal Gaming Office,
the State Gaming Agency, the Manager and the Commission as applicable.

8.030 Accounting records.

1. The Gaming Facility Operator shall keep accurate, complete, legible, and
permanent records of all transactions pertaining to revenue that is subject to accounting
under a Management Contract.

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

a. Detailed records identifying revenues, expenses, assets, liabilities,
and equity;

b. Detailed records of all markers, IOU's, returned checks, hold checks,
or other similar credit instruments;


3. If, on a ground other than the properly invoked privilege against self-
incrimination, a respondent fails to respond to a subpoena, or fails or refuses
to answer a material question propounded to him, the hearing panel may
deem such failure or refusal to be independent grounds for granting the
relief requested by the Executive Director in the complaint with respect to
that respondent.

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

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

7.140 Decision of the Office

1. Findings of fact shall be based upon a preponderance of the evidence
standard.
2. The "preponderance of the evidence” standard is such evidence as when

considered and compared with that opposed to it, has more convincing
force, and produces in the minds of the members of the hearing panel a
belief that what is sought to be proved is more likely true than not true.

3. The decision shall be in writing and shall be issued within 30 days after the
hearing and served upon the parties personally, by certified mail, return
receipt requested, or by registered mail. A copy shall also be provided to the
State Gaming Agency at the same time.

7.150 Penalties. The hearing panel may suspend, revoke, limit or condition the
license or finding of suitability of any person or enterprise, or may order the
suspension or termination of any gaming employee, found to have violated the


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

1,120 "Executive Director" means the Executive Director appointed by the Tribal
Council.

1.130 "Finding of suitability" means an approval granted to a person or
enterprise directly or indirectly involved with the Gaming Operation and relates only to
the specified involvement for which it was made. If the nature of the involvement
changes from that for which the applicant is found suitable, the Tribal Gaming Office may
require the person or enterprise to submit for a determination of suitability in the new
capacity.

1.140 "Game" and "gambling game" means any game played with cards, dice,
equipment or any mechanical, electromechanical or electronic device or machine for
money, property, checks, credit or any representative of value, including any banking or
percentage game.

1.160 "Gaming" or "gambling" or “Gaming Activity" means to deal, operate,
carry on, conduct, maintain or expose for play any game, slot machine, gaming device,
pari-mutuel operation, off-track pari-mutuel operation, interstate common pari-mutuel
pool, or race book as defined in the Compact or this Ordinance and means all forms of
Class II and Class III gaming owned and operated by the Tribe and conducted within the
Indian Lands of the Tribe.

1.170 "Gaming device" or "Electronic Game of Chance" means a microprocessor-
controlled electronic device which allows a player to play games of chance, some of which
are affected by skill, which device is activated by the insertion of a coin, currency, tokens
or by the use of a credit, and which awards game credits, cash, tokens, replays or a receipt
that can be redeemed by the player for any of the foregoing. Game play may be displayed

by:

(1) Video facsimile; or


5. The records required by subsection 4 must be retained for a period of two
years.

9.080 Other instrumentalities. Other instrumentalities with which gaming is
conducted must be designed, manufactured, approved, used, discontinued, destroyed, or
otherwise disposed of in accordance with the provisions of this Chapter applicable to
chips and tokens, except that such other instrumentalities must be of such shape, size, and
design and have such other specifications as the Tribal Gaming Office may approve.

CHAPTER 10
ENFORCEABILITY OF CREDIT INSTRUMENTS

10.010 Enforceability of credit instruments. Credit instruments accepted by the
Tribal Gaming Facility Operator are valid and enforceable and may be enforced through
legal process in the Tribal courts. Except as may be provided in the Compact, gaming
debts not evidenced by a credit instrument are void and unenforceable and do not give
rise to any administrative or civil cause of action.

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

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

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

b. May not accept a credit instrument which is incomplete and cannot
lawfully be completed to comply with the requirements of the laws of the State governing
negotiable instruments.

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


1. Any Indian person who violates any provision of this Chapter or any rule or
regulation authorized thereunder, shall be guilty of a criminal offense punishable by a fine
of not more than five hundred dollars ($500.00) or by imprisonment for not more than six
(6) months, or both.

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

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

11.080 Unlawful dissemination of information concerning racing;

exemptions; penalty.

1. It is 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
wager made upon the race or races.

2. This section does not prohibit:

a. 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
b. The furnishing or dissemination of information concerning wagers

made in an off-track pari-mutuel system of wagering authorized under the Compact.


