WAR 2 7 2000 

Melinda Silk, Esquire 

Ak-Chin Tribal Gaming Agency 

15406 North Maricopa Road 

Maricopa, Arizona 85239 

Dear Ms. Silk: 

This letter responds to your request to review and approve the amendment to the Ak-Chin Indian 

Community (Community) Ordinance No. A-1-00, adopted on January 5,2000. The amendments 

were adopted by the Ak-Chin Community Council by Resolution No. A-1-00 on January 10, 

2000, and the original Ordinance was approved by the Chairman of the National Indian Gaming 

Commission (MGC) on December 7, 1993. The NIGC received the amendments for review on 

January 14, 2000. This letter constitutes approval of yow submission under the Indian Gaming 

Regulatory Act (IGRA). Such approval does not constitute approval of specific games. 

It is important to note that the gaming ordinance is approved for gaming only on Indian lands as 

defined in the IGRA, over which the Community exercises jurisdiction. 

You indicated that the Community plans to adopt the Minimum Internal Control Standards 

(MICS). Please note that the Community must promulgate tribal MICS that are at least as 

stringent as the NIGC MICS found at 25 C.F.R. Part 542. In addition, the gaming operation 

must establish and implement an internal control system that is consistent with the tribal MICS. 

Thank you for submitting the amendments to the tribal Ordinance of the Ak-Chin Indian 

Community for review and approval. The NIGC staff and I look forward to working with you 

and the Community in implementing the IGRA. If you have questions or require Wer 

assistance, please contact Ms. Frances Fragua at 2021632-7003. 

Montie R. Deer 

Chairman 

1441 L STREET, N.W. BM ROOA WASHINGTON, D.C. 20005 TEL 202-632-7W3 FAX: 202-632-7088 
AK-CHlN 1NDlAN COMMUN1TY COUNClL 

Route 2, Box 27 

Maricooa. Arizona 85239 

Resolution No. A-1 -00 

RESOLUTION OF THE 

AK-CHIN INDIAN COMMUNITY COUNCIL 

A Resolution to enact a gaming code for the Ak-Chin lndian Community, to repeal 

the gaming code of 1993, and to authorize delivery of the newly enacted code to 

the Chairman of the National lndian Gaming Commission for approval 

WHEREAS, the Ak-Chin lndian Community ("Community") is a federally recognized 

lndian Tribe organized pursuant to the lndian Reorganization Act of 1934; 

and 

WHEREAS, the Community is governed by the Ak-Chin Community Council (the 

"Council") pursuant to its Articles of Association (the "Articles") approved 

by the Secretary of Interior December 20, 1961 ; and 

WHEREAS, Article VIII, Sections 1(b), (c), and (m) of the Articles authorize the Council 

to appoint subordinate officials and to prescribe their powers and duties; 

to promote and protect the general welfare of the Community; and to take 

such actions as are necessary to carry into effect its powers and duties; 

and 

WHEREAS, the Community entered into a TribalIState Gaming Compact with the state 

of Arizona on February 5, 1993 pursuant to the lndian Gaming Regulatory 

Act of 1988, Pub.L. 100-497, 25 U.S.C. 9s 2701-2721 and 18 U.S.C. 5s 

11 66-1 168; and 

WHEREAS the Community entered into a casino management agreement with 

Harrah's Arizona Corporation on August 6, 1993, as revised on January 

24, 1994, for a five year term; and 

WHEREAS, the Community established a casino operation, the Harrah's Phoenix AkChin Casino, which opened to the public on December 27, 1994, for a 

five-year term; and 

WHEREAS, the Community enacted the Ak-Chin Community Gaming Code on 

November 30, 1993, which superceded in its entirety the Ak-Chin 

Community Gaming Code first enacted on January 19,1993; and 
Ak-Chin Community Gaming Code Page 2 

WHEREAS, the Chairman of the National lndian Gaming Commission approved the 

November 30, 1993 Ak-Chin Community Gaming Ordinance on December 

7, 1993; and 

WHEREAS, the Executive Director of the Tribal Gaming Agency, the Tribal Gaming 

Commissioners and the Council have determined that the existing gaming 

code requires many amendments; therefore, it is appropriate to repeal the 

existing code and replace it in its entirety with the attached gaming code. 

NOW THEREFORE BE IT RESOLVED, that the Ak-Chin lndian Community Council 

does hereby approve the attached Ak-Chin Community Gaming Code in 

order to provide fordetenti.on,of,persons for-notifying law enforcement 

authorit-ies; to emphasize the autonomy of the Tribal Gaming Agency from . .. 

.the casino .operation; to define the provisions for removal of Tribal Gaming 

Commissio,ners for cause; to make violations of the Gaming Code subject -- . 

to criminal prosecution; and to set forth other necessary provisions. 

BE IT FURTHER RESOLVED, that the Ak-Chin Community Council authorizes the 

Chairman to execute the attached Ak-Chin Community Gaming Code, and 

directs the delivery of said Code to the Chairman of the National lndian 

Gaming Commission for approval. 

BE IT FINALLY RESOLVED, that the Ak-Chin Community Gaming Code approved on 

November 30, 1993 is hereby repealed and replaced in its entirety by this 

enactment. 

Pursuant to authority contained under Article VIII, Section a, c and f of the Articles of 

Association of the Ak-Chin lndian Community, approved by the Secretary of the Interior 

on December 20. 1961, by a quorum of 2 member$ present at a Special Council 

Meeting held on Januarv 10. 7000 at Maricopa, Ak-Chin lndian Reservation, Arizona, 

by a vote of 3 for, 11 against, 11 not voting, and 2 absent; the foregoing resolution 

was adopted. 

c L na M. Kakar, Chairman 

Ak-Chin lndian Community Council 

ATTEST: 

??I b& 

oester, Secretary 

Ak-Chin lndian Community council 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

SECTION 1 

STATE3lENT OF POLICY 

Ordinance No. A - 1 - 00 

JAN I 

It is the purpose of this Code to provide for the sound regulation of all gaming activities 

on lands within the jurisdiction of the Ak-Chin Indian Community, in order to protect the public 

interest in the integrity of such gaming activities, to prevent improper or unlawful conduct in the 

course of such gaming activities, to strengthen tribal self-government and to promote the 

economic self-sufficiency of the Ak-Chin Lndian Community. This Code constitutes the 

ordinance of the Ak-Chin Indian Community regulating Class II and Class I11 Gming 

contemplated by Section 11 (b) (2) and Section 11 (d) (1) (A) of the Indian Gaming Regulatory 

Act, Pub. L. 100-397, 25 U.S.C. S$ 2710 (b) (2) and 2710 (d) (1) (A). 

SECTION 2 

DE FIiVITIONS 

For purpose of this Code: 

(a) "Act" means the Indian Gaming Rsgulatory Act of 1988, Pub. L. 100-497, 25 U.S.C. 

S 2701 et seq. and 18 U.S.C. $9 1666-1 168, and all other regulations promulgated 

pursuant thereto. 

(b) "Agency" means the Ak-Chin Indian Community Tribal Gaming Agency, established by 

Section 6 of this Code. 

(c) "Chairman" means the Chairman of the Tribal Gaming Agency Commission. 

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

25 U.S.C. 9 2703 (6). 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

"Class I1 Gaming" means Class II gaming as defined in Section 4 (7) of the Act, 25 

U.S.C. 2703 (7). 

"Class I11 Gaming" means all forms of gaming as defined in Section 4 (8) of the Act, 

25 U.S.C. S 2703 (8). 

"Code" means this Ak-Chin Indian Community Gaming Code. 

"Community" means the Ak-Chin Lndian Community. 

"Compact" means the Tribal-State Compact between the Ak-Chin Indian Community and 

the State of Arizona, dated as of June 24, 1993, as it may be amended &om time to time, 

for the purpose of regulating Class I11 Gaming Activities conducted on Tribal lands. 

"Commissioner" means a Commissioner of the Tribal Gaming Agency as appointed 

pursuant to Section 6 of this Code. 

"Distributor" means any person, firm or corporation that distributes Gaming Devices, 

andlor component parts thereof, used or to be used in a Gaming Operation. 

"Electronic Game of Chance" or "Gaming Device" means a microprocessor-controlled 

electronic device which allows a player, or players if a multi-station gaming device, to i 

play games of chance, some of which are affected by skill, which device is activated by 

the insertion of a token, coin or currency, or by the use of a credit, and which awards 

game credits, cash, tokens, prizes of value or replays, or a written statement of the 

player's accumulated credits, which written statements are redeemable for cash. Play of 

an Electronic Game of Chance or Gaming Device may be displayed by: 

(i) video facsimile; or 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

(ii) mechanical rotating reels whereby the software of the device predetermines the 

stop positions and the presence or lack of a winning combination and payout, if 

any. 

(m) "Executive Director" means the Executive Director of the Tribal Gaming Agency as 

appointed pursuant to Section 6 (c) of this Code. 

(n) "Gaming" means Class 11 Gaming and Class I11 Gaming. The term "Gaming," as used in 

this Code, does not include Class I Gaming. 

(0) "Gaming Device" means, collectively, any Electronic Game of Chance, Slot Machine or 

Video Game of Chance. 

(PI "Gaming Employee" means any natural person employed in the operation or management 

of any Gaming Operation, whether employed by or contracted to the Community, or by 

any person or entity providing on or off-site services to the Community within or without 

any Gaming Facility, including, but not limited tohany natural person whose employment 

duties require or authorize access to restricted areas of any Gaming Facility. 

(s> "Gaming Facility" means any building, room or rooms, or that portion of a room licensed 

and approved by the Tribal Gaming Agency, in which Gaming is conducted on the 

Reservation. 

(r) "Gaming Operation" means any enterprise on the Reservation for the conduct of Gaming. 

(s) "Gaming Service" means any goods, senices or concessions provided by contract, 

agreement, understanding, or any arrangement whatsoever, to the Community or to a 

Manager in connection with the Gaming Operation in an amount in excess of five 

thousand dollars (55,000) in any calendar month, except for professional, legal or 

accounting services. No contract, ageement, understanding, or any arrangement 

whatsoever, can be broken up into parts for the purpose of avoiding this definition and 

any requirement of licensure or certification contained under this Code or in the Compact. 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

Notwithstanding the foregoing, the Agency may promulgate regulations governing goods, 

services, or concessions in an amount less than $5,000 in a calendar month to protect the 

public interest and ensure the integrity of any and all activity involving the gaming 

operation. 

