.wI '+r* 

AL 

OMMISSION 

Roseann Demmert, President 

Klawock Cooperative Association 

P.O. Box 112 

Klawock, Alaska 99925 

Dear President Demmert: 

This letter responds to your request to review and approve the 

tribal gaming ordinance submitted on August 17, 1993, for the 

Klawock Cooperative Association the Association. This letter 

constitutes such approval under the Indian Gaming Regulatory Act 

(IGRA) . Under the IGRA and the regulations of the National Indian Gaming 

 omm mission (NIGC), the chairman is directed to review ordinances 

with respect to the requirements of the IGRA and the implementing 

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

approval is limited ta the requirements of the IGRA and the NIGC 

regulations. Provisions other than those required under the IGRA 

or the NIGC regulations that may be included in a tribal 

ordinance are not subject to review and approval. Also, 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. 

With the Chairman's approval of the Klawock Cooperative 

Association's gaming ordinance, the Association is now required 

to conduct background investigations on its key employees and 

primary management officials. The NIGC expects to receive a 

completed application for each key employee and primary 

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

investigative report on each background investigation before 

issuing a license to a key employee or primary managewent 

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

Thank you for submitting the ordinance of the Klawock Cooperative 

Assocation for review and approval. The NIGC staff and I look 

forward to working with you and the Association in implementing 

the IGRA. 

Sincerely yours, 

i?cth~r;y ?J. &pt) 

Anthony J. Hope 

Chairman 

1850 M STREET. N W. SUITE 25q WASHINGTON. DC 20036 TEL 202-632-7003 FAX 202-632-7066 

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P.O. Box 112 

k Klawnok Cnnnerat.3ue Assndation Klawock, Alaska 99925 

(907) 755-2265 

"Site of the First Salmon Cannery Built in Alaska" 

RESOLUTION NO. 93-31 

TITLE: AMENDMENT TO "INDIAN GAMING ORDINANCE 93-01" 

ADOPTED PREVIOUSLY BY THE TRIBAL COUNCIL 

A Rescl~tisn af the KLRMEGK COOPERATIVE ASSOCIATION'Tribal 

Council representing 518 members. 

# 

WHEREAS: The KLAWOCK COOPERATIVE ASSOCIATION is a duly 

constituted "Indian Tribe" organized pursuant to the 

authority of the acts of Congress of June 18, 1934 (48 

Stat.984) and Hay 1, 1936 (49 Stat. 1250), and is recognized 

by the U.S.Government as being eligible for the programs and 

services provided by the Bureau of Indian Affairs to Indians 

because of their status as Indians; and 

WHEREAS: The KLAWOCK COOPERfiTIVE ASSOCIATION adopted 

Resolution No. 93-01 !approving the Gaming Ordinance of the 

Klawock Cooperative Association, and 

WHEREAS: The KLAWOCK COOPERATIVE ASSOCIATION has been 

informed by Bertram E. Hirsh, the attorney representing the 

Klawock Cooperative Association that, in order to secure 

approval of said Gaming Ordinance by the National Indian 

Gaming Commission, section 1.03 (6) of said Ordinance 

defining the term "gambing device" must be amended in order 

to conform to the definition of such term contained in the 

Johnson Act, I5 U.S.C. St171. 

THEREFORE BE IT RESOLVED, that section 1.03(61 of the 

Klawock Cooperative 6ssociatian 6aming Ordinance be and it 

i s hereby amended as f 01 lows: 

(6) The term "gambling device" means - 

(A) any so-cal 1 ed "51 ot machine, " "progressive 

slot machine," "video game of chance" or any other machine 

or mechanical device an essential part of which is drum or 

reel with insignia thereon, and ti) which when operated may 

deliver, as the result 0-6 the application o-F an element of 

chance, any money or property, or (ii) by the operation of 

which a person may become entitled to receive, as the result 

of the application of an element of chance, .any money or 

property3 or 
(B) any other machine or mechanical device 

(including, but not 1 imi ted to, roulette wheels and simi 1 ar 

devices) designed and manufactured pri rnari 1 y for use i n 

connection with gambling, and (i) which when operated may 

deliver, as the result of the application of an element of 

chance, any money or property, or (ii by the operation of 

which a person may become entitled to receive, as the result 

of the application of an element of chance, any money or 

property; or 

(C) any subassembly or essential part intended to 

be used in connection with any such machine'. or mechanical 

device, but which is not attached to any such machine or 

mechanical device as a ccntituent part. 

. CERTIFICATION 

I, Roseann Demmert, the undersigned, as President of the 

KLAWOCK COOPERATIVE ASSOCIATION, hereby certify that this 

Resolution was adopted by a vote of &yes: 8, Nays: -0-, 

Abstain: -0--, during a legally called session of the Tribal 

Council on this 5th day of November, 1993. 

ATTEST: . 

Phi 1 i p Demmert 

PRESIDENT Council Secretary 
REGOLUTIDN NO. 93-33 

TITLE1 AMENDMENT TQ "INDIAN GRMINP URPINANCE 93-Qi" 

ADOPTED PREVIOUSLY BY THE TRIBAL COUNCIL 

A Resalutinn 04 the KLAWCICK COOFERRTIVE ASSUCIATIDN Tribal 

Caunril representing 518 members, 

WHEREFlSt The KLFIWOCK COOPERATI VEi ASSPCIAT ION is a dul y 

cansti tuksd "Indian Tribe" organized pursuant to the 

authority of the acts 0.F Congress a+ June 18, 1934 (4€t 

Stat.984) and May I, 1936 (49 Stat. IZSO), and is recognized 

by the U.S.Gavernment as being eligible +or the programs and 

services provided by the Bureau oi Indian Af f sirs to Xndiana 

because of their status as Indians! and 

WHEREAS: -rhe KLAWOCK CdQPER6TXVE ASSDCIATIDN adopted 

Rns~lution No. 9s-01 approving the Garring Ordinanre a+ the 

Kiawatk Cooperative Assaciatinn; and 

WHEREPiS: The KLAWOCK CODPEKATXVE &SSDCTATION has bean 

infarmed by Bertram E Hirsch, the Attorney representing 

the Klawock Cooperative A~aaciata~n, that, in ardar to 

secure approval a+ said Gaming Ordinance by the National 

Indi an Gaming Ccmmi ssicrn, fierti OR 1.05 18) of said Ordinance 

defining the term "Itadisn Land" must be amended in order to 

conform to tha de#initiam of su~h term contained in 25 

C.F.R. S 302.12. 

THEREFORE BE iT RESOLVED, that sattion 1.03ES) of the 

El awack Camperat* ve A%ilaci #ti an Gaming Ordinance be and i k 

hereby is amended ss +a3 laws8 

(81 The term "Indian Land1' means - 

(4 all lands of the Klawack Cooperative 

Qssoriatan as may have Indian reservatlan atgtur under 

+edaral Xaw; 

(8) all lands title ta which is held in trust by 

the? Urblted States far the benefit of the Klawock Cctapar-atf ve 

flseociatiorr or any member of the Tribe and avmr whith the 

Kl awor k Cooperative Association extrwci sea govsrnmsnta1 

power, provided that the trust title existed on or befnre 

October 17, 19883 
NUV-15-YS SHT 08:27 

1C) all lands held by the Klawack Couperatiwe 

flsraciakion or my member of the Tribe subject ta & 

restriction by the U~iited States against alienation and aver 

which this- K1 awock LZaop~rative Associ aCian exercises 

gevernfnental power. 

I, Roaeanrl Psmm~rt, thm undersigned, 9s Fre~ident o.F the 

KLfiNQCK CRUPERATIVE &SSUCTATION, hereby certi+y Chat this 

Resnlutiar~ was adapted by a vote o+ Ayes: 6, Nays&-0- 9 

&batein:-0-, during n legally calied session an Chis 12th 

day November, 1993. 

ATTEST: 

PRESIOENT TREASURER 
Section 

Section 

Section 

Section 

Section 

Section 

Section 

Section 

Section 

Section 

Section 2.01 

Section 2.02 

Section 2.03 

Section 2.04 

Section 2.05 

Section 2.06 

Section 2.07 

Section 2.08 

Section 2.09 

Section 2.10 

I GAMING ORDINANCE OF THE APF#@!E@ 

KLAWOCK COOPERATIVE ASSOCIATION 

(ADOPTED JUNE , 1993) 

CHAPTER 1 

GENERAL PROVISIONS 

Title. 

Purpose. 

Definitions. 

Gaming activity ownership. 

Allocation of gaming net revenues. 

Gaming facility construction and maintenance; 

National Environmental Policy Act compliance. 

Withholding tax on winnings. 

Civil jurisdiction; dispute resolution. 

Federal law and Tribe-State compact compliance. 

Agent for service. 

CHAPTER 2 

GAMING COMMISSION 

Gaming Commission; establishment; background 

investigation; waiver of background investigation; 

ineligibility. 

Restrictions on Commissioners and Commission 

employees; conflict of interest; removal from 

of fice. 

Gaming Commission; powers. 

Commission approval of non-management contracts. 

Minimum standards for inspection and approval 

of gambling devices and other gaming equipment. 

Monthly commission reports. 

Employee, agent, contractor employment records. 

Commission records. 

Public availability of Commission rules and 

regulations. 

Methods of service. 

CHAPTER 3 

LICENSING AND EMPLOYMENT 

ection 3.01 Licensing employees, agents, contractors - 

management, security and accounting personnel - 

gambling equipment distributors; employment 

without a license. 

Section 3.02 License eligibility requirements. 

Section 3.03 License ineligibility; suspension; revocation; 

employment ineligibility. 
Section 3.04 

Section 3.05 

Section 3.06 

Section 3.07 

Section 3.08 

Section 3.09 

Section 3.10 

Section 3.11 

Section 3.12 

Section 3.13 

Section 3.14 

Section 3.15 

Section 3.16 

License application requirements; Privacy Act 

and false statements notices to key employees 

and primary management officials. 

License application fees. 

Commission background investigation; federal 

notification of results; waiver of background 

investigation. 

Classes of licenses. 

Machine licenses. 

Licensing of gaming activity. 

Licensing of distributors and manufacturers; 

management contractor ineligible: suspension; 

revocation. 

License contents. 

Legal effect of licensure. 

Licensee consent to search. 

License non-transferable. 

License as revocable privilege. 

Notification of license issuance. 

CHAPTER 4 

MANAGEMENT CONTRACTS 

Section 4.01 Management contract contents; approval. 

Section 4.02 ~anagement contract disapproval; termination. 

Section 4.03 Management contractor records. 

Section 4.04 Management contractor bond. 

CHAPTER 5 

AUDITING AND ACCOUNTING 

Section 5.01 Audits of gaming operation; accounting requirements. 

Section 5.02 Accounting records. 

Section 5.03 Gaming operation reports. 

Section 5.04 Retention of audit and accounting records and gaming 

operation reports. 

Section 5.05 Retention of enforcement action records. 

CHAPTER 6 

INTERNAL CONTROLS 

Section 6.01 Internal control systems. 

Section 6.02 Computer recording requirements and monitoring 

ofslot machines or video games of chance. 

Section 6.03 Security and surveillance procedures. 

Section 6.04 ~arnblin~ equipment and games acquisition; 

distributor's notice. 

Section 6.05 Games and game rules; approval and posting. 

Section 6.06 Name tags. 
CHAPTER 7 

PROHIBITED AND UNLAWFUL ACTIVITIES 

Section 7.01 Prohibited activities. 

Section 7.02 Wagering by minors prohibited. 

Section 7.03 Gambling on credit unlawful; licensee loans 

unlawful . Section 7.04 Possession of firearms and dangerous weapons 

prohibited. 

Section 7.05 Alcohol prohibited; exception. 

Section 7.06 Penalties and fines. 

Section 7.07 Forfeiture of property. 
GENERAL PROVISIONS 

Section 1.01 Title. 

This Ordinance shall be known as the Klawock Cooperative 

Association Gaming Ordinance. 

Section 1.02 Purpose. 

The purpose of this Ordinance is to regulate the conduct of class 

I1 and clase I11 gaming activities conducted on Indian lands of the 

Klawock Cooperative Association to generate revenue for the 

operation of tribal government programs and services, promote 

tribal self-sufficiency and economic development, shield the 

operation of gaming from organized crime and other corrupting 

influences, and assure that gaming is conducted fairly and honestly 

by both the operator and players. This Ordinance shall supersede 

any prior gaming Ordinance. 

Section 1.03 Definitions. 

For purposes of this Ordinance - 

(1) The term "class I gaming" means - (RESERVED). 