Gaming Operation is not a party to the wager, less the total of all cash paid out as losses to
patrons.

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

1.250 “Interstate common pari-mutuel pool” means a pari-mutuel pool consisting
of pari-mutuel wagers placed at a track, its intrastate betting locations, other jurisdictions
and the off-track pari-mutuel wagers placed and accepted by pari-mutuel books.

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

1.270 "Licensee" means any natural person or entity who has been licensed by the
Tribal Gaming Office to be involved in the Gaming Operation or in the providing of
Gaming Services to the Tribe.

1.280 "Live Broadcast" means an audio and video transmission of a race, or series
of races, as it occurs at a track, whether or not it is furnished by a disseminator for a fee.

1.290 "Management Contract" means a contract within the meaning of 25 U.S.C.
§§2710(d)(9) and 2711.

1.300 "Management Contractor" means a natural person or entity that has entered
into a Management Contract with the Tribe or a Gaming Facility Operator which has been

approved pursuant to 25 U.S.C. §§2710(d)(9) and 2711.

1.310 "Manufacturer" means a natural person or entity that manufactures Gaming
Devices and/or component parts thereof as defined by this Compact for use or play in the
Gaming Facilities.

1.320 "Net revenue" means gross revenues of a gaming activity less amounts paid
out as, or paid for, prizes, winnings, and total operating expenses, excluding management
fees.

1.330 "Off-track pari-mutuel wager" means a wager placed by a patron and
accepted by the Gaming Operation's pari-mutuel book on a race or races offered as part of


RESOLUTION NO. C05-23-03
AMENDING THE GAMING ORDINANCE
PAGE 2

BE IT FURTHER RESOLVED THAT: Effective June 1, 2003, the Pascua
Yaqui Tribal Council hereby amends Part 1, Chapter 2.00; Part Il,
Chapter 1; and Part I, Chapter 11 of the Gaming Ordinance.

BE IT FURTHER RESOLVED THAT: The above-described amendments are
embodied in the attached Pascua Yaqui Tribal Gaming Ordinance
of 2003, which is hereby enacted.

BE IT FINALLY RESOLVED THAT: The Tribal Council Secretary is hereby
directed to revise and reprint the Gaming Ordinance in accordance
with the foregoing amendments within sixty (60) days following
the certification of this Resolution and forward the amended
Gaming Ordinance to the Nationa! Indian Gaming Commission,
the Arizona Department of Gaming and the Tribal Gaming Office.

CERTIFICATION

THE FOREGOING RESOLUTION was on May 14, 2003,duly
adopted by a vote of EIGHT in favor, ZERO opposed, and
ZERO abstained, by the Tribal Council of the Pascua Yaqui Tribe
pursuant to authority vested in it by Article VI, Section 1(0) and (t)
of the Constitution of the Pascua Yaqui Tribe on January 26, 1988
and approved by the Secretary of the Interior on February 8, 1988
pursuant to Section 16 of the Indian Reorganization Act of June
18, 1934 (48 Stat. 984).

~
oe

CHAIRMAN OF THE PASCUA YAQUI TRIBE

— re

SECRETARY OF THE TRIBAL COUNCIL

ee 7:7.)
Seae Tevauaq Rausoaay Lag ®G2:80 %0 4O uer


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

a. At least five hundred Dollars ($500.00), the Gaming Facility Operator
shall immediately notify the Tribal Gaming Office. The Tribal
Gaming Office shall conduct whatever investigation it deems
necessary and shall determine whether payment should be made; or

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

c. Limitation of Liability. The liability of the Gaming Facility Operator
in any proceeding under this Chapter shall be limited to the amount
of the alleged winnings and a patron shall not be entitled to an award
of special or punitive damages, or damages for mental distress.

2. Notice to Patrons. The Tribal Gaming Office shall mail written notice by
certified mail, return receipt requested, to the Gaming Facility Operator and the patron of
the decision resolving the dispute within thirty (30) days after the date that the Tribal
Gaming Office first receives notification from the Gaming Facility Operator or a request to
conduct an investigation from the patron.

3. Effective Date of Decision. The decision of the Tribal Gaming Office is
effective on the date it is received by the aggrieved party as reflected on the return receipt.