(t) "Key employee" means an employee of a Gaming Operation, whether or not a Gaming 

Employee, who perfoms one or more of the following hnctions: 

(i) bingo caller, 

(ii) counting room supervisor, 

(iii) chief of security, 

(iv) custodian of gaming supplies or cash, 

(v) floor manager, 

(vi) pit boss, 

(vii) dealer, 

(viii) croupier, 

(ix) approver of credit, 

(x) custodian of Gaming Devices, including persons with access to cash and 

accounting records within such devices, and 

(xi) if not otherwise in included in clauses (i) through (x) of this definition, any other 

person whose total cash compensation is in excess of $50,000 per year or, if not 

otherwise included, the four most highly compensated persons in any Gaming 

Operation. 

(u) "License" means an approval or certification issued by the Tribal Garning Agency to any 

natural person or enterprise to be involved in the Gaming Operation or in the providing of 

Garning Services to any Gaming Operation. 

(v) "Licensee" means any natural person or enterprise who has been approved, licensed, 

certified or found suitable by the Tribal Gaming Agency to be involved in the Gaming 

Operation or in the providing of Gaming Services to the Gaming Operation. 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

(w) "Management Contract" means a contract between the Community and a Manager for the 

Management of a Gaming Operation, including any related subcontracts and collateral 

ageements,/within the meaning of the Act. 35 U.S.C. $3 2710 (d)(9) and 171 1. 

\ 

(x) "Manager" means a person, firm or corporation with whom the Community enters into a 

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

$5 2710 (d)(9) and 271 1. 

(y) "Manufacturer" means a person, firm or corporation that manufactures Gaming Devices, 

or component parts thereof, used or to be used in a Gaming Operation. 

(z) "National Indian Gaming Commission" or "NIGC" means the National Indian Gaming 

Commission established pursuant to Section 5 of the Act, 25 U.S.C. 9 2704. 

(aa) "Net Revenues" of any Gaming Operation means the gross revenues of such Gaming 

Operation less amounts paid out as, or paid for, prizes and less total operating expenses, 

determined in accordance with generally accepted accounting principles but excluding 

management fees paid to a Manager within the meaning of Section 11 (c) of the .\ct, 

25 U.S.C. 9 271 1 (c). 

(bb) Patron - any natural person with the exterior boundaries of the Gaming Facility, as 

defined by the legal description contained in the Mana,oement Agreement between the 

Ak-Chin Indian Community and Hmah's Arizona Corporation. 

(cc) "Primary Management Official" means: 

(i) the person having management responsibility for a management contract; or 

(ii) any person who has authority: 

(1) to hlre and fire employees; or 

(2) to set up working policy for the gaming operation; or 

(iii) the chief financial officer or other person(s) who has financial management 

responsibility. 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

(dd) "Principal" means: 

(i) any natural person having an interest in the contract in question, 

(ii) with respect to a trust, any beneficiary or trustee, 

(iii) with respect to a partnership, any partner, 

(iv) with respect to a corporation, any person who (a) is a director thereof, or (b) is one 

of the ten largest holders of the issued and outstanding stock thereof, alone or in 

combination with any other stockholder who is such person's spouse, parent, child 

or sibling, 

(v) with respect to any entity other than a natural person that has an interest in a trust, 

partnership or corporation, all parties of that entity, and 

(vi) with respect to any entity, any person, firm or corporation (other than a federally 

regulated financial institution) that has provided more than ten percent of the 

outstanding financing of such entity. 

(ee) "Reservation" means, for the purpose of this Code: 

(i) all land within the exterior boundaries of the Ak-Chin Indian Reservation, as 

recoqized by the United States Secretary of the Interior as of October 17, 1988, 

and 

(ii) all lands title to which is either held in trust by the United States for the benefit of 

the Community, or held by the Community subject to restriction by the United 

States against alienation, and was so held on October 17, 1988, and 

(iii) any lands title to which is either held in trust by the United States for the benefit 

of the Community and which are described in Section 20 (a) (1) or Section 20 (b) 

(I) of the Act, 25 U.S.C. $9 2719 (a) (1) or 2719 (b) (1). 

(ff) "Restricted Area" for purposes of the Compact and this Code means cashiers cage, count 

rooms, management information systems (computer) room, surveillance room, vault, and 

any other area specifically designated as such by the Agency pursuant to a regulation 

promulgated by the Agency under this Code. 

6 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

(gg) "Slot Machine" means any mechanical or electronic device into which a player deposits 

coin, currency or tokens and from which coins, currency or tokens are paid out when a 

particular, randomly determined configuration of symbols appears on the reels or screen 

of the device. 

(hh) "State" means the State of Arizona, its authorized officials, agents and representatives. 

(ii) "State Gaming Agency" means the agency of the State as the Governor of the State may 

fi-om time to time designate by written notice to the Community as the state agency 

primarily responsible for oversight of the Class I11 Gaming as authorized by the Compact. 

Cij) "Technical Standards" means the operation standards for Gaming Devices set forth in the 

Compact. 

(kk) "Video Game of Chance" means a game of chance played on microprocessor-controlled 

devices that simulate games commonly referred to as poker, blackjack, craps, hi-lo, keno, 

roulette, line-up-symbols and numbers. or other common gaming forms, which are 

activated by the insertion of a coin, token or currency and which award coins, tokens, 

currency, additional plays or a written or displayed statement of the amount of a prize 

which is redeemable for cash andlor contains a meter or device to record unplayed credits 

or replays. 

SECTION 3 

AUTHORIZATION OF G-AiVIING ACTIVITIES 

(a) Class I Gamins. The conduct of Class I Gaming on the Reservation is not governed by 

this Code. 

(b) Class I1 Gamino,. The Community is hereby authorized to conduct any and all forms of 

Class I1 Gaming on the Reservation. 
AJL-CHIN INDIAN COMMUNITY 

GAMING CODE 

(c) Class 111 Gaming. The Community is hereby authorized to conduct any and all forms of 

Class I11 Gaming on the Reservation that are authorized to be conducted under the 

Compact. 

SECT103 3 

COIVIPLIANCE WITH THE .ACT AND CORIPACT 

(a) Com~liance with the Act. This Code shall be construed in a manner that conforms to the 

Act in all respects. If this Code is inconsistent with the Act in any manner the provisions 

of the Act shall govern. 

(b) Compliance with the Com~act. With respect to the conduct and regulation of Class 111 

Gaming, this Code shall be construed in a manner that conforms to the Compact in all 

respects. If this Code is inconsistent with the Compact in any manner the provisions of 

the Compact shall govern. 

SECT103 5 

GENERAL PROVISIONS GOVERYING THE CONDUCT OF 

CLASS I1 AND CLASS 111 GAiVIING 

(a) Ownershiu. As required by Section 11 (b) (2) (A) of the Act, 25 U.S.C. 2710 (b) (2) 

(A), the Community shall have the sole responsibility for the conduct of all gaming on 

the Reservation and the sole proprietary interest in any Gaming Operation. Nothing in 

this Code shall: 

(9 preclude the Community from entering into a Management Contract as authorized 

under Section 12 of the Act, 25 U.S.C. 5 271 1, or 

(ii) restrict the exercise by any secured party of its rights under any collateral lease, 

security interest or other financing agreement to enforce a lien on or security 

interest in any personal property encumbered thereby, or to enforce its rights 

against revenues derived by the Community from Gaming for the purpose of 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

repayment of debt obligations of the Community to such secured party in 

accordance with the provisions of such obligations, provided that no entity or 

person other than the Community shall have any proprietary interest in any 

Gaming Operation. 

(b) Ap~lication of net revenues. In compliance with Section 11 (b) (2) and (3) of the Act, 

25 U.S.C. 2710 (b) (2) and (3), Net Revenues from Gaming shall be used only for the 

following purposes, as more particularly determined by the Ak-Chin Community 

Council: 

(i) to hnd Community government operations or programs; 

(ii) to provide for the general welfare of the Community and its members; 

(iii) to promote the Community's economic development; 

(iv) to donate to charitable organizations; 

(v) to help fund operations of local government agencies, or 

(vi) any other purposes permitted under the Act. 

(c) Public Safetv Standards. In compliance with Section 11 (b) (2) (E) of the Act, 25 U.S.C. 

9 2710 (b) (2) (E), the construction and maintenance of any Gaming Facility, and the 

operation of all gaming, shall be conducted in a manner which adequately protects the 

environment and the public health and safety. For this purpose, all requirements of the 

Compact and all health, safety and environmental standards enacted by the Community 

shall apply to all Gaming Facilities. 

SECT103 6 

AK-CHIN INDIAN CORIiVIUNITY TRIBAL GAMING AGENCY 

(a) Establishment. The Ak-Chin Indian Community Tribal Gaming Agency is hereby 

established./~he Agency is an autonomous governmental agency of the Ak-Chin Indian 

Community wholly independent from the Community's gaming operation, subject only 

to the preeminent legislative authority of the Community Council. The Agency shall be 

deemed a law enforcement agency for purposes of accessing criminal hstory information 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

and canying out its required responsibilities under this Code. The Agency shall have 

overall civil regulatory authority over all Gaming Activities conducted on Tribal lands. 

Suuervision. The Agency shall be administered under the supervision of five 

Commissioners, a full-time Chairman and four part-time Commissioners, each of whom 

shall be appointed by the Community Council (the "Commission"). At least three 

members of the Commission shall be members of the Community. Two of the initial 

members of the Commission shall serve for terms ending on January 15, 1995, and three 

of the initial Commissioners, including the initial Chairman, shall serve for terms ending 

on January 15, 1996. Thereafter, Commissioners shall serve for two-year terms. 

Vacancies in the Commission shall be filled by appointment by the Community Council, 

and Commissioners may be appointed to successive terms. Members of the Commission 

shall continue serving after expiration of their term of office until a successor has been 

appointed. At least one of the Commissioners shall possess strong managerial experience 

in gaming operations, gaming regulation or gaming audits and financial controls. All 

Commissioners must be over the age of twenty-five, must possess a valid driver's license, 

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

felony or a misdemeanor involving theft, embezzlement or a crime involving moral 

turpitude, and must be persons whose prior activities, reputation, habits and associations 

shall not in any way jeopardize the effective regulation of gaming or the Community's 

and public's trust, confidence or interest. Compensation of the Commissioners shall be 

established by the Community Council. Commissioners may be removed for neglect of 

duty, malfeasance in office, or for other ~ood cause shown, after a plenary hearing, duly 

noticed and conducted. No Commissioner may be affiliated with or employed by the 

Gaming Operation in any capacity, and no Commissioner shall gamble in any Gaming 

Facility or assume any personal financial interest in any gambling by any patron of the 

Gaming Facility. 