(2) The term "class I1 gaming" means - 

(A) the game of chance commonly known as bingo (whether 

or not electronic, computer, or other technologic aids are used in 

connection therewith) - 

(i) which is played for prizes, including monetary 

prizes, with cards bearing numbers or other 

designations, 

(ii) in which the holder of the card covers such 

numbers or designations when objects, similarly numbered 

or designated, are drawn or electronically determined, 

and 

(iii) in which the game is won by the first person 

covering a previously designated arrangement of numbers 

or designations on such cards, 

including (if played in the same location) pull-tabs, 

lotto, punch boards, tip jars, instant bingo, and other 

games similar to bingo, and 

(B) card games that are - 
(i) explicitly authorized by the laws of the State 

of Iowa, or 

(ii) are not explicitly prohibited by the laws of 

the State of Alaska and are played at any location in 

the State of Alaska, 

but only if such card games are played in conformity with 

those laws and regulations (if any) of such State 

regarding hours or periods of operation of such card games 

or limitations on wagers or pot sizes in such card games. 

(C) The term "class I1 gaming" does not include - 

(i) any banking card games, including baccarat, 

chemin de fer, or blackjack (21), or 

(ii) electronic or electromechanical facsimiles of 

any game of chance or slot machines of any kind. 

(3) The term "class I11 gamingt1 means all forms of gaming that 

are not class I1 gaming and includes but is not limited to, 

gambling devices, dice games, wheel games, card games, pari-mutuel 

wagering on horses and dogs, lotteries, sports betting pools and 

sports betting including parlay cards. 

(4) The term "commission" means the Klawock Cooperative 

Association Gaming Commission. 

(5) The term "distributor" means a person or entity that 

sells, leases, markets or otherwise distributes gambling games or 

implements of gambling which are usable in the lawful conduct of 

gambling games pudsuant to this Ordinance, to a licensee authorized 

to conduct gambling games pursuant to this Ordinance. 

(6) The term "gambling device1' means video games of chance, 

progressive slot machines and slot machines. 

(7) The term "gross receipts" means the total sums wagered 

and, when applicable, shall include the total sums received from 

non-gambling sale8 made on the premises of or in connection with 

the Tribe's gaming operation; 

(8) The termNIndian land" means - 

(A) all lands of the Klawock Cooperative Association as 

may have Indian reservation status under federal law; 

(B) all lands title to which is held in trust by the 

United States for the benefit of the Klawock Cooperative 

Association or any member of the Tribe, provided that the trust 

title existed on or before October 17, 1988; 

(C) all Lands held by the Klawock Cooperative Association 

or any member of the Tribe subject to a restriction by the United 
States against alienation and over which the Klawock Cooperative 

Association exercises governmental power; and 

(D) all lands which may be acquired by the Klawock 

Cooperative Association in the future which meet the requirements, 

if applicable, of 25 U.S.C. 52719. 

(9) The term "key employeet1 means: 

(a) A person who performs one or more of the following 

functions: 

(1) Bingo caller; 

(2) counting room supervisor; 

(3) Chief of security; 

(4) Custodian of gaming supplies or cash; 

(5) Floor manager; 

(6) Pit boss; 

(7) Dealer; 

(8) Croupier; 

(9) Approver of credit; or 

(10) Custodian of gambling devices including persons 

with access to cash and accounting records within such devices; 

(b) If not otherwise included, any other person whose 

total cash compensation is in excess of $50,000 per year; or, 

(c) If not otherwise included, the four most highly 

compensated persons in the gaming operation. 

(d) If not otherwise included, a person who has access 

to cash, tokens or chips, machine components or other gaming 

supplies or who has management, security or accounting 

responsibilities. 

(10) The term "lottery" means a game for which chances are 

sold, the winning chance or chances being secretly predetermined 

or later selected in a chance drawing and in which the holders of 

winning chances receive money or something of value. The term 

"chance drawing" includes the identification of winning numbers or 

symbols by a mechanical, electronic or electromechanical device 

which makes the selection in a random manner. The term "lottery" 

includes keno, if conducted as a class I11 game, and the types of 

games actually being conducted by the Iowa Lottery unless the game 

is by definition a video game of chance or slot machine. 

(11) The term "management contractn means any contract, 

subcontract, or collateral agreement between the Tribe and a 

contractor or between a contractor and a subcontractor if such 

contract or agreement provides for the management of all or part 

of a gaming operation. 

(12) The term tlmanufacturer" means a person or entity that 

designs, assembles, fabricates, produces, constructs, or who 

otherwise prepares a product or a component part of a product of 
any implement of gambling usable in the lawful conduct of gambling 

games pursuant to this Ordinance. 

(13) The term "pari-mutuel" means a betting system in which 

all persons who bet share in an established prize pool of similar 

bets. 

(14) The term "parlay cards" means a form of sports betting 

in which the player must correctly select the winners in a 

specified minimum number of events in order to win. 

(15) The term "person having management responsibility for a 

management contract" means the person designated by the management 

contract as having management responsibility for the gaming 

operation, or a portion thereof. 

(16) The term "primary management official" means: 

(a) The person having management responsibility for a 

management contract; or 

(b) Any person who has authority: 

(1) To hire and fire employees; or 

(2) To set up working policy for the gaming 

operation; or 

(c) The chief financial officer or other person who has 

financial management responsibility; or 

(d) If not otherwise included, a person who has access 

to cash, tokens or chips, machine components or other gaming 

supplies or who has management, security or accounting 

responsibilities. 

(17) The term "progressive slot machine" means a slot machine 

with a payoff which increases as the slot machine is played. 

(18) The term "slot machine" means a mechanical or electronic 

gaming device into which a player deposits coins or tokens and from 

which certain numbers or coins are paid out when a particular, 

random configuration of symbols appears on the reels or screen of 

the device. 

(19) The term "sports betting" means the placing of bets or 

wagers on the outcome of any athletic event, sporting event or 

similar contest including, but not limited to, the playing of 

parlay cards. 

(20) The term "sports betting pool" means a game in which 

numbers are randomly selected by the participants, and winners are 

determined by whether the numbers selected correspond to numbers 

relating to an athletic event in the manner prescribed by the rules 

of the game. 
(21) The term "tribe" means the Klawock Cooperative 

Association. I 

(22) The term "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, pulltabs, or other 

electronic or electromechanical facsimiles of any game of chance 

which are activated by the insertion of a coin, token or currency 

and which award coins, additional plays or a written or displayed 

statement of the amount of a prize which is redeemable for cash. 

Section 1.04 Gaming activity ownership. 

The Tribe shall have the sole proprietary interest in and the sole 

responsibility for the conduct of any gaming activity on Indian 

lands. The Tribe shall have the sole control over any bank accounts 

holding any financial assets related to the Tribe's gaming 

operation. 

Section 1.05 Allocation of gaming net revenues. 

The net revenues from any gaming operation conducted by the Tribe 

pursuant to this brdinance shall be allocated only to - 

(1) fund tribal government operations or programs; 

(2) provide for the general welfare of the Tribe and 

its members; 

(3) promote tribal economic development; 

(4) donate to charitable organizations; or 

(5) help fund operations of local government agencies. 

Section 1.06 Gaming facility construction and maintenance; 

National Environmental Policy Act compliance. 

(a) The construction and maintenance of any gaming facility, 

as well as the operation of any gaming, by the Tribe shall be 

conducted in a manner which adequately protects the environment and 

the public health and safety. 

(b) whenever a management contract provides for the 

development and 'construction of gaming facilities, or parts 

thereof, any class I1 or class I11 gaming operation of the Tribe 

and any managementl contractor shall provide such readily available 

or obtainable environmental information as may be necessary to 

enable the National Indian Gaming Commission, or such other party 

as may be authorized by such Commission to prepare an environmental 

assessment or environmental impact statement, as the case may be. 
Section 1.07 Withholding tax on winnings. 

All winnings received or prizes awarded by a licensed class I1 or 

class I11 gaming operation are Klawock Cooperative Association 

earned income and are subject to Tribe and federal income tax laws. 

An amount deducted from winnings, or from a cash prize awarded to 

an individual, for payment of a tribal tax shall be remitted to the 

Tribe on behalf of the individual who won the wager or prize. 

Section 1.08 Civil jurisdiction; dispute resolution. 

(a) The Tribe shall exercise civil jurisdiction concurrent 

with the State of Alaska over all civil matters involving players 

of authorized class I1 or class I11 gaming, licensees and other 

persons and. entities and that involve the transaction of any 

business on or within Indian land or on or within any other 

property related to class I11 gaming on Indian land or that involve 

a contract, wherever entered into, to supply goods or services on 

or within such property or that involve the commission of tortious 

acts on or within such property. The Tribe shall also exercise such 

concurrent civil jurisdiction over any person who commits a 

tortious act outside of Indian land provided that such person 

regularly does or solicits business, or engages in any other 

persistent course, of conduct, or derives substantial revenue from 

goods used or consumed or services rendered on Indian land, or 

expects or should reasonably expect the act to have consequences 

on Indian land and derives substantial revenue from interstate or 

international commerce or from commerce with the Tribe. 

(b) The Commission may require any person or entity licensed 

pursuant to this Ordinance or any other person or entity employed 

by or doing business with the Tribe's gaming operation as a patron 

or otherwise to contractually or otherwise agree, as a condition 

of employment or of doing business with the Tribe's gaming 

operation, that the Tribe shall have exclusive jurisdiction to 

determine a2y civil matter within the civil jurisdiction of the 

Tribe conferred by paragraph (a) of this section. 

(c) Unless the Tribe has established an adjudicatory mechanism 

for the determination of civil matters in a manner that complies 

with the due process of law provisions of the Indian Civil Rights 

Act, 25 U.S.C. 51302(8), the Tribe shall not exercise the 

concurrent civil jurisdiction authorized under paragraph (a) of 

this section and the Commission shall not require any person or 

entity to agree that the Tribe shall have exclusive civil 

jurisdiction pursuant to paragraph (b) of this section. 

(d) Any dispute between any member of the gaming public and 

the gaming operation or any management contractor that is not 

presented for resolution to an adjudicatory forum or to the 

Commission acting within the regulatory jurisdiction conferred upon 

it under this Ordinance, shall be resolved by the Tribal Council 
or by an impartial mediator or arbitrator designated by the Tribal 

Council. I 

Section 1.09 Federal law and Tribe-State compact compliance. 

Any provision of this Ordinance or of any rule or regulation issued 

pursuant thereto' notwithstanding, the requirements of any 

applicable federal law or regulation or of any class I11 gaming 

compact between the Tribe and the State of Alaska shall govern 

whenever there is an inconsistency between this Ordinance and any 

rule or regulation issued thereunder and such federal law or 

regulation, or compact. 

Section 1.10 Agent for service. 

Unless otherwise designated by resolution of the Tribal Council, 

the Chairman of the Tribe shall be the agent of the Tribe for 

service of any ,official determination, order, or notice of 

violation by the National Indian Gaming Commission. 

CHAPTER 2 

GAMING COMMISSION 

Section 2.01 Gaming Commission; establishment; background 

investigation; waiver of background investigation; 

ineligibility. 

(a) There is hereby created the Klawock Cooperative 

Association Gaming Commission. The Commission shall consist of 

three members of the Tribe, all of whom shall be appointed by the 

Tribal Council for such term as the Council may determine. The 

Tribal Council shall designate one of the three commissioners to 

be the chairperson of the Commission. 

(b) Appointments to the Commission shall be temporary pending 

the completion of a background investigation and verification that 

the appointee is eligible to serve on the Commission. Each person 

appointed by the Tribal Council to serve on the Commission shall 

file a sworn statement with the Tribal Council, within twenty (20) 

days following appointment, containing the information described 

in section 3.04(a). A current photograph and two (2) sets of 

fingerprints on forms commonly used by the Federal Bureau of 

Investigation shall be submitted with the sworn statement. The 

sworn statement shall include a waiver of any right of 

confidentiality and shall allow access to law enforcement records 

of the United States, any state and any tribe, extend to any 

financial or personnel record wherever maintained, and authorize 

the Commission to obtain information from other state and tribal 

gaming jurisdictions regarding license or permit applications or 

disciplinary actions, or conduct of the appointee in those 

jurisdictions. An appointee who knowingly makes a false, misleading 
or erroneous statement in the sworn statement or in any other 

information provi,ded to the Tribal Council is guilty of a serious 

misdemeanor. 

(c) Upon receipt of the sworn statement, photograph, and 

fingerprints, the Council shall cause a thorough background 

investigation to be conducted to verify the truthfulness of the 

information provided and to ensure that the appointee is eligible 

for appointment. Background investigations may be conducted by the 

Federal Bureau of Investigation, by a criminal investigation agency 

of the State of Alaska or by another agency qualified to perform 

such an investigation. In conducting a background investigation, 

the identity of each person interviewed in the course of the 

investigation shall be kept confidential. 

(d) The Tribal Council may waive the background investigation 

for persons appointed to the Commission whenever the Federal Bureau 

of Investigation, a criminal investigation agency of the State of 

Alaska or another agency qualified to perform such an investigation 

has completed a background investigation on the appointee, within 

the one year preceding the appointment, for and on behalf of - 

(1) a gaming regulatory body of the State of Alaska, or 

(2) a gaming regulatory body of the states of Iowa, 

Nevada, South Dakota or New Jersey, 

and the results of such background investigationhave been provided 

to the Tribal Council in sufficient detail to assure that the 

appointee is eligible to serve on the Commission. Whenever a full 

background investigation is waived under this paragraph, the Tribal 

Council may require that a background investigation be conducted 

to update and make current the background investigation report 

received from another gaming jurisdiction. 