4. Review of Decision. Within thirty (30) days after the date of receipt of the
written decision, the aggrieved party may file a petition with the Tribal Gaming Office
requesting a review of the decision. The Tribal Gaming Office may set a hearing on the
matter or may make a decision based solely upon the prior decision and other
documentation provided to it by the patron and the Gaming Facility Operator. The Tribal
Gaming Office shall then issue a written decision and mail it to the parties pursuant to the
procedures set forth in Section 14(b). The decision of the Tribal Gaming Office shall be


4. The Tribal Gaming Office will not take final action to approve any
application unless all application and investigative fees and costs have been paid in full.
The Tribal Gaming Office may deny the application if the applicant has failed or refused to
pay all application and investigative fees and costs.

5. After all supplementary investigative fees and costs have been paid by an
applicant, the Tribal Gaming Office shall refund to the person who made the required
deposit any balance remaining in the investigative account of the applicant.

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

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

3.070 Withdrawal of application.

1. A request for withdrawal of an application may be made at any time prior to
final action upon the application by the Tribal Gaming Office by filing a written request to
withdraw with the Tribal Gaming Office.

2. The Tribal Gaming Office may, in its discretion, deny the request, or grant
the request with or without prejudice.

3. If a request for withdrawal is granted with prejudice, the applicant is not
eligible to apply again for licensing or approval until after expiration of one year from the
date of such withdrawal.


|
|

— PASCUA YAQUI
=

RESOLUTION NO. C05-23-03
AMENDING THE GAMING ORDINANCE
PAGE2

4 .
v : i Pascua
BE IT FURTHER RESOLVED THAT: Effective June 1, 2003, the
- Yaqui Tribal Council hereby amends Part 1; Chapter 2.00; Part If,
Chapter 1; and Part Ul, Chapter 11 of the Gaming Ordinance,

. Pa
EIT FURTHER RESOLVED THAT: The above-described améndments are

é _”” embodied in the attached Pascua Yaqui Tribal Gaming Ordinance

RESOLUTION NO. C05-23-03

RESOLUTION OF THE PASCUA YAQUI TRIBE AMENDING THE GAMING
ORDINANCE OF THE PASCUA YAQUI TRIBE.

WHEREAS, The Pascua Yaqui Tribe of Arizona is a federally recognized Indian tribe,
recognized by Congressional Act, P.L. 95-375, 92 Stat 712, (1978); as
amended by P.L. 103-357, 108 Stat 3418, (1995); and

WHEREAS, Article VI, Section L(t) of the Constitution of the Pascua Yaqui Tribe
provides that the Pascua Yaqui Tribal Council shall have the power to
enact ordinances regulating gambling and gaming; and

WHEREAS, The Pascua Yaqui Tribal Council approved and authorized the execution of
a new gaming compact between the Pascua Yaqui Tribe and the State of
Arizona on December 23, 2002 (“Gaming Compact”) pursuant to
Resolution No. C12-44-02; and

WHEREAS, Said Gaming Compact was approved by the Secretary of the Interior and
published in the Federal Register on February 5, 2003; and

WHEREAS, The Tribe’s Gaming Ordinance references the gaming compact entered
between the Pascua Yaqui Tribe and the State of Arizona in 1993, which
is no longer in effect; and

WHEREAS, Scction 3(w)(2) of the Gaming Compact provides that “Prior to May 31,
2003, the Tribe shall enact, as Tribal law, a requirement that beginning
June 1, 2003, no Person under 21 years of age shall be permitted to place
any Wager, directly or indirectly, in any Gaming Activity”; and

WHEREAS, It is therefore necessary to amend the Gaming Ordinance as provided in the

Gaming Compact and to update references to the current Gaming
Compact.

NOW, THEREFORE BE If RESOLVED THAT: Effective retroactive to February 5,
2003, the Pascua Yaqui Tribal Council hereby amends the Gaming
Ordinance to change references to the Tribe’s 1993 compact to the current
Gaming Compact.

BE IT FURTHER RESOLVED THAT: Effective June 1, 2003, the Pascua Yaqui
Tribal Council hereby amends the Gaming Ordinance to implement
Section 3(w)(2) of the current Gaming Compact, which requires the Tribe
to prohibit wagering by any person under the age of twenty-one (21).

| __ 7474S. Camino De Oeste * Tucson, Arizona 85746 » Phone (520) 883-5000 + FAX (520) 883-5014

TRIBE of ARIZONA —

teuauas Raus0ezIW LAd devibo bO 90 Yer



1. Gross gaming revenue does not include credit extended or collected by the
Gaming Facility Operator for purposes other than gaming. Gross gaming revenue
includes the amount of gaming credit extended to a patron that is not documented in a
credit instrument.