Unless otherwise specifically provided in this Code, a majority vote of the Comrhission 

shall be deemed sufficient to effectuate any decision or action which this Code authorizes 

the Commission to make. In addition, unless othenvise provided in this Code, a decision 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

or action by the Commission shall be final and not subject to review by any court or 

judicial forum. 

(c) Executive Director. The Commission shall employ an individual to serve as Executive 

Director of the Agency who shall have overall responsibility for the day-to-day 

administrative functions of the Agency. The Executive Director may be removed by the 

Commission for neglect of duty, malfeasance in office, or for other good cause shown, 

after a plenary hearing, duly noticed and conducted. The Executive Director shall have 

the power, in the name of the Agency, to conduct any hearing, investigation or inquiry, to 

compel the production of any information or documents, issue violation notices, and 

otherwise to exercise all investigatory and regulatory powers of the Agency under this 

Code. The Executive Director shall be responsible for the coordination of the hnctions 

of the Agency with the State Gaming Agency and other federal, state and local agencies 

as necessary. The Executive Director shall be the agent of the Community for service by 

the National Indian Gaming Commission of any official determination, order or notice of 

violation under 25 C.F.R. 5 19.1. The Commission may direct the Executive Director to 

conduct a preliminary investigation and to render a recommendation to the Commission 

with respect to the grant or denial of any license, the imposition of any penalty. the 

investigation of any complaint, or any other action within the jurisdiction of the Agency 

under this Code. 

(d) Additional Staff. The Executive Director may employ additional staff as deemed 

necessary by the Commission in order to carry out the civil regulatory obligations of the 

Agency 

(e) Powers and Duties of Agencv. The Agency shall have the following powers and duties: 

(i) to have and to exercise primary responsibility for regulation of all Gaming 

Activities in order to ensure the integrity thereof; 

(ii) to investigate any aspect of any Garning.Operation in order to protect the public 

interest in the integrity of Gaming and to prevent improper or unlawful conduct. 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

The Agency shall investigate any report of a failure of any Gaming Operation to 

comply with the provisions of the Act, the Compact, this Code, the Rules, or any 

other applicable law, statute or regulation. The Agency may require any Gaming 

Operation to take any corrective action deemed necessary by the Agency upon 

such terms and conditions as the Agency may determine appropriate; 

(iii) to cany out each of the responsibilities and duties set forth for the Agency in the 

Compact, and shall adopt procedural resolutions in accordance with Section 6 (f) 

of this Code. 

(iv) to issue, limit, condition, restrict, renew, suspend andlor revoke licenses in 

accordance with Section 9 of this Code. The Agency shall issue forms for license 

applications, perfom background investigations of license applications, withhold 

licenses pending investigations, approve or deny applications, and issue or require 

the issuance of employee identification cards; 

(v) require each Manager to prepare a plan for the protection of public safety and the 

physical security of patrons of Gaming Facilities, setting forth the respective 

responsibilities of the Agency, the security departments of the Garning 

Operations, any Community police agency and. if appropriate, any State or local 

police agency. Such plan, and any subsequent modifications thereof, shall be 

submitted to and reviewed by the Xsency and, after such review, shall be adopted 

with such modifications as the Agency shall deem proper; 

(vi) review and approve floor plans and surveillance systems for each Gaming Facility 

and may confer with the State Gaming Agency or other organizations regarding 

the adequacy of such plans and systems; 

(vii) promulgate, review, and revise as necessary, regulations to govern the operation 

and management of any and all Gaming; 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

(viii) establish a list of persons barred from the Gaming Facilities because their criminal 

history or association with career offenders or career offender organizations poses 

a threat to the integ-ity of Gaming. h he Agency shall also bar individuals whose 

conduct is contrary to the public interest and whose presence may be injurious to 

the peace, health, or welfare of the patrons or employees of the Gaming Facility; / 

(ix) review and approve the Technical Standards and rules of each Gaming Device 

operated by any Gaming Operation, shall ensure that such Gaming Devices 

conform to the Technical Standards and rules, and shall, in accordance with the 

Compact, propose to the State Gaming Agency any changes to such Technical 

Standards and rules as the Agency deems appropriate; 

(x) enforce all Community health and safety standards applicable to Gaming 

Facilities. The Agency shall issue a certificate of compliance to each Gaming 

Operation upon a determination that the Gaming Facility complies with such 

standards; 

(xi) issue a notice of violation to andlor impose penalties for violations of the Act, the 

Compact, this Code, the Rules, or any other applicable law, statute or regulation 

in accordance with Section 9 of this Code; 

(xii) brinu any civil action or criminal complaint, in the name of the Community, in the 

courts of the Community, the State or the United States to enforce the provisions 

of the Act, the Compact, this Code, the Rules, or any other applicable law, statute 

or regulation, or to enjoin or otherwise prevent any violation of the Act, the 

Compact, this Code, the Rules, or any other applicable law, statute or regulation. 

I ( The Agency andior respective staff members as from time to time may be 

employed by the Agency shall have such law enforcement powers vested in them 

by specific Council resolution to access criminal history information and to cany 

out enforcement actions on behalf of the Community; ) 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

(xiii) receive any complaint fiom any person, including the gaming public or any - 

employee of any Gaming Operation, who is or who claims to be adversely 

affected by any act or omission of a Gaming Operation or any employee thereof 

and which is asserted to violate the Act, the Compact, this Code, the Rules, or any 

other applicable law, statute or regulation, and may impose such remedial action 

as it deems appropriate to bring the Gaming Operation into compliance with such 

provisions. The Agency may for this purpose, in its sole discretion, conduct a 

hearing and receive evidence with regard to such complaint if it deems an 

evidential proceeding useful in the resolution of such complaint; 

(xiv) adopt an annual operating budget which shall be subject to the approval of the 

Community Council. The expenses of the Agency shall be assessed against the 

Gaming Operations, and the Gaming Operations shall pay such assessments to the 

Community, in accordance with the Management Ageement; 

(xv) employ such staff from time to time as it deems necessary to hlfill its 

responsibilities under the Act, the Compact, this Code, the Rules, or any other 

applicable law, statute or regulation, and may retain le,oal counsel, consultants and 

other professional services, including investigative services, to assist it ~vith 

respect to any of the issues over which the Agency exercises jurisdiction.. The 

Agency, consistent with prevailing laws of the Community, shall establish its own 

personnel policies and procedures. These personnel policies and procedures shall 

be consistent wherever possible with the general personnel policies and 

procedures of the Ak-Chin Indian Community. The Agency shall confer with the 

Community's Human Resource Director for the sole purpose of ensuring 

compliance with applicable laws governing personnel matters of the Agency; 

(xvi) to compel any licensee, any person employed by a Gaming Operation and any 

person doing business with a Gaming Operation to appear before it and to provide 

such information, documents or other materials as may be in their possession to 

assist in an investigation conducted by the Agency; 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

(xvii) to issue subpoenas and to compel the attendance of witnesses at any place within 

the Tribal lands, to administer oaths and to require testimony under oath; 

(xviii) establish a schedule of fees and charges for the issuance of licenses, including 

application fees and annual renewal fees. In addition, the Agency may impose 

such fees on licensees as are reasonably related to the making of backgound 

investigations and the costs of enforcement of this Code and of the licenses issued 

thereunder; 

(xix) require each Distributor and Manufacturer to verify under oath, on forms 

prescribed by the Agency, that the Gaming Devices distributed or manufactured 

by them for use at any Gaming Facility comply with the Technical Standards and 

all requirements of the Act, the Compact, this Code, the Rules, or any other 

applicable law, statute or regulation. The Agency may require the testing of any 

Gaming Device, at the expense of the Distributor or Manufacturer thereof, to 

ensure such compliance; 

(xx) enforce all applicable liquor laws within the Gaming Facility. All Community 

liquor laws are hereby incorporated into this Code and any violations of such laws 

are hereby deemed Code violations. Pending enactment of applicable Community 

liquor laws, State liquor laws are hereby incorporated into this Code for 

enforcement purposes. The Agency shall be responsible for enforcing State liquor 

laws as violations of this Code pending enactment of applicable Community 

liquor laws; 

(xxi) to enter at any time any Gaming Facility within Tribal lands for the purpose of 

inspecting the facility, its employees and operations, its equipment and supplies, 

its business records and books of account or any other financial records or 

documents pertaining to the business operations of the facility, and to make 

summaries or copies of any such documents or other records as the Agency deems 

usehl or necessary to its purpose; 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

(xxii) to summarily seize and remove or impound any equipment, supplies, documents 

or records from any Gaming Facility for the purpose of examination; 

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

Operations and any person or entity for the purpose of managing or operating the 

Gaming Facility, for compliance with all applicable laws and regulations; 

(xxiv) to require that all gaming related contracts or agreements for supplies, services or 

concessions in an amount in excess of $25,000 annually, except contracts for 

professional, legal or accounting services, be subject to annual audits by an 

independent certified public accountant licensed in the State and having in-depth 

knowledge and experience with gaming; 

(xxv) to do all other things reasonably necessary for the proper and efficient exercise of 

the other powers and responsibilities placed upon the Agency by the Act, the 

Compact, this Code, the Rules, or any other applicable law, statute or regulation. 

(f) Procedures of the Apencv. The Agency shall conduct its operations in accordance with 

procedural resolutions adopted in accordance with Section 6 (e) of this Code. Such 

resolutions shall include the following provisions: 

(i) Rzgular meetings of the Commission may be held upon such notice, or without 

notice, and at such time and place as shall from time to time be fixed by the 

Commission. Unless otherwise specified by the Commission, no notice of such 

resu1a.r meetings shall be necessary. 