(el A person shall be ineligible to serve as a Commissioner 

or as an employee of the Commission if such person has violated any 

rule or regulation of the Commission or has pled guilty to or has 

been convicted of any of the offenses listed below, if the Tribal 

Council determines that the circumstances of the violation of such 

rule or regulation or of the offense giving rise to the conviction 

make the person's service as a Commissioner or as an employee of 

the Commission a hazard to the regulation and conduct of gaming or 

may reasonably undermine the public confidence in the integrity of 

the gaming conducted by the Tribe. 

(1) Offenses related to bookkeeping; or 

(2) Offenses related to gambling; or 

(3) Offenses related to cheating, theft, or to any fraud or 

deception while participating in gaming activities or otherwise; 
(4) offenses related to the use of an alias; or 

(5) Offensesthat are felonies and are drug-related; or 

(6) Offenses that are a serious or aggravated misdemeanor, 

including violations of this Ordinance. 

If a conviction occurred within the last five (5) years, the person 

shall be ineligible to serve as a Commissioner or to be employed 

by the CommLssion. In the event that the Tribal Council determines 

that sufficient evidence of rehabilitation exists, the Tribal 

Council may appoint a person to the Commission or authorize the 

Commission to employ a person who has been convicted within the 

last five (5) years of one of the offenses described herein. 

If charges are pending against a Commissioner or an employee of the 

Commission which, if resulting in a conviction, would disqualify 

the Commissioner or employee from serving on or employment with the 

Commission, the Commissioner or employee shall be suspended pending 

the disposition of the charges. 

(f) The Tribal Council shall not appoint to the Commission 

and the Commission shall not employ any person determined to be a 

person whose prior activities, criminal record, if any, or 

reputation, habits and associations pose a threat to the public 

interest or to the effective regulation of gaming, or create or 

enhance the dangers of unsuitable, unfair, or illegal practices, 

methods and activities in the conduct of gaming. If the Tribal 

Council makes such a determination with respect to a person 

temporarily appointed to the Commission, the appointment shall be 

immediately terminated and such person shall not be entitled to the 

hearing provided for in section 2.02(f). 

(g) The Tribal Council shall not appoint to the Commission 

and the Commission shall not employ any person who has knowingly 

made a false statement to the Tribal Council. 

(h) If, after the end of any period of temporary appointment 

to or after employment by the Commission, the Tribal Council 

receives reliable information indicating that a Commissioner or 

employee of the Commission, is not eligible to serve on the 

Commission or to be employed by the Commission, the Tribal Council 

shall suspend such Commissioner or employee and shall notify such 

Commissioner or employee in writing of the suspension and proposed 

termination of appointment or employment. The notice shall include 

a time and place for a hearing, in accordance with section 2.02(f) 

on the proposed termination. 

(i) The Tribal Council, after the end of any period of 

temporary appointment to the Commission, shall revoke any 
appointment to the Commission and the Commission shall terminate 

the appointment of any employee upon the happening of any event 

which would have made the Commissioner or employee ineligible for 

appointment or employment if the event had occurred prior to such 

appointment or employment, or if the Commissioner or employee of 

the Commission violates or permits a violation of a provision of 

this Ordinance or of a rule or regulation adopted by the 

Commission. Whenever termination of the appointment of a 

Commissioner or of the employment of an employee of the Commission 

is based on ineligibility for such appointment or employment, the 

Commissioner or employee, as the case may be, shall not be entitled 

to the hearing provided for in section 2.02(f). 

Section 2.02 Restrictions on Commissioners and Commission 

employees; conflict of interest; removal from 

office. 

(a) No member of the gaming Commission or any employee of the 

Commission or a member of their immediate family may be a license 

holder under this Ordinance, except that such immediate family 

members shall be eligible to apply for an employee license under 

section 3.07 of this Ordinance. 

(b) No member of the Commission or any employee of the 

Commission or a member of their immediate family, directly or 

indirectly, individually, or as a member of a partnership or other 

association, or as a shareholder, director, or officer of a 

corporation shall have an interest in a business which contracts 

for the operation and management of the Tribe's gaming operation, 

or any marketing or supplying of equipment and materiala in 

connection therewith. 

(c) A member of the Commission or any employee of the 

Commission or a member of their immediate family shall not ask for, 

offer to accept, or receive a gift, gratuity, or other thing of 

value from a person or entity licensed under this Ordinance or from 

a person or entity contracting or seeking to contract with the 

Tribe's gaming operation for the operation and management of such 

operation or to s~pply gaming equipment or materials. 

(d) A person or entity licensed under this Ordinance or a 

person or entity contracting or seeking to contract with the 

Tribe's gaming operation for the operation and management of such 

operation or to supply gaming equipment or materials shall not 

offer a member of the Commission or any employee of the Commission 

or a member of their immediate family a gift, gratuity, or other 

thing of value. 

(e) As used in this section, "member of their immediate 

familyu means a spouse, child, stepchild, brother, brother-in-law, 

stepbrother, sister, sister-in-law, stepsister, parent, parent-inlaw, or stepparent of the Commissioner or employee. 
(f) Whenever there is reasonable cause to believe that a 

Commissioner or employee of the Commission has violated any 

provision of this Ordinance or any rule or regulation promulgated 

pursuant thereto, the Tribal Council shall immediately suspend such 

Commissioner or employee. Within five (5) days following any 

suspension, the Tribal Council shall notify the Commissioner or 

employee of the alleged violation and of a hearing before the 

Tribal Council or its designee. Unless a suspended Commissioner or 

employee resigns or is cleared of any wrongdoing before a hearing 

is held, the Tribal Council or its designee shall conduct a hearing 

on the alleged violation no later than thirty (30) days following 

the date of suspension, provided that the Chairman of the Tribe may 

extend this time for not more than an additional thirty (30) days 

if an investigation of the alleged violation has not been 

completed. 

(1) At any hearing, a suspended Commissioner or employee 

shall have an opportunity to be heard, including an opportunity to 

present oral and d,ocumentary evidence, cross-examine witnesses and 

present oral arguments within limits established by the Tribal 

Council. 

(2) When holding a hearing under this subsection, the 

Tribal Council or the Tribal Council's designee may administer 

oaths and affirmations, issue subpoenas to compel the attendance 

of witnesses or procure the production of documents, and take such 

other action as may be necessary to conduct the hearing in a manner 

most likely to result in a fair disposition. 

(3) Whenever a preponderance of the evidence introduced 

at a hearing supports the conclusion that a Commissioner or an 

employee of the Commission has violated any provision of this 

Ordinance or any rule or regulation promulgated pursuant thereto, 

such Commissioner or employee shall be permanently removed the 

office of Commissioner or the position of employee, as the case may 

be, and shall be permanently ineligible from appointment as a 

Commissioner and from employment by the Commission. 

(g) A violation of paragraphs (a), (b), (c) and (d) of this 

section is a serious misdemeanor. 

Section 2.03 Gaming Commission; powers. 

The Commission shall supervise all gambling operations governed by 

this Ordinance. The commissionmay adopt such rules and regulations 

as it may deem necessary to carry out the provisions of this 

Ordinance and shall have the following powers: 

(1) To identify occupations within the Tribe's gaming 

operation which require licensing and adopt standards for licensing 

the occupations including establishing fees and durational terms 
for the occupational licenses; 

(2) To investigate applicants and determine the eligibility 

of applicants for a license; 

(3) To license any person, employee, agent or contractor 

working in or for the Tribe's gaming operation who requires a 

license, to license any person, organization or entity selling, 

leasing or ctherwise distributing gambling equipment to the Tribe's 

gaming operation, including establishing fees and durational terms 

for such licenses; 

(4) To investigate and approve any contractors of the Tribe's 

gaming operation, or any ancillary contractors of any management 

contractor, who prpvide supplies, services, concessions or property 

to the Tribe's gaming operation or to any management contractor in 

connection therewith; 

(5) To limit, condition, suspend, restrict or revoke any 

license it may issue, and assess fines; 

(6) To adopt standards, including game rules, under which all 

gambling operations shall be held, including regulation of the 

prize and wagering structure in accordance with the applicable 

provisions, if any, of any class I11 gaming compact between the 

Tribe and the State of Alaska entered into pursuant to federal law; 

(7) To inspect and examine all premises wherein gaming is 

conducted or gambling devices or equipment are manufactured, sold, 

or distributed; 

(8) To inspect all equipment and supplies in, upon or about 

a gaming operation, or inspect any equipment or supplies, wherever 

located, which map or have been used in the gaming operation; 

(9) To summarily seize and remove from a gaming establishment 

and impound equipment, supplies, and other property for the purpose 

of examination, inspection, evidence or forfeiture; 

(10) To enter the office, facilities, or other places of 

business of a licensee to determine compliance with this Ordinance; 

(11) To access upon demand and inspect, examine, copy and 

audit all papers, books and records of applicants and licensees 

respecting any revenue or income produced by any gaming business; 

(12) To require verification of the daily gross revenues and 

income of any licensed gaming activity, and verification of all 

other matters affecting the enforcement of the policy of or any of 

the provisions of this Ordinance; 

(13) To seize and impound any patron's winnings which the 
Commission may have reason to believe may have been won or obtained 

in violation of this Ordinance or any other law pending a civil 

forfeiture hearing on such seizure and/or a criminal proceeding in 

connection therewith; 

(14) To investigate alleged violations of this Ordinance, the 

Commission rules, regulations, orders or final decisions, any class 

I11 gaming compact entered into between the Tribe and the State of 

Alaska, and any other applicable laws, and to take appropriate 

disciplinary action, including the imposition of civil fines, 

against a licensee or any employee of a licensee for the violation, 

or institute appropriate legal action for enforcement, or both; 

(15) To require the suspension, revocation or other 

appropriate dispdsition of the license of a licensee for a 

violation by the licensee or an employee of the licensee of this 

Ordinance or a Commission rule or regulation or for engaging in a 

fraudulent practice; 

(16) For the purpose of enforcing the provisions of this 

Ordinance, to exercise the powers of a peace officer of the Tribe; 

(17) To issue subpoenas for the attendance of witnesses and 

subpoenas duces tecum for the production of books, records and 

other pertinent documents, and administer oaths and affirmations 

to the witnesses, when, in the judgment of the Commission, it is 

necessary to enforce this Ordinance or the rules and regulations 

of the Commission; 

(18) To determine the payouts from the gambling games 

authorized under this Ordinance and to set the payout rate for all 

slot machines, such payout rate to be in accordance with any 

applicable requirements of the compact between the Tribe and the 

State of Alaska governing class I11 gaming on Indian lands of the 

Tribe; 

(19) To provide for the continuous videotaping of all gambling 

activities conducted at the Tribe's gaming operation under 

guidelines set by' rule of the Commission; 

(20) To provide for adequate security at the Tribe's gaming 

operation; 

(21) To adopt such rules and regulations as may be necessary 

to carry out the provisions of this Ordinahqe and the 

responsibilities of the Tribe under any applicable federal law and 

any class I11 gaming compact entered into between the Tribe and the 

State of Alaska; and 

(22) To take any other action as may be reasonable and 

appropriate to enforce this Ordinance and the rules and regulations 

of the Conmission. 
Section 2.04 Commission approval of non-management contracts. 

All contracts entered into by the Tribe's gaming operation or by 

any management codtractor on behalf thereof must be approved by the 

Commission if the contract: 

(1) Exceeds the value of $5,000.00 in any 12-month period. 

(2) Is a contract in which any employee, agent or contractor, 

including any management contractor employed by the Tribe or by 

the Tribe's gaming operation, or any officer or director of any 

such management contractor or of any parent company thereof has 

either a direct or indirect economic or beneficial interest. 

Section 2.05 Minimum standards for inspection and approval of 

gambling devices and other gaming equipment. 

(a) Prior to the installation and use of a gambling device and 

other gaming equipment, the Commission shall inspect, test and 

consider the gambling device or other gaming equipment for 

approval. The Commission shall not approve a gambiing device or 

other gaming equipment unless the tests or inspection conducted 

indicate that such gambling device or other gaming equipment meets 

the minimum standards established by the Commission consistent with 

any applicable provisions of a class I11 gaming compact entered 

into between the Tribe and the State of Alaska. 

(b) The Commission may waive the inspection and testing 

requirements of this section for any gambling device whenever an 

identical gambling device is currently approved for use by - 

(1) a gaming regulatory body of the State of Alaska, or 

(2) by a gaming regulatory body of the states of Iowa, 

Nevada, South ~akota or New Jersey, and the test results from such 

jurisdictions show that the gambling device meets the standards 

established pursuant to subsection (a). The test results indicating 

that the device complies with the applicable standards must be 

submitted to the Commission and the manufacturer of the gambling 

device must certify to the Commission and, if required by a class 

I11 gaming compact entered into between the Tribe and the State of 

Alaska, to the State of Alaska that each gambling device to be 

shipped complies in all respects with such standards. 