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

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

a. The Gaming Facility Operator settles the debt for less than its full
amount to induce the patron to make a partial payment. This paragraph is satisfied only if
the Gaming Facility Operator first requests payment of the debt in full from the patron, the
patron fails to respond to the request or refuses to pay the debt in full, and the patron then
makes a partial payment in consideration for settlement of the debt for less than the full
amount.

b. The Gaming Facility Operator settles the debt for less than its full
amount to compromise a genuine dispute between the patron and the Gaming Facility
Operator regarding the existence or amount of the debt.

c The Gaming Facility Operator settles the debt for less than its full
amount because the Gaming Facility Operator in good faith believes that the patron's
business will be retained in the future, or the patron's business is in fact retained.

d. The Gaming Facility Operator settles the debt for less than its full
amount to obtain a patron's business and to induce timely payment of the credit
instrument.

4. The Gaming Facility Operator shall ensure:

a. That a debt settled pursuant to subsection 3 is settled either with the
patron to whom the credit was initially extended or his personal representative. For
purposes of this section, a personal representative is an individual who has been
authorized by the patron to make a settlement on his behalf. The Gaming Facility
Operator shall document its reasonable basis for its belief that the patron has authorized
the individual to settle the patron's debt.


committees or other officially constituted bodies acting on behalf of the United States, or
any state, or the employing either directly or through a contract, or any other means, of
any firm or individual in any capacity where the repute of the Tribe or the Gaming
Operation is liable to be damaged because of the unsuitability of the firm or individual or
because of the unethical methods of operation of the firm or individual.

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

6. Employing in the Gaming Operation or the business of a licensee any person
whom the Tribe or any court has found guilty of cheating or using any improper device in
connection with any game, whether as a licensee, dealer, or player at a licensed game or
device; as well as any person whose conduct of a licensed game as a dealer or other
employee of a licensee resulted in revocation or suspension of the license of such licensee.

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

8. Possessing or permitting to remain in or upon the premises of the Gaming
Facility any cards, dice, mechanical device or any other cheating device whatever, the use
of which is prohibited by statute or ordinance, or conducting, carrying on, operating or
dealing any cheating or thieving game or device on the premises of the Gaming Facility,
either knowingly or unknowingly, which may have in any manner been marked,
tampered with or otherwise placed in a condition, or operated in a manner, which tends to
deceive the public or which might make the game more liable to win or lose, or which
tends to alter the normal random selection of criteria which determine the results of the
game.

9. Denying any agent of the Tribal Gaming Office, the State Gaming Agency,

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

5.030 Publication of payoffs.


7.090

rebuttal argument. The matter will then be submitted to the hearing panel
or decision. The hearing panel may rule upon such objections immediately
or take the matter under advisement and proceed with the hearing.

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

The Executive Director will then present his case in chief in support of the
complaint.

Upon conclusion of the Executive Director's case in chief, the respondent
may move for dismissal of the complaint. The hearing panel may hear
arguments on the motion, or may grant, deny, or reserve decision thereon,
with or without argument.

If no motion to dismiss is made, or if such motion is denied or decision
reserved thereon, the respondent shall thereupon present the case for the
defense.

Upon conclusion of the respondent's case, the Executive Director may
present his case in rebuttal.

Upon conclusion of the Executive Director's case in rebuttal, the Executive
Director shall present his closing argument, the respondent may present
answering argument, and thereafter the Executive Director may present
rebuttal argument. Thereupon the matter will stand submitted for decision
by the hearing panel.

Any member of the hearing panel may ask questions of witnesses, and may
request or allow additional evidence at any time, including additional
rebuttal evidence.

Evidence: admissibility.

For the purpose of this section, evidence is reliable if it is the sort of evidence
on which responsible persons are accustomed to rely in the conduct of
serious affairs.


CHAPTER 4
REPORTING REQUIREMENTS

4.010 Property report.

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

a. "Lessor" means any person who leases or rents any property, real or
personal, to the Gaming Operation.

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

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

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

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

c A brief description of any business relationships between the

operating licensee and the lessor other than by the lease.

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

4.020 Employee report.

1. Annually, on or before the 30th of April, the Gaming Facility Operator shall
submit an employee report to the Tribal Gaming Office on a form to be furnished by the


(c). After a revocation hearing, the Tribe shall decide to revoke or to
reinstate a gaming license. The Tribe shall notify the National Indian
Gaming Commission of its decision.

CHAPTER 8.000 —_ License Locations

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

PART II
CHAPTER 1

Definitions

1.000 Definitions. Unless a different meaning is clearly indicated, the terms used
in this Ordinance shall have the same meaning as defined in the "Indian Gaming,
Regulatory Act," Public Law 100-497, 25 U.S.C. §§ 2701 et seq. (the Act") and in the Pascua
Yaqui Tribe - State of Arizona Gaming Compact (the "Compact').