(ii) Special meetings of the Commission may be called by the Chairman or the 

Executive Director upon such notice as the Commission shall provide. The 

person calling the special meeting shall fix the time and place thereof. Neither the 

business to be transacted at, nor the purpose of, any special meeting of the 

Commission need to be specified in the notice of the meeting. 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

(iii) At any meeting of the Commission, a majority of the members then in office shall 

constitute a quorum for the transaction of business. The vote of a majority of the 

members present at a meeting at which a quorum is present shall be the act of the 

Commission, except where this Code otherwise requires an action to be taken by 

the vote of a majority of the members of the Commission then in office. The 

Chairman shall preside at all Commission meetings, unless the Chairman 

designates another member to preside in his absence. The Chairman or other 

presider shall have a vote on all matters. 

(iv) Any action required or permitted to be taken at a Commission meeting may be 

taken without a meeting if all of the members of the Commission sign written 

consents setting forth the action taken or to be taken, at any time before or after 

the intended effective date of such action. Such consents shall be filed with the 

minutes of the Commission, and shall have the same effect as a unanimous vote of 

the Commission at a legal meeting thereof. 

(v) Commission members may participate in a Commission meeting by means of 

conference telephone or similar communications equipment by means of which all 

persons participating in the meeting can hear each other. Participation in a 

meeting in such manner by any member who does not object at the beginning of 

such meeting to the holding thereof in such manner shall constitute presence in 

person at such meeting. 

(vi) Any hearing conducted by the Commission under this Code may, at the direction 

of the Commission, be conducted by the Executive Director or by one or more 

members of the Commission designated by the Commission for that purpose. 

(vii) The Commission may adopt such additional procedures and rules as it deems 

necessary or convenient to govern its affairs and which are consistent with the 

Act, the Compact, this Code, the Rules, or any other applicable law, statute or 

regulation. 
AK-CHW INDIAN COMMUNITY 

GAMING CODE 

(g) Tem~orarv Orders. The Chairman, the Executive Director or any other member of the 

Commission acting in the absence of the Chairman, may, whenever helshe deems it 

necessary to protect the public interest in the integrity of Gaming, issue temporarily in the 

name of the Agency any order that the Agency has the power to issue to a Gaming 

Operation, to a Gaming Employee or to any employee or contractor of a Gaming 

Operation or to any other person within the jurisdiction of the Community, to take any 

action or to cease and desist from any action as may be required to protect the public 

interest. Any such temporary order shall be subject to review by the Commission at its 

earliest opportunity and, if not confirmed by the Commission within 72 hours from its 

initial issuance, shall expire. 

(h) Prohibition. No member or employee of the Agency shall participate as a player in any 

Gaming activity conducted on the Reservation. 

SECTION 7 

G.L%IING AGENTS 

For the purpose of ensuring the integrity of all Gaming, the Agency shall employ Gaming 

Agents who shall report to and be under the supen ision of the Executive Director and not under 

the supervision of any Manager or any Gaming Operation. Gaming Agents shall have unfettered 

access to all facilities of all Gaming Operations at all times, including all Gaming Facilities and 

all other locations where any equipment, goods, supplies, books, records or other material 

relating to Gaming is kept or stored; for such purposes, personnel employed by any Gaming 

Operation shall provide Gaming Agents access to locked and secure areas of the Gaming 

Facilities or such other locations without restraint. Gaming Agents shall report to the Executive 

Director regarding any failure by a Gaming Operation to comply with any of the provisions of 

the Act, the Compact, this Code, the Rules, or any other applicable law, statute or regulation. 

Gaming Agents may also receive customer complaints with respect to any Gaming Operation 

and shall assist in seeking voluntary resolution of such complaints. 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

SECTION 8 

DETENTION OF PERSONS FOR 

YOTIFYI3G LAW ENFORCEMENT AUTHORITIES 

(a) Pursuant to Section 6 (a) (3) of the Compact, the Gaming Facility Operator shall at all 

times maintain an area within the Gaming Facility for the temporary detention of persons 

who may be involved in illegal activities within the Gaming Facility, for the purpose of 

notifying appropriate law enforcement authorities. 

(b) Such temporary detention area shall be equipped with both video and audio recording 

capabilities, to ensure that the individual or individuals confined in such area shall be 

under both video and audio observation at all times during the temporary detainment 

provided for in this Section. 

(c) The Gaming Facility Operator, or its agents, or the Tribal Gaming Agency, or its agents, 

upon observing possible illegal activity within the Gaming Facility, shall request the 

individual or individuals involved in such activity to accompany said agents to the 

temporary detainment area provided for in this Section. 

(d) Upon placing such person or persons in the temporary detainment area, the representative 

of the Gaming Facility Operator or the Tribal Gaming Agency shall immediately notif) 

the Surveillance Department of the Gaming Facility that such person or persons have 

been placed in detainment, and shall immediately cause the video and audio recording 

capabilities of the temporary detainment area to be activated, so as to maintain continuous 

obsewation of such person or persons. The video and audio recording capabilities shall 

remain activated throughout the temporary detention of the person or persons placed in 

this area, including the removal of said person or persons from the temporary detainment 

area by the Ak-Chin Indian Community Police Department or other appropriate law 

enforcement authorities. 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

(e) Upon placing a person or persons in the temporary detention area as set forth above, the 

representatives of the Gaming Facility Operator or Tribal Gaming Agency making the 

placement shall immediately notify the Ak-Chin Indian Community Police Department or 

other appropriate law enforcement authorities of said detention, and shall request that the 

Police Department or other law enforcement authorities shall remove said individual or 

individuals from detention as quickly as possible. 

SECTION 9 

LICENSING 

(a) Burden of Proof. It is the determination of the Community that the public interest in the 

integrity of Gaming is such that the burden of proof to establish fitness to obtain or 

maintain a license under this Code shall be upon the applicant or licensee, as the case 

may be. 

(b) Suitabilitv Requirements. The Agency may limit, condition, restrict, deny, suspend, or 

revoke a license when it has determined that the applicant or principal(s) for, or holder(s) 

of, a license: 

(i) has violated, failed or refused to comply with the provisions, requirements, 

conditions, limitations or duties imposed by any provision of the Act, the 

Compact, this Code, the Rules, or any other applicable law, statute or regulation, 

or when any such violation has occurred upon any premises occupied or operated 

by any such person or over which he or she has substantial control; 

(ii) knowingly causes, aids, abets, or conspires with another to cause any person or 

entity to violate any Tribal, Federal, or State laws, or the rules or regulations of 

the Agency, or the provisions of this Code; 

(iii) has obtained a Tribal License or state certification by fraud, misrepresentation, 

concealment or through inadvertence or mistake; 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

(iv) has been convicted of, or forfeited bond upon a charge of, or plead guilty to, 

forgery, larceny, extortion, conspiracy to defraud, willful failure to make required 

payment or reports to any Tribal, State or United States governmental agency at 

any level, or filing false reports therewith, or of any similar offense or offenses, or 

of bribing or otherwise unla~vfully influencing a public official or employee of a 

Tribe, State or the Federal government, or of any felony crime, involving any 

gaming activity or physical harm to individuals or moral turpitude; 

(v) makes misrepresentation of, or fails to disclose a material fact to the Agency or 

the State; 

(vi) fails to prove, by clear and convincing evidence, that he, she or it is qualified in 

accordance with the provisions of this Section; 

(vii) is subject to current prosecution or pending charges, or a conviction which is 

under appeal for any offenses referenced in Code Section 9 (b) (iv); 

(viii) has had a gaming license issued by any Tribe or State in the United States revoked 

or denied; 

(ix) has demonstrated a willful disregard for compliance with gaming regulatory 

authority in any jurisdiction, including suspension, revocation, denial of 

application or forfeiture of license; 

(x) has pursued or is pursuing economic gain in an occupational manner or context 

which is in violation of the criminal laws of any Tribe, State or the Federal 

government if such pursuit creates probable cause to believe that the participation 

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

operation of any authorized gaming or related activity. For the purpose of this 

paragraph, occupational manner or context shall be defined as the systematic 

planning, administration, management or execution of an activity for financial 

gain; 
AK-CHIN WIAN COMMUNITY 

GAMING CODE 

(xi) is a career offender or is a member of a career offender organization or an 

associatz of a career offender or career offender organization in such a manner 

~vhich creates probable cause to believe that the association is of such a nature as 

to be detrimental to the proper operation of the authorized gaming or related 

activities. For the purposes of this paragraph, career offender shall be defined as 

any person whose behavior is pursued in an occupational manner or context for 

the purpose of economic gain utilizing such methods as are deemed criminal 

violations of Tribal law, Federal law or State law. A career offender organization 

shall be defined as any goup of persons who operate together as career offenders; 

(xii) is a person whose prior activities, criminal record, if any, reputation, habits and 

associations pose a threat to the public interests of the Community or to the 

effective regulation and control of Class I11 Gaming, or creates or enhances the 

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

conduct of Gaming, or the carrying on of the business and financial arrangements 

incidental thereto; or 

(xiii) fails to provide any information to, or refuse to cooperate with, the Commission, 

the Executive Director, Gaming Agents, or any other staff as may be employed by 

the Agency, during the course of their official duties ensuring compliance with the 

provisions of the Act, the Compact, this Code, the Rules, or any other applicable 

law, statute or regulation. 

(c) License Reauirements. In compliance with Section 11 (b) (2) (F) of the Act 25 U.S.C. 

2710 (b) (2) (F), the following individuals and entities shall be subject to the 

background investigation and licensing requirements of this Code and, in the case of any 

person, firm or corporation involved in the conduct of Class I11 Gaming, the Compact: 

(i) sach Gaming Employee, 

(ii) sach Key Employee, 

(iii) each Primary Management Official 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

(iv) each Gaming Manager and each Principal thereof, 

(v) each Distributor and Manufacturer, 

(vi) each Gaming Facility, 

(vii) each provider of a Gaming Service, and 

(viii) each person, firm or corporation providing financing for any Gaming Operation, 

Gaming Facility or any part thereof. 

The Community shall notify the State Gaming Agency and the National Indian Gaming 

Commission of the results of any licensing process in accordance with the Compact and 

such regulations or procedures as the National Indian Gaming Commission may 

establish. 

(d) ADDlication Reauirements. 

(i) Each applicant for any category of license must be submitted to the Agency on 

forms provided by the Agency, and must be accompanied by the required fee, as 

set forth in Section 9 hereof, and by such supporting information as the Agency 

shall prescribe by regulation. 