(c) The Commission may require a prototype or sample of any 

model of gambling device or other gaming equipment used in the 

Tribe's gaming operation to be placed and retained in its custody 

as a control for comparison purposes. 

(d) Any evidence that gambling devices or other gaming 

equipment used in the Tribe's gaming operation has been tampered 
with or altered in any way that would affect the integrity, 

fairness, honesty or suitability of the device or equipment shall 

be reported to the Commission. 

Section 2.06 Monthly commission reports. 

The Commission shall make a monthly report to the Tribal Council. 

The report shall include a full and complete statement of gaming 

revenues paid to the Tribe and to any management contractor, 

expenses and all other financial transactions of the Commission, 

a summary of all licensing and enforcement actions, such other 

information as to which the Commission may wish to advise the 

Council, and information on any other matters requested by the 

Council. 

Section 2.07 Employee, agent, contractor employment records. 

The Commission shall retain applications for licensure or other 

employment in connection with the Tribe's gaming operation, reports 

of background investigations, if any, and other employee, agent or 

contractor records for a period no less than three (3) years from 

the date of termination of such employment as an employee, agent 

or contractor. 

Section 2.08 Commission records. 

(a) Gaming information and records enumerated in this section 

are confidential and may not be disclosed except pursuant to court 

order. No person may use a subpoena, discovery or other applicable 

statutes to obtain such information or records. Information and 

records considered confidential include: 

(1) Tax returns of individual licensees; 

(2) Applications, credit, medical and security reports 

of applicants for licenses and of other persons seeking or doing 

business with the Commission; 

(3) Marketing, financial or sales data, the disclosure 

of which may be harmful to the competitive position of the Tribe's 

gaming operation, its licensees or persons seeking or doing 

business with the Commission; and 

(4) ~udi't work papers, worksheets and auditing procedures 

used by the Commission, its agents or employees. 

(b) Nothing in this section shall be construed to prohibit the 

Commission from disclosing information and records in accordance 

with the provisions of any class I11 gaming compact entered into 

between the Tribeand the State of Alaska, or with any applicable 

federal law or regulation. 
Section 2.09 Public availability of Commission rules and 

regulations. 

All rules and regulations, including game rules, issued or approved 

by the Commission shall be available to any person making a request 

for such. 

Section 2.10 Methods of service. 

(a) The Commission shall serve any official determination, 

order, or notice of violation on licensees, including employees, 

agents and contractors doing business at or with the Tribe's gaming 

operation, and others within the jurisdiction of the Commission, 

by: 

(1) Delivering a copy to a designated agent; 

(2) Delivering a copy to the person or entity that is the 

subject of the official determination, order, or notice of 

violation; 

(3) Delivering a copy to the individual who, after 

reasonable inquiry, appears to be in charge of the gaming operation 

or such other entity that is the subject of the official 

determination, order, or notice of violation; 

(4) Mailing to the person or entity that is the subject 

of the official determination, order, or notice of violation or to 

his or her or its designated agent at the last known address. 

Service by mail is complete upon mailing; or 

(5) Transmitting a facsimile to the person or entity that 

is the subject ofthe official determination, order, or notice of 

violation or to his or her or its designated agent at the last 

known facsimile number. Service by facsimile is complete upon 

transmission. 

(b) Delivery of a copy means: Handing it to the attorney or 

designated agent (or attorney for either); leaving a copy at the 

person's, entity's, agent's or attorney's office with a clerk or 

other person in charge thereof; if there is no one in charge, 

leaving it in a conspicuous place therein; if the office is closed 

or the person to be served has no office, leaving it at the 

person's dwelling house or usual place of abode with some person 

of suitable age and discretion then residing therein; or, if the 

entity cannot othe,rwise be served, handing it to or leaving a copy 

with a principal, 'officer, board member, or majority stockholder. 

(c) Service shall not be deemed incomplete because of refusal 

to accept. 
CHAPTER 3 

LICENSING AND EMPLOYMENT 

Section 3.01 Licensing employees, agents, contractors - 

management, security and accounting personnel - 

gahbling equipment distributors; employment without 

a license. 

(a) Any employee, agent or contractor working in or for the 

Tribe's gaming operation who has access to cash, tokens or chips, 

machine components or other gaming supplies or who has management, 

security or accounting responsibilities, or any person, 

organization or entity selling, leasing, marketing or otherwise 

distributing gambling equipment, games or implements of gambling 

to the Tribe's gaming operation shall be required to have and 

display prominentl'y, or display upon request, an appropriate, valid 

and current tribal license to do business at or with the Tribe's 

gaming operation. 

For the purposes of this section, each person or entity having a 

direct financial interest in or management responsibility for a 

management contract, including 

(1) each member of the board of directors and each 

officer of a management contractor, 

(2) the ten (10) persons who have the greatest direct or 

indirect financial interest in a management contract and/or in an 

entity that is a party to a management contract, 

(3) in the case of a corporation or other entity that is 

a party to or hasa financial interest in a management contract, 

each shareholder who directly or indirectly owns 10 percent or more 

of the issued andoutstanding stock of the corporation, or is one 

of the ten (10) largest holders of such stock, alone or in 

combination with another stockholder who is a spouse, parent, child 

or sibling, 

(4) in the case of a trust that is a party to or has a 

financial interest in a management contract, each beneficiary or 

trustee, 

(5) in the case of a partnership that is a party to or 

has a financial interest in a management contract, each partner, 

(6) in the case of an entity, other than a natural 

person, that has an interest in a trust, partnership or corporation 

that has an interest in a management contract, all parties of that 

entity, and 

(7) any other person, designated by the Commission, with 
a direct or indirect financial interest in a management contract 

shall be considered to have management responsibilities. 

(b) Any person required to be licensed under subsection (a) 

may be employed by the Tribe's gaming operation without such 

licensure for a period not to exceed ninety (90) days, except that 

in the case of any person who is not a key employee or primary 

management official, the Commissionmay approve up to an additional 

thirty (30) days of employment if the completion of the background 

investigation is pending at the expiration of the ninety (90) day 

period, provided that prior to the commencement of employment each 

such person has completed and submitted to the Commission the 

license application required under section 3.04(a). 

(1) Whenever the gaming operation approves the employment 

of a key employee or primary management official under this 

subsection, no later than the first day that such person commences 

employment, the gaming operation shall forward such person's 

completed license application to the National Indian Gaming 

Commission. 

(2) Whenever the gaming operation approves the employment 

of a key employee or primary management official under this 

subsection, no later than the first day that such person commences 

employment, the Commission shall begin to conduct the background 

investigation required by section 3.06 to determine the eligibility 

of such person fok continued employment in the gaming operation. 

Within sixty (60)days after a key employee or primary management 

official commences employment without a license, the Commission 

shall forward to the National Indian Gaming Commission the 

investigative report required by section 3.06(a). 

(c) No gaming license for a key employee or primary management 

official to do business at or with the Tribe's gaming operation 

shall be issued by the Commission until after the National Indian 

Gaming Commission has provided the Tribe with 

(1) a nqtice that it has no objection to the issuance of 

a license to such key employee or primary management official, or 

(2) a statement itemizing objections to the issuance of 

a license to such key employee or primary management official and 

the Commission has reconsidered such person's application taking 

such objections into account. 

Section 3.02 License eligibility requirements. 

In order to be eligible for a license to conduct business at the 

Tribe's gaming operation, applicants must: 

(1) be at least eighteen (18) at the time of their employment 
at the Tribe's gaming operation; 

(2) be of good repute and moral character; 

(3) not have been denied a gaming license by the Tribe, the 

State of Alaska or any other gaming licensing jurisdiction, or 

currently have a gaming license which has been suspended by the 

Tribe, the State of Alaska or any other gaming licensing 

jurisdiction, or have had a gaming license revoked by the Tribe, 

the State of Alaska or any other gaming licensing jurisdiction; 

(4) not be employed in any part-time or full-time employment 

with a government or private employer in any capacity which would 

create a conflict of interest between the applicant's employment 

and the interests' and objectives of the licensed employment; and 

(5) not be ineligible for a license under section 3.03 of this 

Ordinance. 

Section 3.03 License ineligibility; suspension; revocation; 

employment ineligibility. 

(a) The Commission shall not issue a license to any person or 

entity that has refused to sign the waiver of confidentiality 

required under section 3.04(a). 

(b) The Commission may find an applicant ineligible for a 

license and deny, suspend, or revoke the license of any applicant 

who has violated any rule or regulation of the Commission or has 

pled guilty to or has been convicted of any of the offenses listed 

below, if the Commission determines that the circumstances of the 

violation of such 'rule or regulation or of the offense giving rise 

to the conviction make the applicant's presence at the Tribe's 

gaming operation a hazard to the regulation and conduct of gaming 

or may reasonably undermine the public confidence in the integrity 

of the gaming conducted at such operation. 

(2) Offenses related to bookkeeping; or 

(2) Offenses related to gambling; or 

(3) Offenses related to cheating, theft, or to any fraud 

or deception while participating in gaming activities or otherwise; 

or 

(4) Offenses related to the use of an alias; or 

(5) Offenses that are felonies and are drug-related; or 

(6) Offenses that are a serious or aggravated 

misdemeanor, including violations of this Ordinance. 

If a conviction occurred within the last five (5) years, the 
license shall be denied. If conviction occurred within the last ten 

(10) years, a license may be issued if the Commission determines 

that sufficient evidence of rehabilitation exists. 

The Commission shall temporarily deny a license and shall suspend 

an existing license if charges are pending against an applicant 

which, if resulting in a conviction, would disqualify the applicant 

from receiving or holding a license. 

(c) The Commission shall not issue a license to any person or 

entity determined to be a person or entity whose prior activities, 

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

pose a threat to the public interest or to the effective regulation 

of gaming, or create or enhance the dangers of unsuitable, unfair, 

or illegal practices, methods and activities in the conduct of 

gaming. No licensed gaming operation shall employ such a person in 

any capacity. 

(d) The Commission shall not issue a license to any person or 

entity that has knowingly supplied materially false or misleading 

information to the Commission, or who has omitted required material 

information from such person's or entity's license application, and 

may deny a license to any person or entity that has made any false 

statement in the license application. 

(e) The Commission shall fine, revoke, suspend, limit or 

refuse to renew the license of any person or entity upon a 

determination that such person or entity delayed, maneuvered or 

took any action, or attempted to delay, maneuver or take any action 

to unlawfully divert gaming or other proceeds properly belonging 

to the Tribe. 

(f) The Commission shall fine, revoke, suspend, limit or 

refuse to renew the license of any person or entity having 

management responsibilities at the Tribe's gaming operation upon 

a determination that such person or entity failed to notify the 

Commission of any new prospective employee, agent or contractor 

who, upon employment is to have access to cash, tokens or chips, 

machine components or other gaming supplies or who is to have 

management, security or accounting responsibilities. 

(g) The Commission shall fine, revoke, suspend, limit or 

refuse to renew the license of any person or entity having 

management responsibilities at the Tribe's gaming operation upon 

a determination that such person or entity failed to notify the 

Commission of any proposed or actual ancillary contractors who 

provide supplies, services, concessions or property to the Tribe's 

gaming operation or to the management contractor in connection 

therewith, as the case may be, and secure the approval of the 

Commission for the employment of such contractor. 

(h) Except as otherwise provided in section 3.01(b), the 
employment of any person required to have a license in order to 

conduct business at the Tribe's gaming operation as an employee, 

agent or contractor shall automatically terminate if such employee, 

agent or contractor is not licensed 90 days following the 

commencement of employment. 

(i) If, after the issuance of a gaming license, the Commission 

receives reliable information indicating that an employee, agent 

or contractor is not eligible to have a license to conduct business 

at the Tribe's gaming operation, the Commission shall suspend such 

license and shall notify the licensee in writing of the suspension 

and proposed revocation. When the suspension involves a key 

employee or primary management official or any employee, agent or 

contractor who has access to cash, tokens or chips, machine 

components or other gaming supplies or who has management, security 

or accounting responsibilities, the notice shall include a time and 

place for a hearing on the proposed license revocation. After a 

revocation hearing, the Commission shall notify the National Indian 

Gaming Commission of its decision to revoke or to reinstate the 

license. The Commission may act to revoke or reinstate the license 

of any other licensee under such procedures as it may determine 

appropriate. 

(j) The omh hiss ion shall revoke and refuse to renew an 

existing license ypon the happening of any event which would have 

made the licensee ineligible for a license if the event had 

occurred prior tothe issuance of the license, or if the licensee 

knowingly made a false statement on the license application, or if 

the licensee or an agent of the licensee violates or permits a 

violation of a provision of this Ordinance or of a rule or 

regulation adopted by the Commission. 