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

1.020 “Applicant” means any person who has applied for a license or certification
under the provisions of the Compact, or employment with a Gaming Facility Operator, or
approval of any act or transaction for which approval is required or permitted under the
provisions of the Compact.

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

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

1.050 "Class 11 Gaming" means all forms of gaming defined as Class II in Section
4(7) of the Act, 25 U.S.C. §2703(7).


Tribal members or non-member indians for acts committed on the Reservation or Tribal
Lands.

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

1. After the final adjudication of a complaint involving a violation of the
Compact or this Chapter, or of any other complaint involving the seizure of evidence by
an agent of the Tribal Gaming Office or the State Gaming Agency, a court of competent
jurisdiction may enter an appropriate order disposing of all physical evidence pertaining
to the complaint, whether or not the evidence was introduced as an exhibit.

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

a. The Tribal Gaming Office shall notify by certified mail each potential
claimant of the evidence that he has 30 days after receipt of the notice within which to file
a written claim with the board for return of the evidence.

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

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

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

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

d. If no claim is submitted, the Tribal Gaming Office shall deposit all
money with the Tribe and may use all other property for any lawful purpose. The Tribal
Gaming Office may dispose of any property which cannot be used for any lawful purpose
in any reasonable manner.


b. That the settlement is authorized by persons designated to do so in
the internal control system, and the settlement agreement is reflected in a single document
prepared within 30 days of the agreement and the document includes:

(1) The patron's name;

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

(5) The reason for the settlement;

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

(7) The patron's signature or in cases in which the patron's
signature is not on the settlement document, confirmation
from the patron acknowledging the debt. If confirmation from
the patron is not available because of circumstances beyond
the Gaming Facility Operator's control, the Gaming Facility
Operator shall provide such other information regarding the
settlement as is necessary to confirm the debt and settlement.

5. If the Tribal Gaming Office determines that it is necessary to independently
verify the existence or the amount of a settlement made pursuant to subsection 3, the
Gaming Facility Operator shall allow the Tribal Gaming Office to confirm the settlement
and its terms and circumstances with the patron to whom the credit was initially
extended.

6. The Gaming Facility Operator shall include in gross gaming revenue all
money, and the net fair market value of property or services received by the Gaming
Facility Operator in payment of credit instruments.

7. The Gaming Facility Operator may exclude money received in payment of
credit instruments from gross revenue if the Gaming Facility Operator notifies the Tribal
Gaming Office in writing within 45 days of the Gaming Facility Operator's discovery of


9.020 Specifications for chips and tokens.

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

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

a. The name of the Gaming Facility Operator must be inscribed on each
side of each chip and token;

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

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

d. Each chip must be designed so that when stacked with chips and
tokens of other denominations and viewed on closed-circuit, black-and-white television,
the denomination of the chip can be distinguished from that of the other chips and tokens
in the stack.

9.030 Specifications for chips.

1. Unless the Tribal Gaming Office approves otherwise, chips must be disk-
shaped, must be .130 inch thick, and must have a diameter of:

a. 1.55 inches, for chips used at games other than baccarat;
b. 1.55 inches or 1.6875 inches, for chips used at baccarat; and
c 1.6875 inches, for chips used exclusively at race books or other

counter games.


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

1,180 "Gaming employee" means any person employed as a Primary
Management Official or Key Employee of a Gaming Operation of the Tribe 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.

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

1.200 "Gaming Facility" or "gaming facilities" means the buildings,
improvements and facilities in which Class III gaming, as authorized by the Compact, is
conducted and also includes where Class II gaming is conducted.

1.210 "Gaming Operation" means any Gaming Activity conducted within any
Gaming Facilities.

1.220 "Gaming Facility Operator" means the Tribe, an enterprise owned by the
Tribe, or such other entity of the Tribe as the Tribe may from time to time designate by
written notice to the State as the wholly-owned Tribal entity having full authority and
responsibility for the operation and management of Class ITI Gaming Activities.

1.225 "Gaming services" means the providing of any goods or services, except for
legal services, to the Tribe in connection with the operation of Class II] Gaming ina
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 month.

1.230 "Gross gaming revenue" means the total of all cash received as winnings,
cash received in payment for credit extended by the Gaming Operation to a patron, and
compensation received by the Gaming Operation for conducting any game in which the