(ii) Each applicant for a vendor's license shall be accompanied by a certificate of 

sponsorship from the Manager, which certificate shall state that the lManager 

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

issuance of an appropriate license. 

(iii) Each applicant for a Manager's license, a vendor's license, or in the case of an 

individual who is not an enrolled member of the Community, for a zaming 

employee's license, shall also be submitted to the appropriate State Gaming 

Agency, together with applicable fees, for state certification. In addition, the 

applications of, and reports concerning key employees or primary management 

officials engaged by, or applying for engagement by the Manager shall be 

submitted to the National Indian Gaming Commission for further review and 

action, prior to the applicant's receiving final action from the Agency. 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

(iv) The Agency staff will assist the applicant in assembling all information required 

for processing of the application, but no application will be processed until it is 

complete. The Agency may at any time after an application is submitted request 

the applicant in writing to supply additional information to enable the Agency to 

complete the applicant processing. 

(v) In connection with the application, the applicant shall consent in writing, on a 

form provided by the Agency, to the release of any information that may be 

relevant to the Agency's inquiry into the applicant's background from any person 

or entity. The form will clearly state that any and all information obtained by the 

Agency in the course of reviewins a licensing application shall remain 

confidential, and shall not be released by the Agency to any other person or 

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

circumstances: 

1) such information is required by the Compact to be disclosed to the National 

Indian Gaming Commission, 

2) such information is required by the Compact to be disclosed to the State 

Gaming Agency, or 

3) such information is ordered to be disclosed by judicial subpoena or court order 

for use in a judicial proceeding in which the applicant is a party. The Agency 

shall be bound by the terms of such consent form. 

General Provision of Licenses. 

(i) Each license issued by the Agency shall expire (subject to renewal) not later than 

one year after the date of its issuance. Such license may be renewed for 

subsequent one year periods upon proper application therefor, on forms specified 

by the Agency, but no license shall have any vested right to renewal. 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

(ii) If, under the Compact, a State certification is required by a prospective licensee, 

no license shall be issued by the Agency to such prospective licensee until such 

State certification is issued. 

(iii) After a license has been issued, the Agency may, at any time, at the expense of the 

licensee, conduct such background or other investigation as it may deem 

appropriate with respect to the licensee. If such subsequent investigation 

discloses information that would have made the licensee ineligible for the license 

if such information had been known prior to the issuance of the license, the 

Agency shall revoke the license in accordance with this Section 9. 

(iv) If, after the issuance of a license, an event occurs that would have made the 

licensee ineligible for the license if such event had occurred prior to the issuance 

of the license, the Agency shall revoke the license in accordance with this Section 

9. 

(v) If, after the issuance of a license to a licensee who is obligated to obtain a State 

certification under the Compact, the State certification is revoked, the Agency 

shall revoke the license in accordance with this Section 9. 

(vi) Applications for licenses or for renewal of licenses must be accompanied by 

nonrehndable fees for the following categories of licenses. Such fees shall be set 

by regulation of the Agency and shall be assessed to enable the Agency to defer 

the cost to the Agency of processing such applications: 

a) Employees 

New S150 

Renewal $75 

b) Vendors 

New $200 

Renewal SlOO 

c) Fingerprints reprints 510 

d) Badge DuplicatiodReplacement $10 
AK-CHIN NDLAN COMMUNITY 

GAMING CODE 

e) Valid Ceritfication Transfers $10 

(vii) If the Agency determines, on the basis of the background investigation and such 

other information as it may obtain, that an applicant is qualified for a license, the 

Agency may, but shall not be required to, issue such license. The Agency, at its 

sole discretion, may impose any qualifications to such license it deems 

appropriate, or may refuse to issue such license despite an applicant's 

qualifications. 

(viii) Before issuing a permanent license to a Gaming Employee, a Key Employee, a 

Primary Management Official, Manaser or a Principal of a Manager, the Agency 

shall forward the results of the background investigation to the National Lndian 

Gaming Commission in such form as shall be required by the National Indian 

Gaming Commission, in accordance with such regulations or procedures as the 

National Indian Gaming Commission may establish. The Agency shall consider 

any objections of the Nation Indian Gaming Commission in determining whether 

to issue the requested license. 

Licensure of Gamino Facilities. No Gaming shall take place at any Gaming Facility 

unless such Gaming Facility has a current license issued by the Agency for the conduct of 

such Gaming at such Gaming Facility. A separate license shall be issued for each 

Gaming Facility; such license shall specify whether Class I1 Gaming, Class 111 Gaming or 

both is permitted to be conducted therein. 

No license shall be issued to any Gaming Facility unless: 

(i) the floor plans and surveilIance systems for such Gaming Facility have been 

reviewed and approved by the Agency as required by Section 6 (e) (vi) of this 

Code, and 

(ii) the Agency has issued a certificate of compliance with respect to such Gaming 

Facility as required by Section 6 (e) (x) of this Code. 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

In addition, the Manager must apply for an amendment of its Gaming Facility License in 

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

facility, including expansion thereto, or if it intends to alter existing management 

personnel or gaming parameters. In such case, the manager must provide detailed 

specifications of the nature and extent of such alteration. 

Each Gaming Facility License issued by the Agency shall have a primary term of one 

year. Such license may be renewed for subsequent periods of one year upon proper 

application therefor, on forms provided by the Agency. 

(g) Licensure of Managers. No person, firm or corporation shall act as a Manager unless 

such Manager has a current license issued by the Agency. For each management 

contract, a background investigation shall be conducted of 

i) each person with management responsibility for a management contract; 

ii) each person who is a director of a corporation that is a party to a management 

contract; 

iii) the ten persons who have the greatest direct or indirect financial interest in a 

management contract; 

iv) any entity with a financial interest in a management contract, and 

v) any other person with a direct or indirect financial interest in a management 

contract otherwise designated by the NIGC. 

1. For each natural person identified above, the management contractor shall provide 

the following information: 

a) full name, other names used (oral or written), social sscurity number(s), birth 

date, place of birth, citizenship, and gender; 

b) a current photograph, driver's license number, and a list of all languages 

spoken or written; 

c) business and employment positions held, and business and residence 

addresses currently and for the previous ten years, the city, state and country 

of residence from age eighteen (1 8) to the present; 
AK-CHN INDIAN COMMUNITY 

GAMING CODE 

d) the names and current addresses of at least three (3) personal references, 

including one personal reference who was acquainted with the person at each 

different residence location for the past five (5) years; 

e) current business and residence telephone numbers; 

f) a description of any existing and previous business relationships with Indian 

tribes, including ownership interests in those businesses; 

g) a description of any pervious and existing business relationships with the - 

gaming industry generally, including ownership interests in those businesses; 

h) 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; 

'\ 

' i) for each gaming offense and for each felony for which there is an ongoing 

prosecution or a conviction, the name and address of the court involved, the 

charge, and the dates of the chart and of the disposition; 

j) for each misdemeanor conviction or ongoing misdemeanor prosecution 

(excluding minor traffic violations) within ten (10) years of the date of the 

application. The name and address of the court involved, and the dates of the 

prosecution and the disposition; 

k) a complete financial statement showing all sources of income for the previous 

three (3) years, and assets, liabilities, and net worth as of the date of the 

submission; and 

1) for each criminal charge (excluding minor traffic charges) regardless of 

whether or not it resulted in a conviction, if such criminal charge is within 10 

years of the date of the application and is not otherwise listed pursuant to 

paragraphs (i) and Cj) of this section, the name and address of the court 

involved, the criminal charge, and the dates of the charge and the disposition. 

2. Fingerprints for each person for whom background information is provided under 

this section. 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

3. Each person with a direct of indirect financial interest in a management contract 

or management responsibility for a management contract shall respond within 

thirty days to written or oral questions propounded by the NIGC. 

4. The following notices shall be placed on the application form for an license before 

that form is filled out by any applicant for a license for a Management Contract: 

"In compliance with the Privacy Act of 1974, the following information is 

provided: Solicitation of the information in this section is authorized by 25 

U.S.C. S 2701 et seq. The purpose of the requested information is to determine 

the suitability of individuals with a financial interest in, or having management 

responsibility for, a management contract. The information will be used by 

National Indian Gaming Commission members and staff and Indian tribal 

officials who have need for the information in the performance of their official 

duties. The information may be disclosed to appropriate federal, tribal, state, or 

foreign law enforcement and regulatory agencies in connection with a backgound 

investigation or when relevant to civil, criminal or regulatory investigations or 

prosecutions or investigations of activities while associated with a gaming 

operation. Failure to consent to the disclosures indicated in this statement will 

mean that the Chairman of the National Indian Gaming Commission will be 

unable to approve the contract in which the person has a financial interest or 

management responsibility. 

The disclosure of a persons' Social Security Number (SSN) is voluntary. 

However, failure to supply a SSN may result in errors in processing the 

information provided. 

A false statement knowingly and willfklly provided in any of the 

information pursuant to this section may be grounds for not approving the 

contract in which I have a financial interest or management responsibility, or for 

disapproving or voiding such contract after it is approved by the Chairman of the 

MGC. Also, I may be punished by fine or imprisonment. (U.S. Code, Title IS, 

Section 100 1 .)" 
AK-CHIN rNDIAN COMMUNITY 

GAMING CODE 

5. For each entity identified in this section, the management contractor shall provide 

to NTGC the following: 

a) each of the ten (10) largest beneficiaries and the trustees when the entity is a 

trust; 

b) each of the ten (10) largest partners when the entity is a partnership, and 

c) each person who is a director or who is one of the ten (10) largest shareholders 

of the issued and outstanding stock alone or in combination with another 

stockholder who is a spouse, parent, child or sibling when the entity is a 

corporation. 

6. Required information: 

a) the information required in paragraph l(a) of this section for each individual 

identified in paragraph 5 of this section; 

b) copies of documents establishing the existence of the entity, such as the 

partnership agreement, the trust ageement, or the articles of incorporation; 

c) copies of documents desigating the person who is charged with acting on 

behalf of the entity; 

d) copies of bylaws or other documents that provide the day-to-day operating 

rules. for the organization; 

e) a description of any existing and previous business relationships with Indian 

tribes, including ownership interests in those businesses; 

f) a description of any existing and previous business relationships with the 

gaming industry generally, including ownership interest in those businesses; 

g) the name and address of any licensing or regulatory agency with which the 

entity has filed an application for a license or permit relating to gaming, 

whether or not such license or permit is granted; 

(h) for each gaming offense and for each felony for which there is an ongoing 

prosecution or a conviction, the name and address of the court involved, the 

charge, and the dates of the charge and disposition; 

(i) for each misdemeanor conviction or ongoing misdemeanor prosecution within 

ten (10) years of the date of the application, the name and address of the court 

involved, and the dates of the prosecution and disposition; 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

(j) complete financial statements for the previous three (3) fiscal years; and 

(k) for each criminal chase (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 othenvise listed pursuant to paragraph 6 (h) and (i) of 

this section, the criminal charge, the name and address of the court involved 

and the dates of the charge and disposition. 