(k) A former licensee whose license is revoked is not eligible 

to receive another license. 

Section 3.04 License application requirements; Privacy Act and 

false statements notices to key employees and 

primary management officials. 

Any person, organization or entity required under section 3.01 to 

secure a license in order to conduct business at the Tribe's gaming 

operation must apply for the appropriate license at least thirty 

(30) days prior to conducting such business or as otherwise allowed 

in the discretion of the Commission and in accordance with section 

3.01(b). The application shall be sworn. 

(a) Employee, agent or contractor license application. The 

license application of any person or entity required to have a 

license in order to conduct business at the Tribe's gaming 

operation as an employee, agent or contractor shall contain, at a 

minimum, the following information about the applicant: 
(1) Full name, including other names used (oral or 

written) ; 

(2) Date of birth and place of birth; 

(3) Social security number(s1; 

(4) Citizenship(s), including tribal affiliation(s); 

(5) Gender; 

(6) All languages (spoken or written); 

(7) Whether the applicant has an addiction to alcohol or 

a controlled substance; 

(8) Whether the applicant has a history of mental illness 

or repeated acts of violence; 

(9) Physical description; 

(10) Residence(s) addresses since age eighteen (18), 

including for the previous ten (10) years and including the city, 

state and country; 

(11) Employment history since age eighteen (181, 

including for the previous 5 years, businesses and employment 

positions held, ownership interests in those business, and business 

addresses, including business addresses for the previous ten (10) 

years; 

(12) Drivers license numbers for the previous 5 years; 

(13) Current business and residence telephone numbers; 

(i4) Criminal history, including major traffic offenses, 

and including the date and place of any felony or misdemeanor 

(excluding minor traffic violations) arrest, the charge, details 

surrounding any arrest or charges, the name and address of the 

court involved, the disposition of any charges filed and the dates 

of any prosecution and disposition; 

(15) Whether the applicant has ever held or applied for 

a professional or, occupational license or permit issued by any 

state, Indian tribe or any other jurisdiction, the jurisdiction in 

which the license or permit was issued or applied for, the name and 

address of any l3censing or regulatory agency with which the 

application for a professional or occupational license or permit 

was filed, the type of license or permit, the license or permit 

number, and the dqtails surrounding any denial of the license or 

permit or the withdrawal of the application therefor, the details 

surrounding any usp pension, revocation, or other disciplinary 
action taken based on the license or permit, and if not current, 

the reason it is not current; 

(16) Whether the applicant has ever held or applied for 

a gambling related license or permit issued by any state, Indian 

tribe or any other jurisdiction, the jurisdiction in which the 

license or permit was issued or applied for, the name and address 

of any licensing br regulatory agency with which the application 

for a license or permit related to gaming was filed, the type of 

license or permit, the license or permit number, the details 

surrounding any denial of the license or permit or the withdrawal 

of the applicaeion therefor, the details surrounding any 

suspension, revocation, or other disciplinary action taken based 

on the license or permit, and if not current, the reason it is not 

current; 

(17) Whether the applicant has ever had any experience 

related to any agreement with any gaming operation, the exact 

nature of the applicant's role in the operation, the name and 

address of all parties to the agreement, the place the agreement 

was performed, and the dates covered by the agreement; 

(18) A description of any existing and previous business 

relationships with the gaming industry generally, including 

ownership interests in those businesses; 

(19) A description of any existing and previous business 

relationships with Indian tribes, including ownership interests in 

those businesses; 

(20) A complete financial statement showing all sources 

of income for the previous three (3) years, and including assets, 

liabilities, and net worth as of the date of submission; 

(21) Whether the applicant has ever been an investor in 

any gaming operation, the exact nature of the investment, the name 

and address of all other investors holding (directly or indirectly) 

an interest of ten (10) percent or more in the gaming operation, 

and the name and address of the gaming operation; and 

(22) Names and current addresses of at least three (3) 

personal references, including one personal reference who was 

acquainted with the applicant during each period of residence 

listed under paragraph (a)(10) of this section. 

The applicant will also be required to submit with the application 

a current photograph and two (2) sets of fingerprints on forms 

commonly used by the Federal Bureau of Investigation, as well as 

any other information deemed relevant or requested, either orally 

or in writing, by the Commission. 

The application shall include a waiver of any right of 

confidentiality and shall allow access to law enforcement and 
regulatory agency records of the United States, any state, any 

tribe, and any foreign government, extend to any financial or 

personnel record wherever maintained, and authorize the Commission 

to obtain information from other state and tribal gaming 

jurisdictions regarding license or permit applications or 

disciplinary actions, or conduct of the applicant or any of its 

shareholders, partners, agents, or employees in those 

jurisdictions. The waiver shall also authorize the Tribe to 

disclose any of the information contained in the application to 

appropriate federal, tribal, state, or foreign law enforcement and 

regulatory agencies in connection with a background investigation 

or when relevant to civil, criminal or regulatory investigations 

or prosecutions or investigations of activities associated with a 

gaming operation. 

For the purposes o'f this subsection, applicant includes each member 

of the board of directors and each officer of a management 

contractor. 

A person who knowingly makes a false, misleading or erroneous 

statement on the application or in any statement attached to the 

application is guilty of a serious misdemeanor. 

(b) Management contractor license application. 

(1) In addition to the applicable information required 

under subsection (a), where the applicant for a management contract 

is an entity, theapplication shall state: 

(i) Applicant's name and address; 

(ii) Name and address of applicant's parent company, 

if any; 

(iii) Names and addresses of each person comprising 

such entity or parent entity who has a direct financial interest 

in, or management responsibility for, the management contract. For 

each such person, the application shall include the information 

required under subsection (a); 

(iv) Names and addresses of each director, officer, 

stockholders who hold (directly or indirectly) 10 percent or more 

of the issued and outstanding stock, and other owners who hold 

(directly or indirectly) 10 percent or more of the ownership 

interest in such applicant entity and in the applicant's parent 

company, if any, including the beneficiary or trustee of any trust, 

and any partner. For each such person, the application shall 

include the information required under subsection (a); 

(v) Whether the applicant has ever failed to meet 

a monetary obligation in connection with any gambling operation; 
(vi) Name and address of all proposed or actual 

ancillary contractors who provide supplies, services, concessions 

or property to the Tribe's gaming operation or to the management 

contractor in connection therewith. If the identity of any such 

contractor is not known at the time the application is submitted, 

the management contractor shall have a continuing duty throughout 

the term of any management contract to provide this information to 

the Commission; 

(vii) A description of any existing and previous 

business relationships with Indian tribes, including ownership 

interests in those businesses; 

(viii) A description of any existing and previous 

business relationships with the gaming industry generally, 

including ownership interests in those businesses; 

(ix) Criminal history, including the date and place 

of any felony or misdemeanor charge, details surrounding any arrest 

or charges, the name and address of the court involved, the 

disposition of any charges filed and the date of disposition; and 

(x) Whether the entity has ever held or applied for 

a gambling related license or permit issued by any state, Indian 

tribe or any other jurisdiction, the jurisdiction in which the 

license or permit was issued or applied for, the name and address 

of any licensing or regulatory agency with which the application 

for a license or permit related to gaming was filed, the type of 

license or permit, the license or permit number, the details 

surrounding any denial of the license or permit or the withdrawal 

of the application therefor, the details surrounding any 

suspension, revocation, or other disciplinary action taken based 

on the license or permit, and if not current, the reason it is not 

current; 

(2) The application shall also include 

(i) Copies of documents establishing the existence 

of the entity, such as the partnership agreement, thd trust 

agreement, or the articles of incorporation; 

(ii) Copies of documents desi5nating the person who 

is charged with acting on behalf of the entity; 

(iii) Copies of bylaws or other documents that 

provide the day-to-3ay operating rules for the organization; and 

(iv) Complete financial statements showing all 

sources of income for the previous three (3) fiscal years, and 

including assets, liabilities, and net worth as of the date of 

submission. 
(iv) Complete financial statements for the previous 

three (3) fiscal years. 

(3 Each entity required to submit information under this 

section shall sign 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 which 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 

or imprisonment (U.S. Ordinance, title 18, 

section 1001). 

(c) Seller, lessor or distributor license application. The 

license application of any person, organization or entity for a 

license to sell, lease, market or otherwise distribute gambling 

games, implements or equipment to the Tribe's gaming operation 

shall contain, at a minimum, the following information about the 

applicant: 

(1) Name(s) and mailing address of the person or entity making 

the application; 

(2) Names and addresses of all parties having a direct or 

indirect financial interest in or with respect to the applicant and 

their interest in and connection to the applicant; 

(3) Type of activity to be engaged in under the license; 

(4) Explicit' and detailed disclosure of any criminal record, 

including any delinquent taxes owed to the federal or any state 

government by the applicant, any person holding a managerial 

position or ownership interest in the applicant organization, and 

any party of interest whose name appears on the application; 

(5) Whether the applicant is licensed by any Indian tribe, 

the State of Alaska or any other State to sell, lease or otherwise 

distribute gambling equipment together with proof that the 

applicant holds a current and valid distributor or manufacturer 

license from either the States of Iowa, New Jersey, Nevada or South 

Dakota; 

(6) Whether the applicant has ever had a distributor or 

manufacturer license revoked or suspended by an Indian tribe or by 

the state that issued the license and, if so, the circumstances 

surrounding the Indian tribe's or state's action; and 

(7) A statement of waiver authorizing the Commission and/or 
the State of Alaska to conduct a background investigation of the 

asplicant and any person whose name is required to appear on the 

application. 

The Commission, in its discretion, may waive the requirements of 

this subsection if the applicant presents proof and the Commission 

verifies that the applicant holds a current and valid distributor 

or manufacturer license from either the States of Alaska, Iowa, New 

Jersey, Nevada or South Dakota, provided that such applicant is not 

the subject of any investigation or other action that could result 

in the suspension or revocation of such license. 

(d) Licensee consent to tribal civil and criminal 

jurisdiction. The application for each type of license described 

in this section shall require the applicant to execute an 

acknowledgement that licensure pursuant to the provisions of this 

Ordinance constitutes the applicant's formal acquiescence to the 

civil jurisdiction of the Tribe. Whenever the applicant is an 

Indian, whether or not a member of the Tribe, the acknowledgement 

shall express the applicant's formal acquiescence to the civil and 

criminal jurisdiction of the Tribe. The acknowledgement shall be 

stated in bold face and with each letter of each word capitalized. 

(e) License application Privacy Act and false statements 

notices. The application for each type of license described in this 

section shall contain the following notices: 

(1) Privacy Notice. 

In compliance with the Privacy Act of 1974, 

the following information is provided: 

Solicitation of the information on this form 

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

purpose of the requested information is to 

determine the eligibility of individuals to be 

employed in a gaming operation. The information 

will be used by National Indian Gaming 

Commission members and staff who have need for 

the information in the performance of their 

official duties. The information may be 

disclosed to appropriate Federal, State, local, 

or foreign law enforcement and regulatory 

agencies when relevant to civil, criminal or 

regulatory investigations or prosecutions or 

when pursuant to a requirement by a tribe or 

the National Indian Gaming Commission in 

connection with the hiring or firing of an 

employee, the issuance or revocation of a 

gaming license, or investigations of activities 

while associated with a tribe or a gaming 

operation. Failure to consent to the 

disclosures indicated in this notice will 
result in the Tribe or another tribe 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. 

(2) Notice regarding false statements. 

A false statement on any part of your 

application may be grounds for not hiring you, 

or for firing you after you begin work. Also, 

you may be punished by fine or imprisonment 

(U.S. Ordinance, title 18, section 1001). 

(f) Notice t;o existing key employees and primary management 

officials regarding Privacy Act compliance. The Commission shail 

notify in writing all existing key employees and primary management 

officials whose l'icense applications did not include the privacy 

notice required under subsection (a) that each such employee or 

official shall sign a statement that contains the notice regarding 

false statements. 

(g) Notice to existing key employees and primary management 

officials regarding false statements. The Commission shall notify 

in writing all existing key employees and primary management 

officials whose license applications did not include the notice 

regarding false license application statements required under 

subsection (a) that each such employee or official shall sign a 

statement that contains the Privacy Act notice and that consents 

to the routine uses described in that notice. 

Section 3.05 License application fees. 

The Commission shall set a fee to defray the costs associated with 

application processing, the search and classification of 

fingerprints and background investigations. The Commission shall 

not authorize the search and classification of fingerprints or 

begin any background investigation until it receives a deposit from 

the license applicant to cover the initial costs of the background 

investigation, including the search and classification of 

fingerprints. The, fees may be periodically adjusted for each 

application to assure that the administrative and other costs of 

reviewing and investigating each application are covered by the 

license applicant. The license applicant shall be billed for the 

costs of the investigation as it proceeds. The investigation shall 

be stopped if the unpaid costs exceed the amount of the deposit 

available. All fees shall be made payable to the Tribe. 
Section 3.06 Co~ission background investigation; federal 

notification of results; waiver of background 

investigation. 