7. Each entity with a direct or indirect financial interest in a management contract 

shall respond within thirty (30) days to written or oral questions propounded by 

the Chairman. 

8. Each entity required to submit information under this section shall sig and 

submit the following statement: "A false statement knowingly and willfully 

provided in any of the information pursuant to this section may be grounds for not 

approving the contract in ~vhich we have a financial interest; or for disapproving 

or voiding such contract after it is approved by the Chairman of the National 

Indian Gaming Commission. Also, we may be punished by fine of imprisonment 

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

9. A management contractor shall pay to the Commission the cost of the background 

investigation in accordance with the provisions provided in Part 537, 5 537.2 of 

the Act's regulations. 

10. The NIGC Chairman shall determine whether the results of a background 

investigation preclude the MGC Chairman from approving a management 

contract. The NIGC Chairman shall promptly notify the tribe and management 

contractor if any findings preclude the NIGC Chairman from approving a 

management contract or a change in financial interest. 

1 I. A party may appeal the h?GC's Chairman's disapproval of a management 

contract or modification. Such an appeal shall be filed with the National Indian 

Gaming Commission within thirty (30) days after the NIGC Chairman serves his 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

or her determination. Failure to file an appeal within the time provided by this 

section shall result in a waiver of the opportunity for an appeal. An appeal under 

this section shall specify the reasons why the person believes the NIGC 

Chairman's determination to be erroneous, and shall include supporting 

documentation, if any. Within thirty (30) days after receipt of the appeal, the 

NIGC Commission shall render a decision unless the appellant elects to provide 

the National Indian Gaming Commission additional time, not to exceed an 

additional thirty (30) days, to render a decision. In the absence of a decision 

within the time provided, the NIGC Chairman's decision shall constitute the final 

decision of the National Lndian Gaming Commission. 

(h) Licensure of Gaming Em~lovees. Kev Em~lovees and Primarv Management Officials. 

No person shall be employed as a Gaming Employee, a Key Employee or a Primary 

LManagement Official unless such person has a current license issued by the Agency. 

Individuals so licensed shall wear a unique tribal identification credential, as issued by 

the Agency, at all times while on duty in the Gaming Facility. 

(i) The following notices shall be placed on the application form for a license before 

that form is filled out by any applicant for a license for a Gaming Employee, a 

Primary Management Official or a Key Employee: 

"In compliance with the Privacy Act of 1974, the following information is 

provided: Solicitation of the information on this form is authorized by 25 4 

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 
AK-CHIN WIAN COMMUNITY 

GAMING CODE 

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. 

A false statement on any part or 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 .)" 

The Agency shall notify all applicants for a Manager's or Gaming Employee's license for 

a position of key employee or primary management official that upon temporary issuance 

of a license to the applicant, the Agency must, within sixty calendar days, give notice 

thereof to the National Indian Gaming Commission. In the event the Agency receives, 

within thirty (30) calendar days of giving such notice to the NIGC or a longer period as 

further prescribed, an advice from the NIGC that such primary management official or 

key employee does not meet the standards established in the Code or in the Act for 

issuance of such a license, the Agency shall immediately suspend such license and sive 

notice thereof to the licensee. In such circumstances, the licensee may. after receiving 

notice of the suspension, request that the Agency reconsider its actions. Upon such 

request for consideration, the Agency shall consider the advice of the NGC, and shall 

also consider such oral statement(s) or written documentation as the licensee may present 

to the Agency at the time and place designated by the Agency. Within fifteen (15) 

calendar days of receipt of such statement(s) or documentation, or the licensee's request 

for reconsideration, whichever is later, the Agency shall issue a written decision. If the 

Agency's decision is adverse, then the licensee may appeal the license suspension to the 

Commission within thirty (30) calendar days of receiving notice thereof. The procedures 

applicable to such an appeal shall be those set forth in the Hearings Before the 

Commission handbook. 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

In the case of an application for a Gaming Employee's License concerning position for 

key personnel or primary management official, the Agency shall submit the following to 

the NIGC: 

1) a completed application for a license, 

2) a report on the backgound investigation undertaken by the Agency concerning the 

applicant, and 

3) a determination that the applicant is suitable to assume hisher duties in that the 

applicant poses no threat to the public interest or to the effective regulation of gaming, 

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

methods and activities in the conduct of gaming. 

Such information shall be submitted as soon as practicable after the collection of the 

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

completion of hisher application and of a grant of a temporary license. The report on the 

background investigation undertaken by the Agency shall detail: 

1) the steps taken in conducting the background investigation, 

2) the results obtained, 

3) the conclusions reached, and 

4) the bases for those conclusions 

In the event a Gaming Employee's License is not issued to an applicant for a key 

personnel or primary management official position, the Agency shall notify the hiGC 

and shall forward its eligibility determination and investigative report to the NIGC for 

inclusion in the Indian Gaming Lndividuals Records System. The Agency shall retain 

applications for employment and reports of background investigations for inspection by 

the Chairman of the MGC or hisher desigee for no less than three years fiom the date 

of termination of employment. 

Licensure of Financiers. Any third-party financing extended or guaranteed for the 

Gaming Operation and Gaming Facilities shall be disclosed to the State Gaming Agency 

and persons or entities extending such financing shall be required to be licensed by the 

Community and annually certified by the State Gaming Agency, unless said person or 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

entity is an agency of the United States or a lending institution licensed and regulated by 

the State or the United States. 

(j) Non-Gaming. Em~lovees. All persons who are not Gaming Employees but work at any 

facility where Gaming occurs or is supervised or administered, must obtain a nongaming 

work permit from the Agency before commencing employment. Such work permits may 

be issued upon a determination by the Agency that the employee is not a threat to the 

effective regulation of Gaming and creates no risk or enhances no danger of unfair or 

illegal practices, methods or activities in the conduct of Gaming. Individuals so 

designated shall wear a unique tribal identification credential, as issued by the Agency, at 

all times whlle on duty in the Gaming Facility. All applicants for work permits shall 

provide such information as the Agency shall require. 

(k) Licensure of Distributors. No person, firm or corporation shall distribute Gaming 

Devices, or component parts thereof, used or to be used in a Gaming Operation unless 

such Distributor has a current license issued by the Agency. 

(1) Licensure of Manufacturers. No person, firm or corporation shall use any Gaming 

Device, or component part thereof, in a Gaming Operation unless the manufacturer of 

such Gaming Device, or component part thereof, had a current license issued by the 

Agency at the time of the installation of such Gaming Device, or component part. 

(m) Licensure of Providers of Gaming Services. No person, firm or corporation shall 

purchase any Gaming Service, or enter into a contract, agreement, understanding, or any 

arrangement whatsoever, for the purchase of any Gaming Service, unless the provider of 

such Gaming Service has a current license issued by the Agency. 

(n) Backuound Investigations. The Agency shall conduct, or cause to be conducted, 

background investigations of all license applicants. The Agency shall subject every 

applicant for a license to a thorough background investigation, and such investigations 

shall be updated upon application for a renewal of such license, and at such other times as 

the Agency may determine to be appropriate. Such background investigations shall be 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

performed according to an investigative system, regularly updated and improved, that 

will comply with the requirements of the Act, the Compact, this Code, the Rules, or any 

other applicable law, statute or regulation. Such investigative system may include 

utilization of records of all available tribal, state and federal law enforcement agencies, 

resources of the NIGC, communications with other Indian tribes engaged in gaming 

activities, and any other sources of information accessible to the Agency for this purpose. 

The Agency shall maintain files that shall contain all information acquired in the course 

of its backgound investigations of license applicants. Such information and files shall be 

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

itself will be protected from inadvertent disclosure so as to comply with the applicable 

provisions of federal statutes protecting individual privacy. All applicants will be 

notified of their rights under the Federal Privacy Act as specified in 23 C.F.R. Part 556. 

The procedures to be fol10,wed by the Agency for conducting the background 

investigations and suitability determinations for applicants and licensees are as follows: 

A) there shall be a clear Agency-wide statement that the Agency, and only the 

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

suitability determinations, 

B) there shall be a list maintained in the office of the Executive Director setting 

forth standard operating procedures for investigations, which at a minimum 

shall include the following: 

a) verification in writing of all information submitted by the applicant, 

b) inquiry into the applicant's prior activities, criminal record, if any, and 

reputation, habits and associations; interview by telephone or meeting of a 

sufficient number of knowledgeable people such as former employers, 

personal references, and others identified on hislher application; exchange 

of information with all appropriate agencies, and 

c) identification of, and documentation of, all potential problem areas andor 

disqualifying information, and written disposition of all inquiries into such 

matters. 

The Agency shall request all of the following information from each applicant: 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

1. full name, other names used (oral or written), social security nurnber(s) andlor tax 

identification number, birth date, place of birth, citizenship, gender, all languages 

(spoken or written); 

2. currently and for the previous five years: business and employment positions 

held, ownership interests in those businesses, business and residence addresses, 

and drivers license numbers; 

3. 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 the foregoing clause (2); 

4. current business and residence telephone numbers; 

5. a description of any existing and previous business relationships with Indian 

tribes, including ownership interests in those businesses; 

6. a description of any existing and previous business relationships with the gaming 

industry generally, including ownership interests in those businesses; 

7. 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, and all disciplinary actions taken against the 

applicant by any federal, state or tribal saming agency, and by any professional, 

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

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

8. for each felony for which there in an ongoing prosecution or a conviction, the 

charge, the name and address of the court involved, and the date and disposition, 

if any; 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

9. for each misdemeanor conviction or ongoing misdemeanor prosecution (excluding 

minor traffic charges), within ten years of the date of the application, the name 

and address of the court involved and the date and disposition; 

10. for each criminal charge (excluding minor traffic charges), whether or not there is 

a conviction, if such criminal charge is within ten years of the date of the 

application and is not otherwise listed pursuant to clause (8) or (9), the criminal 

charge, the name and address of the court involved and the date and disposition; 

1 1. 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; 

12. a current photograph; 

13. the applicant's complete and current financial disclosure statement 

14. any other information the Agency deems relevant; and 

15. fingerprints consistent with procedures adopted by the Agency according to 25 

C.F.R. Section 522.2 (h) 

Applicants shall be advised that the information submitted with their applications shall be 

checked and verified with independent sources pursuant to internal security and 

operational procedures established by the Agency. Submission of such applications shall 

be considered agreement by any applicant that such independent verification can and 

shall be conducted by the Agency. In conducting a background investigation, the Agency 

shall keep confidential the identity of each person interviewed in the course of the 

investigation. 

(0) License Denial. The Agency shall not issue any license to individuals or entities required 

to be licensed under this Code should the Agency determine that said individual or entity 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

fails to meet the suitability requirements referenced in this Section 9. Individuals or 

entities denied issuance of a license pursuant to this Section 9 shall have a right to request 

a hearing before the Commission pursuant to Section (s). In the event an application is 

denied, the Agency shall inform the applicant by notice sent by registered or certified 

mail, return receipt requested, and, if it is a Class I11 application, shall inform the State 

Gaming Agency, giving the reasons and substantiating documentation for its decision. 

The applicant may appeal such decision to the Commission, within thirty (30) calendar 

days of the denial of such application, except that, in the event the Manager withdraws its 

Certificate of Sponsorship for such applicant, there will be no right of appeal. The 

procedures applicable to such an appeal shall be those set forth in the Hearings Before the 

Commission Handbook. 

@) Notice of Violation. In the event that the Executive Director obtains information that a 

licensee may have breached any provision of the Act, the Compact, this Code, the Rules, 

or any other applicable law, statute or regulation, the Executive Director shall issue a 

Notice of Violation to the licensee requesting corrective action and the Executive 

Director shall file said Notice of Violation with the Commission requesting penalty 

consideration pursuant to Section 12 of this Code. A Notice of Violation shall contain: 

1) a citation to the Act, the Compact, this Code, the Rules, or any other applicable law, 

statute or regulation that has been or is being violated; 

2) a description of the circumstances surrounding the violation, set forth in common and 

concise language; 

3) the action(s) which must be taken to correct the violation, if any; 

4) notice that the violation must be corrected within fifteen calendar days from receipt of 

the notice, or if contested, explained in writing within fifteen calendar days of the 

Agency's ultimate determination on the matter; 

5) notice of the civil fine or other enforcement action that will or could be imposed if the 

violation is not corrected; 

6) notice that a written response to the notice of violation must be submitted to and 

received by the Agency within fifteen calendar days of the receipt of the notice of 

violation; and 
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GAMING CODE 

7) notice that the Notice of Violation shall be the written decision of the Agency in the 

event that no written response to the Notice of Violation is submitted to the Agency 

within the time provided in this Section. 

In the event the violation is not corrected or a written response to the Notice of Violation 

is not made within fifteen calendar days following receipt of the Notice of Violation, the 

Commission may take one or more of the following actions: 

i) suspend or revoke the license of the person or entity to whom the Notice of Violation 

was directed, 

ii) access a civil penalty in accordance with the provisions of this Code, 

iii) forcibly remove the violator &om the Gaming Facility, 

iv) seize the Gaming Facility'and all equipment, records and proceeds of the Gaming 

Activities located within the Gaming Facility, andlor 

v) upon consultation with the Community's attorney, initiate in the Tribal Court a civil 

complaint to enforce the Act, the Compact, this Code, the Rules, or any other 

applicable law, statute or regulation. 

Each person or entity to whom a Notice of Violation is issued shall submit a written 

response to the Agency within fifteen calendar days of the receipt of the Notice of 

Violation, together with any additional information the person believes that the Agency 

should consider. Upon receipt of the written response, the Agency shall issue a written 

decision within fifteen calendar days, and shall mail such decision to the person or entity 

who is the subject of the Notice of Violation by certified or registered mail, return receipt 

requested. In the event of an adverse decision from the Agency, the party responding to 

the Notice of Violation may, within thirty (30) calendar days, appeal the matter to the 

consideration of the Commission. The procedures applicable to such an appeal shall be 

those set forth in the Hearings Before the Commission Handbook. In the event of an 

adverse decision from the Commissioners, the party responding to a Notice of Violation 

may appeal the matter to the Tribal Court. In such instance, the Court's power of review 

shall be limited to issues of due process, civil rights and constitutionality, and shall not 

entail any determination regarding the merits or correctness of the underlying 

administrative decision. 
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GAMING CODE 

(q) Investigations of Com~laints The Agency shall investigate all complaints alleging a 

violation of the terms of the Act, the Compact, this Code, the Rules, or any other 

applicable law, statute or regulation, or a Gaming Facility is not being properly 

maintained in accordance with the terms of any license or does not adequately protect the 

health, safety and welfare of the employees or patrons. 

The Agency shall give written notice of, and provide a copy of, the complaint to the 

licensee by mailing such notice and complaint to the licensee by certified or registered 

mail, return receipt requested. The licensee shall file with the Agency a written reply to 

the complaint within fifteen calendar days of receipt of the notice and complaint. The 

Agency shall provide copies of the complaint and the licensee's answer to the 

Cornmuni ty Council. 

Following receipt of the licensee's response to the complaint, the Agency shall cause a 

full investigation to be made of the allegations of the complaint. If the Agency 

determines that a violation of the Act, the Compact, this Code, the Rules, or any other 

applicable law, statute or regulation has occurred or is occumng, the Executive Director 

shall issue a Notice of Violation in accordance with the provisions in this Code. 

(r) Susvension or Revocation of Licenses. Any license issued by the Agency under this 

Code shall constitute a privilege to conduct the licensed activity and shall not create a 

right to the licensee to the conduct of that activity. Any such license may be suspended 

or-revoked by the Commission for the breach of any of the provisions of the Act, the 

Compact, this Code, the Rules, or any other applicable law, statute or regulation, upon 

hearing before the Commission after prior notice to the licensee. The licensee, his or its 

attorney and any person affected by the license shall have the right to be present at any 

hearing conducted in accordance with this clause and to offer sworn oral or documentary 

evidence relevant to the breach charged. A license may be summarily suspended if the 

continued licensing of a person or entity constitutes an immediate threat to the public 

health, safety or welfare. 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

(s) Hearing won Adverse Action. Any person or entity who is affected by an adverse 

determination by the Agency in connection with a license or work permit request may 

request a hearing before the Commission by written request submitted within 30 days 

following receipt of notice of the action of the Agency. The procedures applicable to 

such an appeal shall be those set forth in the Hearings Before the Commission Handbook. 

(t) A~veal to Tribal Court. Subject to the burden of proof set forth in Section 9 (a) of this 

Code, decisions of the Commission to affirm the denial, suspension or revocation of a 

license pursuant to this Section 9 may be appealed to the Tribal Court of the Community 

by the aggrieved person by written request submitted within ten (10) days following 

receipt of notice of said decision. In such instance, the Court's power of review shall be 

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

determination regarding the merits or correctness of the underlying administrative 

decision. In all appeals before the Tribal Court, there shall be deference given by the 

Tribal Court to the determination of the Commission as the body charged with the 

responsibility of interpreting its own regulations. In all cases, the standard on review 

shall be a preponderance of evidence. The decision of the Tribal Court shall be final. 

(t) Stav Pending Review. The effectiveness of any action to suspend or revoke an existing 

license under this Section 9 shall be stayed during any period of appeal or review under 

clauses (r) or (s). However, a license may be summarily suspended if the continued 

licensing of a person or entity constitutes an immediate threat to the public health, safety 

or welfare. 

SECTION 10 

STANDARDS OF OPERATION AND MANAGEMENT 

(a) Class I1 Gamins. The Agency shall adopt minimum standards for internal controls and 

rules of play for Class 11 Gaming. Internal controls include the plan of organization and 

all of the coordinate methods and measures adopted within a Gaming Operation to 

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

operational efficiency and encourage adherence to prescribed managerial policies. 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

Generally, internal controls shall include a system of accounting controls and a system of 

administrative controls. Pending such adoption, the Agency may direct any Gaming 

Operation that conducts Class II Gaming to comply with such standards as the Azency 

may determine necessary to protect the integrity of such Gaming. 

(b) Class I11 Gamin$. The Agency shall adopt minimum standards for internal controls and 

rules of play for Class I11 Gaming. Internal controls include the plan of organization and 

all of the coordinate methods and measures adopted within a Gaming Operation to 

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

operational efficiency and encourage adherence to prescribed managerial policies. 

Generally, internal controls shall include a system of accounting controls and a system of 

administrative controls. The initial technical standards for Electronic Games of Chance 

shall be those set forth as Appendix "A" of the Compact. 

(c) Annual Audit. In compliance with Section 11 (b) (2) (C) and (D) of the Act, 25 U.S.C. 

$ 2710 (b) (2) (C) and (D), each Gaming Operation shall be subject to an audit by 

independent certified public accountants engaged by and reporting to the Community 

Council licensed in the appropriate State, having in-depth knowledge of and experience 

with the accounting standards and auditing procedures appropriate for the gaming 

industry. This audit shall be performed not less than annually, and copies of the annual 

audit shall be provided to the Agency, State Gaming Agency and to the National Indian 

Gaming Commission. Such independent certified public accountant shall submit an audit 

report expressing an unqualified or qualified opinion or, if appropriate, disclaim any 

opinion on the financial statement taken as a whole in accordance with generally accepted 

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

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

controls and accounting procedures maintained by the licensed Gaming Facility are as 

required by the Act, the Compact, this Code, the Rules, or any other applicable law, 

statute or regulation. All contracts for supplies, services, or concessions for a contract 

amount in excess of $25,000 annually (except contracts for professional legal or 

accounting services) relating to Gaming shall be subject to such audits. 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

The Agency may, when it deems necessary, request additional information, from either 

the Manager or the independent accountant, regarding either the financial statement, the 

audit or both. In addition, copies of all letters From the independent accountant to the 

Manager regarding internal control matters shall be provided to the Agency within thirty 

calendar days after receipt by the Manager. Nothing herein shall limit the Community 

Council or the Agency to require such further internal intermittent, or other audits as may 

be deemed appropriate. 