(a) Upon receipt of an application for a license to conduct 

business at or with the Tribe's gaming operation as an employee, 

agent or contractor, the Commission, prior to the issuance of any 

license, shall cause a thorough background investigation to be 

conducted on the applicant to verify the truthfulness of the 

information provided by the applicant and to ensure that persons 

and entities licensed by the Commission are eligible for licensure. 

Background investigations may be conducted by the Federal Bureau 

of Investigation, a criminal investigation agency of the State of 

Alaska or by another agency qualified to perform such an 

investigation. The background investigation shall include a 

criminal history check by a law enforcement agency conducted, at 

a minimum, by submitting the license applicant's fingerprints to 

the Federal Bureau of Investigation for a check of its criminal 

history records and by checking all other available non-duplicative 

criminal history data bases, archives or files. In conducting a 

background investigation, the identity of each person interviewed 

in the course of the investigation shall be kept confidential. Upon 

completion of any background investigation and before the issuance 

of a license to any employee, agent or contractor, the Commission 

shall forward to the National Indian Gaming Commission an 

investigative report on each background investigation, including 

the steps taken in conducting the background investigation, the 

results of the investigation, the conclusions reached and the bases 

for those conclusions, and whether the license applicant was fourd 

eligible for licensure and employment in the Tribe's gaming 

operation. The Commission shall also submit management contractor 

background investigation results to the State of Alaska in 

accordance with the applicable provisions of any class I11 gaming 

compact entered into between the Tribe and the State. 

(b) The Commission may waive any background investigation 

required under this section whenever the Federal Bureau of 

Investigation, a criminal investigation agency of the State of 

Alaska or another agency qualified to perform such an investigation 

has completed a background investigation on the license applicant, 

within the one year preceding the date of the application, for and 

on behalf of - 

(1) a gaming regulatory body of the State of Alaska, or 

(2) a gaming regulatory body of the states of Iowa, 

Nevada, South Dakota or New Jersey, 

and the results of such background investigation have been provided 

to the Commission in sufficient detail to assure that the applicant 

is eligible for licensure. Whenever a full background investigation 

is waived under this paragraph, the Commission may require that a 
background investigation be conducted to update and make current 

the background investigation report received from another gaming 

jurisdicticn. 

Section 3.07 Classes of licenses. 

Upon proper application and approval, the following classes of 

licenses may be issued by the Commission: 

(1) Class I1 gaming activity license. There shall be no fee 

for this license., The license shall be site specific and shall be 

valid until revoked or cancelled by the Commission or the Tribal 

Council. 

(2) Class I11 gaming activity license. There shall be no fee 

for this license. The license shall be site specific and shall be 

valid until revoked or cancelled by the Commission or the Tribal 

Council. 

(3) Management contractor license. The fee for such a license 

shall be $1,000.0,0. The license shall be site specific and shall 

be valid for a period of one year subject to renewal for the term 

of any valid management contract. The holder of such a license 

shall be entitled to manage and operate the Tribe's class I1 or 

class I11 gaming operation on Indian lands subject to the 

ordinances and regulations of the Tribe and the Commission. 

(4) Key employee or primary management official license. Any 

employee, agent or contractor working in or for the Tribe's gaming 

operation who has access to cash, tokens or chips, machine 

components or other gaming supplies or who nas management, security 

or accounting responsibilities must obtain such a license. The 

license shall be valid for a period of one year and shali have a 

license fee of $50.00. 

(5) Employee license. Any employee, not licensed as a key 

employee or primary management official, must obtain such a 

license. The license shall be valid for a period of one year and 

shall have a license fee of $20.00. 

(6) Manufacturer or distributor license. Any manufacturer or 

distributor of gambling equipment, games or implements of gambling 

to be used in the Tribe's gaming operation must obtain such a 

license. The license shall be valid for a period of one year. The 

manufacturer's license shall have a fee of $100.00. A distributor's 

license shall have a fee of $400.00. 

(7) Machine license. Any person or entity entering into a 

lease or sales agreement with the Tribe regarding slot machines or 

video games of chance must obtain, for each slot machine or video 

game of chance to be placed in the Tribe's gaming operation, such 

a license for any period of time during which the Tribe is not the 
100% owner of such slot machine or video game of chance. The 

license shall have the fee of $1.00 for each day during which the 

Tribe is not the 100% owner of such slot machine or video game of 

chance. 

All fees shall be made payable to the Tribe. 

Section 3.08 Machine licenses. 

In addition to a distributor license provided for in sections 3.01 

and 3.10, any person or entity entering into a lease or sales 

agreement with the Tribe regarding slot machines or video games of 

chance must obtain, and maintain throughout the duration of any 

such agreement, an annual non-transferable license for each slot 

machine and video game of chance to be placed in the Tribe's gaming 

operation. The license application of any person or entity entering 

into such lease or sales agreement shall contain, at a minimum, the 

following information about the applicant and the machines: 

(1) Name andaddress of the applicant with proof of a current 

and valid distributor or manufacturer license issued by the Tribe 

and by either the States of Alaska, Iowa, New Jersey, Nevada or 

South Dakota; 

(2) ~dentification numbers or codes for each slot machine or 

video game of chance placed in the Tribe's gaming operation, 

including the manufacturer, the serial number and the model number; 

and 

(3) Proof that the slot machine or video game of chance is 

currently approved for use by a gaming regulatory body of the State 

of Alaska; or proof that the slot machine or video game of chance 

has been tested and approved by a gaming regulatory body of the 

States of Iowa, New Jersey, Nevada or South Dakota and that such 

test shows that the machine meets the standards, if any, set forth 

in a gaming compact between the Tribe and the State of Alaska; or 

proof of approval and certification by an approved gaming test 

laboratory that t'he slot machine or video game of chance or a 

prototype thereof meets the standards, if any, set forth in a 

gaming compact between the Tribe and the State of Alaska or such 

standards as may Be required by the Commission. 

Section 3.09 Licensing of gaming activity. 

Class I1 and class 111 gaming activities may be conducted on Indian 

lands only if licensed. 

(a) Licensing of class I1 gaming activity. The Commission may 

license and regulate a tribally owned class I1 gaming activity if 

the State of Alaska permits such gaming for any purpose by any 

person, organization or entity (and such gaming is not otherwise 

specifically prohibited on Indian lands by Federal law). 
(b) Licensing of class I11 gaming activity. The Commission may 

license and regulate a tribally owned class I11 gaming activity if 

the State of Alaska permits such gaming activity for any purpose 

by any person, organization or entity and the gaming is conducted 

in conformance with a Tribal-State compact entered into by the 

Tribe and the State of Alaska that is in effect. 

(c) Separate license for each facility. The Commission shall 

issue a separate license for each place, facility, or location on 

Indian lands at which class I1 or class I11 gaming is conducted. 

The license shall be displayed in a prominent place on the premises 

where the class I1 or class I11 gaming activity is conducted. 

Section 3.10 Licensing of distributors and manufacturers; 

management contractor ineligible; suspension; 

revocation. 

(a) A manufacturer or distributor of gambling games or 

implements of gambling shall annually apply for a license upon a 

form prescribed by the Commission before the first day of April in 

each year and shall submit the appropriate license fee. An 

applicant shall provide the necessary information as the Commission 

requires. 

(b) A management contractor or any person or entity licensed 

for employment in the Tribe's gaming operation shall not be a 

manufacturer or distributor of gambling games or implements of 

gambling. 

(c) The Commission shall suspend, revoke or refuse to renew 

the license of any manufacturer or distributor of gambling games 

or implements of gambling if the State of Alaska or any other state 

gaming jurisdicti~n has suspended, revoked or refused to renew the 

similar license of such manufacturer or distributor. 

Section 3.11 License contents. 

Each license shall set forth the name of the licensee, the type of 

license granted, and the expiration date of the license. The 

license shall also contain a statement that in accordance with the 

licensee's license application, the licensee has formally 

acquiesced to the civil jurisdiction or, in the case of an Indian 

licensee not a member of the Tribe, to the civil and criminal 

jurisdiction of the Tribe as a condition for licensure. 

Section 3.12 Legal effect of licensure. 

Any person or entity who accepts a license or the renewal thereof 

pursuant to the provisions of this Ordinance shall be deemed to 

have agreed to be bound by the provisions of this Ordinance, any 

rules and regulations issued in accordance therewith, the 
provisions of any' class I11 gaming compact entered into between the 

Tribe and the State of Alaska, and any amendments to such 

Ordinance, rules or regulations and compact. It is the 

responsibility ok the licensee to be informed regarding the 

provisions of this Ordinance, the rules and regulations issued 

pursuant thereto and any class I11 gaming compact entered into 

between the Tribe and the State of Alaska. Ignorance of such 

provisions wili not excuse violations. 

Section 3.13 Licensee consent to search. 

Each licensee shall consent to the employees or agents of the 

Commission to the search without a warrant of the licensee's 

person, personal property and effects, and premises which are 

located within the Tribe's gaming operation or adjacent facilities 

under control of or utilized by the licensee to inspect for or 

investigate violations of this Ordinance or violations of rules or 

regulations adopted by the Commission. 

Section 3.14 License non-transferable. 

Any license issued by the Commission authorizing any person, 

organization, or entity to conduct business at the Tribe's gaming 

operation shall be non-transferable and shall prohibit the licensee 

fromtransferring, subcontracting or assigning to any other person, 

organization or entity any of its rights or duties relating to the 

license either directly or indirectly or, in the case of a 

management contra'ctor, any ownership interest in the management 

contract. 

Section 3.15 License as revocable privilege. 

Any license issued by the Commission to any person, organization 

or entity for the conduct of business at the Tribe's gaming 

operation is a revocable privilege. No holder thereof shall be 

deemed to have a part in any vested rights therein or thereunder. 

The burden of proving that a person, organization or entity is 

qualified to hold any license issued by the Commission rests at all 

times with the licensee. The Commission shall continually monitor 

the conduct of all licensees to assure that licenses are not held 

by unqualified or disqualified persons or by any qualified person 

or persons whose operations are conducted in an unsuitable manner. 

Section 3.16 Notice to National Indian Gaming Commission of 

license issuance or non-issuance; transmittal of 

primarymanagement official and key employee license 

application to National Indian Gaming Commission. 

(a) The Commission shall notify the National Indian Gaming 

Commission of the issuance of a license to any person, organization 

or entity required under section 3.01 to secure a license in order 

to conduct business at the Tribe's gaming operation. 
(b) Whenever the Commission does not license a license 

applicant, the Commission shall notify the National Indian Gaming 

Commission of such action. If the non-issuance of a license is 

based on a determination that the license applicant is ineligible 

for licensure, the Commission shall forward copies of its 

eligibility determination and investigative report, if any, to the 

National Indian Gaming Commission for inclusion in the Indian 

Gaming Individuals Record System. 

(c) Whenever the Tribe employs a primary management official 

or a key employee, the Commission shall forward to the National 

Indian Gaming Commission a copy of such official's or employee's 

complete license application. 

CHAPTER 4 

MANAGEMENT CONTRACTS 

Section 4.01 Management contract contents; approval. 

The Tribal Council may approve and, on behalf of the Tribe, enter 

into any management contract if it determines that such contract 

provides at least: 

(1) for compliance with this Ordinance and the Indian Gaming 

Regulatory Act in the conduct of all gaming covered by the 

contract; 

(2) for an enumeration of the responsibilities of each of the 

parties for each identifiable function, including: 

(i) Maintaining and improving the gaming facility; 

(ii) Providing operating capital; 

(iii) Establishing operating days and hours; 

(iv) Hiring, firing, training and promoting employees; 

(v) Maintaining the gaming operation's books and records; 

(vi) Preparing the gaming operation's financial 

statements and reports; 

(vii) Paying for the services of the independent auditor 

engaged pursuant to section 5.01(a) of this Ordinance; 

(viii) Hiring and supervising security personnel; 

(ix) Providing fire protection services; 

(x) Setting the advertising budget and placing 
advertising; 

(xi) paying bills and expenses; 

(xii) Establishing and administering employment 

practices; 

(xiii) Obtaining and maintaining insurance coverage, 

including coverage of public liability and property loss or damage; 

(xiv) Complying with all applicable provisions of the 

Internal Revenue Ordinance; 

(xv) Paying the cost of any increased public safety 

services; and 

(xvi) If applicable, supplying the National Indian Gaming 

Commission with all information necessary for the Commission to 

comply with the regulations of such Commission issued pursuant to 

the National Envi,ronmental Policy Act. 