(d) Facilitv Ins~ection - The Agency shall no less than monthly and at such other times as it 

believes is warranted, cause detailed inspections to be made of each licensed Gaming 

Facility to assure that such facility is being operated in accordance with the terms of the 

license and of the provisions of the Act, the Compact, this Code, the Rules, or any other 

applicable law, statute or regulation, and that in all other respects the facility's operation 

is in furtherance of the purpose of this Code. 

(e) Unsuitable Methods of Operation - Neither the Manager nor any of its employees, agents 

or affiliates shall, in the course of involvement with Gaming Activities, undertake any 

conduct or commit any action that is inimical to the public health, safety, morals, good 

order and general welfare of the Community, or that would impose or tend to impose 

discredit upon the Community or its Gaming Operations. The undertaking of any such 

conduct or commission of any such action shall be deemed to be an unsuitable method of 

Gaming Activity operation and shall be grounds for disciplinary action by the Agency in 

accordance with the regulations of the Agency. Without limiting the generality of the 

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

of operation: 

i) negligently failing to take reasonable precautions or actions to prevent incidents 

which might reflect on the repute of the Community and act as a detriment to the 

development of the gaming Operation; 

ii) permitting persons who are visibly intoxicated to participate in Gaming Activities; 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

iii) extending service of intoxicating beverages in the casino area to persons who are 

visibly intoxicated; 

iv) catering to, assisting, employing or associating with, either socially or in business 

affairs, persons who have been barred from the Gaming Facilities, or with persons 

who have been identified in writing by the Agency or the State Gaming Agency as 

persons of notorious or unsavory reputation, or with persons who have extensive 

police records, or with person who have defied congessional investigative 

committees or other officially constituted bodies acting on behalf of the United 

States or any state with regard to gaming; 

v) employing in any position any person who has been denied a license for such 

position from the Agency, and employing any person lacking an Agency license 

in any position for which such a license is required; 

vi) contracting for the provision of gaming services or gaming devices with any 

person or entity who has been denied a license to supply gaming services or 

gaming devices by the Agency, and contracting for the provisions of services, 

merchandise or equipment with any person or entity who has failed to obtain a 

license to supply services, merchandise or equipment from the Agency; 

vii) employing in the Gaming Operation any person whom the Community 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; 

viii) failing to comply with or make provision for compliance with all tribal, federal 

and state laws and regulations pertaining to the operation of Gaming Activities; 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

ix) conducting, carrying on or operating any Gaming Activities on Tribal lands which 

are not conducted, carried out on or operated on the premises of a licensed 

Gaming Facility, except in the event of a Class I or Class I1 per-event activity 

conducted pursuant to a permit issued by the Agency; 

x) conducting, carrying on or operating any cheating or thieving game or device on 

or off the Gaming Facility premises, either knowingly or unknowingly, which 

may have in any manner been tampered with or otherwise placed in a condition, 

or operated in a manner, which tends to deceive the public or which might make 

the game more liable to win or lose, or which tends to alter the normal random 

selection of criteria that determine the results of the game; 

xi) denying any agent of the Agency, the appropriate State Gaming Agency, the AkChin Community police or other officials having jurisdiction, upon proper and 

lawhl demand, access to and inspection or disclosure of, any portion of the 

Gaming Facility, as authorized by applicable laws and regulations. 

SECTION 11 

PROHIBITED ACTS 

(a) It shall be a violation of this Code for any person to: 

(i) conduct or participate in any Gaming on the Reservation other than at a Gaming 

Facility; 

(ii) receive, distribute, apply or divert any property, funds, proceeds or other assets of 

a Gaming Operation to the benefit of any individual or any other person except as 

authorized by the Act, the Compact, this Code, the Rules, or any other applicable 

law, statute or regulation; 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

(iii) tamper with any equipment used in the conduct of Gaming with the intent to 

cause any person to win or lose any wager other than in accordance with the 

publicly announced rules of the Gaming Operation; 

(iv) do any other act in connection with the conduct of Gaming with the intent to 

affect the outcome of any wager other than in accordance with the publicly 

announced rules of the Gaming Operation; 

(v) alter or misrepresent the outcome or other event on which wagers have been made 

after the outcome is made sure but before it is revealed to the players; 

(vi) place, increase or decrease a bet or 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 aid 

anyone in acquiring such knowledge for the purpose of placing, increasing or ,.a;' 

,- decreasing a bet of determining the course of play contingent upon that event or .do' 

., , 

outcome; 

(vii) claim, collect or take, or attempt to claim, collect or take, money or anything of 

value made in or fiom a Gaming Device, with intent to defraud, without having 

made a wager thereon, or to claim, collect or take an amount greater than the 

amount won; 

(viii) 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; 

(ix) 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; 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

(x) manipulate, with the intent to cheat, any component of any Gaming Device in a 

manner contrary to the designed and normal operational purpose for the 

component, including, but not limited to manipulating a Gaming Device, with 

knowledge that the manipulation affects the outcome of the game or with 

knowledge of any event that affects the outcome of the game; 

(xi) use tokens other than those approved by the Agency or coin other than lawful, 

legal tender of the United States of America, or use a coin not of the same 

denomination as the coin intended to by used in the Gaming Device; 

(xii) possess, with the intent to use, any device to assist in projecting the outcome of 

the game, in keeping track of the cards played, in analyzing the probability of the 

occurrence of an event relating to the game, or in analyzing the strategy for 

playing or betting to be used in the game; 

(xiii) use any device or means to cheat, or possess any such device at a Gaming 

Facility; 

(xiv) entice or induce another to go to any place on the Reservation where Gaming is 

being conducted or operated in violation of the provisions of the Act, the 

Compact, this Code, the Rules, or any other applicable law, statute or regulation, 

with the intent that the other person play or participate in that Gaming; 

(xv) participate in or to make or place, or cause to make or place, any wager involving 

any Gaming while being under the age of eighteen (18) years of age, 

(xvi) participate as a player in any Gaming Activities conducted by the Manager while 

such person is listed as a person barred from the Community's Gaming Facilities, 

or 

(xvii) enter the gaming facility while bearing a firearm or other deadly weapon unless 

specifically authorized by the Agency to do so. 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

Prohibited Acts as defined in this Section 11 shall also be deemed criminal violations and 

may be criminally prosecuted pursuant to this Code and/or the General Law and Order 

Code of the Community. 

(b) Patron Disuutes - The Manager shall notify the Agency of every patron dispute. A patron 

dispute occurs when a patron does not receive money or other items of value within a 

reasonable amount of time, but not to exceed one hour. Whenever the Manager refuses 

winnings to a patron, and the Manager and the patron are unable to resolve the dispute to 

the satisfaction of the patron, and the dispute involves: 

(i) at least five hundred dollars, the Manager shall immediately notify the Agency, or 

(ii) less than five hundred dollars, the Manager shall inform the patron of hisher right 

to request that the Agency shall conduct whatever investigation it deems 

necessary and shall determine whether payment should be made. 

The Agency shall mail written notices by certified mail, return receipt requested, to the 

Manager and the patron of its decision resolving the dispute within thirty calendar days 

after the date that the Agency first receives notification from the Manager or a request to 

conduct an investigation from the patron. 

The decision of the Agency is effective on the date it is received by the aggrieved party as 

reflected on the return receipt. Within thirty calendar days after the date of receipt of the 

written decision, the aggrieved party may file a petition with the Agency requesting a 

review of the decision. The Agency may set a hearing on the matter or make a decision 

based solely upon the prior decision and other documentation provided to it by the patron 

and the Manager. The Agency shall then issue a written decision and shall mail it to the 

parties by registered mail or certified mail, return receipt requested. The decision of the 

Agency shall be final and binding upon the patron and the Manager and shall not be 

subject to judicial review or other legal action. 
AK-CHIN INDIAN COMMUNITY 

GAMING CODE 

SECTION 12 

PENALTIES 

Any individual or entity who violates, attempts to violate, or conspires to violate, any 

provision of the Act, the Compact, this Code, the Rules, or any other applicable law, statute or 

regulation, may be subject to criminal prosecution and shall be subject to civil penalties 

including exclusion from employment by any Gaming Operation, denial, suspension or 

revocation of a license, exclusion from attendance at any Gaming Facility, exclusion fiom the 

Reservation if a non-member of the Community, or, with respect to any person subject to the 

civil jurisdiction of the Community to impose such fines, a fine of not more than $25,000 for 

each such violation. The Agency shall have the jurisdiction to impose any such penalties on any 

person within the jurisdiction of the Community to impose such penalties. 

No action of the Agency to impose a civil penalty pursuant to this Section 12 shall be 

valid unless the person or entity affected is given prior notice of the proposed action and the 

opportunity to appear and be heard before the Agency, either in person or through a 

representative or legal counsel, and to submit such evidence as the Agency deems relevant to the 

matter at issue. Notwithstanding the foregoing, if the Agency deems it necessary to protect the 

public interest in the integrity of Gaming, the Agency may take such action with immediate 

effect as it deems required, and shall thereupon provide notice and an opportunity to be heard to 

the affected person or entity as soon as is reasonable practicable following such action. 

Any individual criminally prosecuted under this Code and/or under the General Law and 

Order Code of the Community; for each offense committed, shall be subject to penalties up to 

and including imprisonment for a term of one year andlor a fine of up to $5,000, or both. 

SECTION 13 

REPEAL 

To the extent that they are inconsistent with this Code, all prior Codes governing gaming 

activities are hereby repealed. 

50 
AK-CHIN IJWIAN COMMUNITY 

GAMING CODE 

CERTIFICATION 

Pursuant to the authority contained under Article VIII, Section 1, (a), (b), (c), (I), and (m) 

of the Articles of Association of the Ak-Chin Lndian Community, approved by the Secretary of 

the Interior on December 20, 1961, by a quorum of 5 members present at a Regular Council 

meeting held on Januarv 5. 2000, at Maricopa, Ak-Chin Lndian Reservation, Arizona, by a vote 

of 5 for, 1 against, -0- not voting, and -0- absent; the foregoing Ak-Chin Indian Community 

Gaming Code was adopted. 

Ak-Chin Indian Community Council 

d@&fl NIC e M. ster, ecretary dg& 

-&-chin Indian ~ommuni$ Council