(3) for the establishment and maintenance of satisfactory 

accounting systems and procedures whenever the contractor is 

responsible for the establishment or maintenance of such systems 

and procedures. At a minimum, the accounting systems and procedures 

shall 

(i) Include an adequate system of internal accounting 

controls; 

(ii) Permit the preparation of financial statements in 

accordance with generally accepted accounting principles; 

(iii) Be susceptible to audit; 

(iv) Allow a class I1 gaming operation, the Tribe, and 

the National Indian Gaming Commission to calculate the annual fee 

under 25 C.F.R. S514.1; 

(v) Permit the calculation and payment of the manager's 

fee; and 

(vi) Provide for the allocation of operating expenses or 

overhead expenses among the Tribe, the tribal gaming operation, the 

contractor, and any other user of shared facilities and services; 

(4) for verifiable financial reports that are prepared by or 

for the Council on a monthly basis, or for the contractor to 

provide the Tribe with all information necessary to prepare such 

reports, whenever the contractor is responsible for the preparation 

of such reports or for maintaining such information as may be 

necessary to prepare such reports; 
(5) for immediate access to the daily operations of the gaming 

operation, including its books and records whenever these are 

maintained by the contractor, by the Commission and other 

appropriate tribal officials who shall also have the right to 

verify the daily gross revenues and income from any tribal gaming 

activity and access to any other gaming-related information the 

Tribe deems appropriate; 

(6) for a minimum monthly guaranteed payment to the Tribe in 

a sum certain that has preference over the retirement of 

development and construction costs; 

(7) for an agreed upon maximum dollar amount for the 

recoupment of development and construction costs; 

(8) that the contract term not exceed five (5) years, provided 

that the Tribal Council may request the National Indian Gaming 

Commission to authorize a contract term that exceeds five (5) years 

but does not exceed seven (7) years if the Council determines that 

the capital investment required, and the income projections, for 

the particular gaming operation require the additional time, and 

provided further that the term of the management contract begins 

running no later than the beginning date of the gaming activities 

authorized by an approved management contract; 

(9) for grounds and mechanisms for modifying or terminating 

such contract; 

(10) for mechanisms to resolve disputes between the management 

contractor and 

(i) customers, consistent with the procedures in section 

1.08(d) of this Ordinance; 

(ii) the Tribe; and 

(iii) the gaming operation employees; 

(11) for preference to members of the Tribe in hiring 

employees for the gaming operation; 

(12) that the method of compensating and reimbursing the 

management contractor be detailed and that any fee based upon a 

percentage of the net revenues of the tribal gaming activity is 

reasonable in light of surrounding circumstances and, in no event, 

shall exceed 30 percent of the net revenues, provided that the 

Tribal Council may request the National Indian Gaming Commission 

to approve a fee not to exceed 40 percent of the net revenues if 

the Council determines that the capital investment required, and 

the income projections, for such tribal gaming operation require 

the additional fee; 
(13) that the management contractor cannot transfer, 

subcontract or assign any of its rights and duties under the 

contract or, without advance approval of the Tribe, any ownership 

interest in the contract; 

(14) that for service of any official determination, order, 

or notice of violation by the Commission, the management contract 

designate the same agent of the management contractor designated 

for service of any official determination, order, or notice of 

violation issued by the National Indian Gaming Commission; 

(15) a representation that the contract is the entirety of the 

agreement between the Tribe and the management contractor; and 

(16) that the contract shall not be effective unless and until 

it is approved by the Chairman of the National Indian Gaming 

Commission, the date of signature of the Tribe and the management 

contractor notwithstanding. 

No management contract shall transfer or, in any other manner, 

convey any interest in land or other real property, unless specific 

statutory a:~thority exists and unless clearly specified in writing 

in the contract. 

Section 4.02 Management contract disapproval; termination. 

The Tribal Council shall not approve and shall terminate any 

management contract if it determines that: 

( 1) Any principal, director, agent or employee of a management 

contractor or any person having a direct or indirect financial or 

ownership interest in, or having management responsibility for a 

management contract is an elected member of the Tribal Council; or 

(2) Any principal, director, agent or key employee of a 

management contractor or of any parent company of a management 

contractor, any person having a direct or indirect financial or 

ownership interest in, or having management responsibility for, a 

management contract, and, 

(i) in the case of a person who is a party to a 

management contract, any person having a direct financial interest 

in such management contract, or 

(ii) in the case of a trust that is a party to a 

management contract, any beneficiary or trustee, or 

iiii) in the case of a partnership that is a party to a 

management contract, any partner, or 

(iv) in the case of a corporation that is a party to a 

management contract, any person who is a director or who holds 
(directly or indirectly) 10 percent or more of the issued and 

outstanding stock of the corporation or of any parent company of 

the corporation alone or in combination with another stockholder 

who is a spouse, parent, child or sibling, or 

(v) in the case of an entity, other than a natural 

person, that has an interest in a trust, partnership or corporati.cn 

that has an interest in a management contract, all parties of that 

entity 

has been or is subsequently convicted of any felony or gaming 

offense; or 

(3) Any principal, director, agent, employee, or (directly or 

indirectly) 10 percent or more shareholder of a management 

contractor Dr of any parent company of a management contractor, any 

person having a direct or indirect financial or ownership interest 

in, or having management responsibility for, a management contract, 

or the management contractor entity or its parent company, if any, 

has provided materially false statements or information to the 

Commission or other tribal officials pertaining to matters where 

a provision of this Ordinance or of any rules or regulations 

promulgated by the Commission requires the submission of 

information to tGe Tribe or an agency thereof, or has refused to 

respond to questions by the Commission or other tribal officials 

propounded for the purpose of carrying out their duties and 

responsibilities under this Ordinance or the rules and regulations 

promulgated thereunder; or 

(4) Any principal, director, agent, employee, or (directly or 

indirectly) 10 percent or more shareholder of a management 

contractor or of any parent company of a management contractor, any 

person having a direct or indirect financial or ownership interest 

in, or having management responsibility for, a management contract, 

or the management contractor entity or its parent company, if any, 

has provided materially false statements or information to the 

National Indian Gaming Commission pertaining to matters where a 

provision of any federal law or regulation requires the submission 

of information to such Commission, or has refused to respond to 

questions by such Commission propounded for the purpose of carrying 

out its duties and responsibilities under such federal laws and 

regulations; or 

(5) Any principal, agent, employee, or (directly or 

indirectly) 10 percent or more shareholder of a management 

contractor or of any parent company of a management contractor, or 

any person having a direct or indirect financial or ownership 

interest in, or having management responsibility for, a management 

contract has been determined by the Commission to be a person whose 

prior activities, criminal record, if any, or reputation, habits 

and associations pose a threat to the public interest or to the 

effective reguiation and control of gaming, or create or enhance 
the dangers of unsuitable, unfair, or illegal practices, methods 

and activities in the conduct of gaming or in the carrying on of 

related business and financial arrangements; or 

(6) Tke management contractor or its parent company, if any, 

or the agents of either, has or has attempted to unduly interfere 

with or influence for its gain or advantage any decision or process 

of tribal government relating to the Tribe's gaming operation; or 

(7) The management contractor or its agents have deliberately 

or substantially failed to comply with the terms of the management 

contract, the provisions of this Ordinance, any rules or 

regulations adopted pursuant to this Ordinance, any applicable 

federal law, any rules or regulations of the National Indian Gaming 

Commission, or any of the requirements of a Tribal-State compact 

entered into between the Tribe and the State of Alaska governing 

gaming on Indian lands; or 

(8) The management contract is inconsistent with any of the 

requirements of a Tribal-State compact entered into between the 

Tribe and the State of Alaska governing gaming on Indian lands; or 

(9) The background investigation of the management contractor 

warrants disapproval or termination of the managemeot contract; or 

(10) A trustee, exercising the skill and diligence to which 

a trustee is commonly held, would not approve the contract. 

(11) Change$ in persons with a financial interest in or 

management responsibility for a management contract have occurred 

without the approval of the Commission or the National Indian 

Gaming Commission. 

Section 4.03 Management contractor records, 

In addition to other records and information required by this 

Ordinance or by any rules or regulations of the Commission, a 

licensed management contractor shall maintain the following 

records : 

(a) If a corporation: 

(1) A certified copy of articles of incorporation and any 

amendments thereto both for itself and any parent corporation; 

(2) A copy of bylaws and any amendments thereto both for 

itself and any parent corporation; 

(3) A current list of officers and directors both for 

itself and any parent corporation; 

(4) Minutes of all meetings of stockholders and directors 
both for itself, and, whenever the Tribe's gaming operation is the 

subject of discussion, for any parent corporation; 

(5) A current list of all stockholders and stockholders 

of affiliates, including their names and the names of beneficial 

owners of shares: 

(6) A complete record of all transfers of stock; 

(7) A .record of amounts paid to the corporation for 

issuance of stock and other capital contributions and dates 

thereof; 

(8) A record, by stockholder, of all dividends 

distributed by the corporation; and 

(9) A record of all salaries, wages, and other 

remuneration (including perquisites), direct and indirect, paid 

during the calendar or fiscal year, by the corporation, to all 

officers, directors, and stockholders with an ownership interest 

at any time during the calendar or fiscal year, equal to or greater 

than 5 percent of the outstanding stock of any class of stock. 

(b) If a partnership: 

(1) A schedule showing the amounts and dates of capital 

contributions, the names and addresses of the contributors, and 

percentage of interest in net assets, profits and losses held by 

each; 

(2) A record of the withdrawals of partnership funds or 

assets; 

(3) A record of salaries, wages, and other remuneration 

(including perquisites), direct and indirect, paid to each partner 

during the calendar or fiscal year; and 

(4) A copy of the partnership agreement and certificate 

of limited partnership, if applicable; 

(c) If a sole proprietorship: 

(1) A schedule showing the name and address of the 

proprietor and the amount and date of their original investment; 

(2) A record of dates and amounts of subsequent additions 

to the original investment and withdrawals therefrom; and 

(3) A record of salaries, wages, and other remuneration 

(including perquisites), direct and indirect, paid to the 

proprietor during the calendar or fiscal year; 
(d) Federal and state tax returns showing income and losses 

in connection with the Tribe's gaming operation. 

All records shall be located in a place approved by the Commission. 

Section 4.04 Management contractor bond. 

A management contractor shall post a bond to the Tribe before the 

effective date of any such contract in a sum as the Commission or 

the Tribal Council shall fix, with sureties to be approved by the 

Commission or Council. The bond shall be used to guarantee that the 

management contractor faithfully executes the management contract, 

keeps its books and records and makes reports, and conducts all 

gaming operations in conformity with this Ordinance, any rules and 

regulations adopted by the Commission, the provisions of any 

compact entered into between the Tribe and the State of Alaska, and 

applicable federal law. The bond shall not be cancelled by a surety 

on less than 30 days' notice in writing to the Commission or 

Council. If a bond is cancelled and the management contractor fails 

to file a new bond in the required amount on or before the 

effective date of cancellation, the management contract shall be 

terminated. The total and aggregate liability of the surety on the 

bond is limited to the amount specified in the bond. 

CHAPTER 5 

AUDITING AND ACCOUNTING 

Section 5.01 Audits of gaming operation; accounting requirements. 

(a) Tke gaming operation financiai statements, books and 

records shall be audited annually by an independent auditor who iz 

a certified public accountant. The annual independent audit will 

include an audit of all gaming related contracts for supplies, 

services, or concessions for a contract mount in excess of 

$25,000.00 (except contracts for pr~fessional legal or accounting 

services). The audit will clso include an audit of gaming and cash 

procedures and equipaent and an audit of conformance with this 

Ordinau?e, applicable laws and regulations, and any compact entered 

into L9tweeo the Tribe and the State of Alaska governing class I11 

gaming. All audits shall be conducted pursuant to the AICPA 

Standards for Audits of Casinos when applicable and in accordance 

with otherwise generally accepted accounting principles and 

auditing standards. A copy of the report(s) and management 

letter(s) setting forth the results of each annual audit will be 

submitted to the National Indian Gaming Commission within 120 days 

after the end of each fiscal year of the gaming operation. 

(1) Whenever the annual or any other audit indicates a 

material weakness ln the internal accounting control procedures or 

other internal control systems, or non-conformance with this 

Ordinance, applicable laws and regulations, and any compact entered 
into between theTribe and the State of Alaska governing class I11 

gaming, the Tribe's gaming operation, within 90 days from receipt 

of the audit report, shall indicate to the Commission the 

corrective actions taken. 

(2) The annual audited financial statements and the 

quarterly fee assessment reports, if any, submitted by the Tribe 

to the National Indian Gaming Commission in relation to any class 

I1 gaming operation shall be reconciled by the auditor. Upon 

request, the reconciliation shall be provided to the National 

Indian Gaming Commission or its authorized representative. 

(b) The gross receipts and adjusted gross receipts from 

gambling shall be separately handled and accounted for from all 

other moneys received from operation of the Tribe's gaming 

operatioo. The Commission may designate a representative to 

directly supervise the handling and accounting of a11 gross 

receipts and adjusted gross receipts from gambling and related 

activities of the Tribe's gaming operation. The compensation of 

such representative shall be fixed by the Commission but shall be 

paid by the ~ribk's gaming operation. The Commission shall also 

have access to any bank records pertaining to the Tribe's gaming 

operation including those bank records of any management contractor 

showing deposits received from or withdrawals of monies in 

connection with the Tribe's gaming operation. 

(c) The Tribe shall perform such additional audits of the 

books, records, equipment and procedures of any licensed class I11 

gaming operation and of any management contractor thereof as the 

Commission may deem necessary or as may be required under the terms 

of any class I11 gaming compact entered into between the Tribe and 

the State of Alaska. 

(d) The books of account, records and documents pertaining to 

the Tribe's gaming operatioo and of any management contractor or 

other person or entity licensed in connection therewith shall be 

made available to the Commission, any other authorized agency of 

the Tribe, or any authorized agency of the federal government or 

the State of Alaska for inspection and audit at reasonable times, 

with or without notice. Such books of account, records and 

facilities pertaining to any class I11 gaming operation of the 

Tribe shall also be made available to authorities of the State of 

Alaska, under applicable provisions of any class I11 gaming compact 

between the Tribe and the State, for the purpose of conducting such 

routine facility inspections, including equipment testing, casino 

surveillance, review and copying of records and other information 

as may be permitted under such compact. Such books of account, 

records and documents shall be organized and indexed in such a 

manner to provide immediate accessibility to the Commission or 

other authorized agency. 

(e) A failure to perm.it inspection or any falsification of any 
books or records related to any transaction connected with the 

holding, operating, and conducting of any gaming activity is a 

serious misdemeanor. 

(f) Throughout the term of any class I11 gaming compact 

between the Tribe and the State of Alaska, ali books, records and 

documents pertaining to any authorized class I11 gaming activities, 

including the records of any management contractor and the Tribe, 

shall be separately maintained pursuant to generally accepted 

accounting principles under standards of the AICPA in order to 

facilitate auditing to ensure compact compliance. 

(g) In no event shall the books, records, and documents 

pertaining to any authorized class I1 or class I11 gaming 

activities be removed from the premises of the Tribe's gaming 

operation prior to audit. 

(h) All original books, records and documents may be copied 

and stored on a microfilm, microfiche or other suitable media 

system approved by the Commission. 

(i) No original book, record or document may be destroyed by 

the Tribe's gaming operation or any licensee thereof without the 

prior approval of the Commission, unless the particular book, 

record or document has first been copied and stored on microfilm, 

microfiche or other suitable media in accordance with subsection 

(h) of this section. 

For the purpose of this section, "books, records and documentst1 

shall be defined as any book, record or document pertaining to, 

prepared or generated by the Tribe's gaming operation or any 

licensee thereof including, but not limited to, all forms, reports, 

accounting records, ledgers, subsidiary records, computer-generated 

data, internal audit records, correspondence and personnel records. 

Section 5.02 Accounting records. 

(a) A licensed class I1 or class I11 gaming operation of the 

Tribe shall permanently maintain complete and accurate books of 

account and records, including inventory records of gaming 

supplies, sufficient to establish the amount of gross and net 

income, deductions and expenses, receipts and disbursements, and 

other information required in any financial statement, report, or 

other accounting prepared pursuant to this Ordinance, any 

regulations issued thereunder, the Indian Gaming Regulatory Act, 

or any regulations of the National Indian Gaming Commission, and 

to enable any class I1 gaming operation, the Tribe or the National 

Indian Gaming Commission to determine the amount of any fees 

required under 25 C.F.R. S514.1. The books of account and records 

shall also show, in addition to any other information required by 

the Commission or the Tribal Council, gross receipts and the amount 

of any taxes collected or accrued in connection with any gambling 
activities, all expenses, charges, fees and other deductions, the 

cash amounzs or the cost to the gambling operation of goods or 

other noncash valuables distributed to participants in the licensed 

activity, and evidences of indebtedness. 

(b) General accounting records shall be maintained on a double 

entry system of accounting with transactions recorded on an accrual 

basis. 

(c) Detailed, supporting, and subsidiary records shall be 

maintained. These records include, but are not necessarily limited 

to: 

(1) Statistical game records to reflect drop (amount of 

cash wagered by patrons) and win (amount of cash won by the gaming 

operation) amounts for each type of game on a daily basis; 

(2) Records of all investments, advances, loans and 

receivable balances, due to the licensed class I1 or class I11 

gaming operation or any management contractor thereof; 

(3) Reeords related to investments in property and 

equipment; 

(4) Records which identify the handle, payout, win 

amounts and percentages, theoretical win amounts and percentages, 

and differences between theoretical and actual win amounts and 

percentages, for each slot machine or video game of chance on at 

least a week-to-date, month-to-date, and year-to-date basis; 

(5! Records of all loans and other amounts payable by the 

licensed class I1 or class I11 gaming operation; 

(6) Records which identify the purchase, receipt and 

destruction of gaming chips and tokens; and 

(7) Other records required by the Commission. 

Section 5.03 Gaming operation reports. 

(a) A Licensed class I1 or class I11 gaming operation of the 

Tribe shall file monthly reports with the Commission indicating 

adjusted gross reaeipts from gambling games and from other related 

activities conducted on the premises of the Tribe's gaming 

operation. These reports will be by calendar month and will be 

filed within 15 days following the end of each month. 

(b) A licensed class I1 or class I11 gaming operation of the 

Tribe shall file an annual financial statement with the Commission 

covering all financial activities of the Tribe's gaming operation. 

This statement shall be fiied within 90 calendar days following the 

end of the fiscal year. 
( 1) Any adjustments resulting from the annual audit shall 

be recorded in the accounting records of the year to which the 

adjustment relates. In the event the adjustments were not reflected 

in the annual r,eport of the Tribe's gaming operation and the 

Commission concludes the adjustments are significant, the 

Commission may r@quire a revised annual report to be filed within 

30 calendar days following notification. 

(2) Required financial statements shall include a 

footnote reconciling and explaining any differences between the 

financial statements included in the annual report of the Tribe's 

gaming operation and the audited financial statements. Such 

footnote shall disclose the effect of such adjustments on: 

a, Casino revenues; 

b. Revenues net of complimentary services; 

c. Total costs and expenses; 

d. Income before extraordinary items; and 

e. Net income. 

Section 5.04 Retention of audit and accounting records and gaming 

operation reports. 

A licensed class I1 or class I11 gaming operation of the Tribe 

shall retain all books of account, records, reports and other 

documents required by this Chapter or any rules and regulations of 

the Commission for no less than five (5) years. In the event that 

the gaming operation terminates, these books, records, reports and 

other documents shall be retained in the custody of the Tribal 

Council. 

Section 5.05 Retention of enforcement action records. 

A licensed class I1 or class I11 gaming operation of the Tribe 

shall maintain copies of all enforcement actions that the Tribe, 

the State of Alaska, the National Indian Gamirg Commission, or any 

other agency of the United States has taken against the operation, 

noting the final disposition of each case. 

CHAPTER 6 

INTERNAL CONTROLS 

Section 6.01 ~ntbrnal control systems. 

A licensed class I1 or class I11 gaming operation of the Tribe 

shall operate all gaming under a system of adequate and effective 
internal ccntrols. Internal control systems and any changes therein 

shall be a2proved by the Commission before any gaming operations 

may be commenced by a licensed class I1 or class I11 gaming 

operation. Once approved, no system of internal controls may be 

altered until the Commission has approved the changes. At a 

minimum, internal control systems shall include procedures or 

standards for - 

(1) Training personnel to understand prescribed 

procedures; 

(2) Segregating incompatible functions so that no 

employee is in a position to perpetrate and conceal errors or 

irregularities in the normal course of their duties; 

(3) Accounting controls within the cashier's cage; 

(4) Use of drop boxes and drop buckets; 

(5) Transportation of drop boxes to and from gaming 

tables; 

(6) Storage of drop boxes; 

(7) Accepting cash or prepaid vouchers at gaming tables; 

(8) Distributing gaming chips to gaming tables; 

(9) Removing gaming chips from gamiog tables; 

(10) Closing gaming tables; 

(il) Count room security; 

(12) Opening, counting and recording contents of drop 

boxes ; 

(13) Slot machine or video game of chance identifying and 

non-identifying features and capabilities; 

(14) Jackpot payouts; 

(15) Filling payout reserve containers of slot machines 

or video gaaes of chance; and 

(16) Counting and recording contents of slot machine or 

video game of chance drop buckets. 

Section 6.0% Computer recording requirements and monitoring of 

slot machines or video games of chance. 

(a) A licensed class I11 gaming operation will have a computer 

connected to slot machines or video games of chance to record and 
monitor the activities of such machine. The computer will be 

designed and operated to automatically perform the function 

relating to slot machine or video game of chance meters as follows: 

(1) Reaord the number and total value of coins or tokens 

placed in the slot machine or video game of chance for the purpose 

of activating play; 

(2) Record the number and total value of coins or tokens 

in the drop bucket of the slot machines or video games of chance; 

(3) Record the number and total value of slot tokens, 

cash or chips to be paid manually as the result of a jackpot; and 

(b) The computer shall store in machine-readable form all 

informatio~ required under this section and such stored data shall 

not be susceptible to change or removal by any personnel prior to 

submission to the Commission. 

Section 6.03 Security and surveillance procedures. 

The Commission shall establish security and surveillance procedures 

and equipment standards consistent with any applicable security and 

surveillance requirements of a class I11 gaming compact entered 

into between the Tribe and the State of Alaska. At a minimum, these 

procedures shall include the employment of a reasonably adequate 

security force and providing for a certified peace officer with the 

power to arrest all persons committing gaming violations to be 

present at all times when gambling is being conducted. 

Section 6.04 Gambling equipment and games acquisition; 

distributor's notice. 

(a) A licensed class I1 or class I11 gaming operation shall 

acquire all gambling equipment, games or implements of gambling 

from a distributor licensed pursuant to this Ordinance. 

(b) Prior to delivery to a gaming operation licensed under 

this Ordinance, the manufacturer or distributor shall provide the 

Commission with a copy of the invoice showing the items shipped and 

a copy of the bill of lading. 

Section 6.05 Games and game rules; approval and posting. 

The Commissron will approve all games and game rules. Before any 

game may be played in the Tribe's gaming operation, the game must 

be authorized by the Commission and the game rules must be publicly 

posted in the gaming facility at such conspicuous locations, near 

where such gaming activity is conducted, so a8 to make them readily 

available and accessible to the public. 
Section 6.06 Name tags. 

All persons operating or assisting the operation or conduct of any 

class I1 or claes I11 gaming activity shall wear legible tags 

evidencing their names and the legend of the Klawock Cooperative 

Association. Tags must be visible and worn or otherwise affixed to 

all persons operating or assisting in the operation of such gaming 

activities. 

PROHIBITED AND UNLAWFUL ACTIVITIES 

Section 7.01 Prohibited activities. 

(a) A person or entity is guilty of an aggravated misdemeanor 

for any of the following: 

(1) Engaging in any class I1 gaming, or in class I11 

gaming where wagering is used or to be used, without a license 

issued by the Commission; or 

(2) Acting or employing a person to act as a shill or 

decoy to encourage participation in a gambling game. 

(b) A person or entity knowingly permitting a person under the 

age of eighteenyears to make a wager is guilty of a simple 

misdemeanor. 

(c) A person or entity wagering or accepting a wager at any 

location outside a gaming operation licensed under this Ordinance 

is guilty of a simple misdemeanor. 

(d) A person or entity commits an aggravated misdemeanor and, 

in addition, shall be barred for life from any gaming operation 

under the jurisdiction of the Commission, if the person or entity, 

either alone or in concert with others, does any of the following: 

(1) Offers, promises, or gives anything of value or 

benefit to a person who is connected to a gaming operation owned 

by the Tribe including, but not limited to, an officer or employee 

of the Tribe, an officer or employee of a management contractor, 

pursuant to an agreement or arrangement or with the intent that 

the promise or thing of value or benefit will influence the actions 

of the person to whom the offer, promise, or gift was made in order 

to affect or attempt to affect the outcome of a gambling game, or 

to influence official action of a member of the Commission; or 

(2) Solicits or knowingly accepts or receives a promise 

of anything of value or benefit while the person is connected with 

a gaming operation owned by the Tribe including, but not limited 
to, an officer or employee of the Tribe, an officer or employee of 

a management contractor, pursuant to an understanding or 

arrangement or with the intent that the promise or thing of value 

or benefit will influence the actions of the person to affect or 

attempt to affect the outcome of a gambling game, or to influence 

official action of a member of the Commission; or 

(3) Uses a device, including any calculator, computer, 

or other electronic, electrical or mechanical device to assist in 

any of the following: 

(A) In projecting the outcome of a game; or 

(B) In keeping track of the cards played; or 

(C) In analyzing or changing the probability of the 

occurrence of an event relating to the gambling game; 

(D) In analyzing or changing the strategy for 

playing or betting to be used in the game except as 

permitted by the Commission; or 

(4) Cheats at a gambling game; or 

(5) Manufactures, sells, or distributes any cards, chips, 

dice, game or device which is intended to be used to violate any 

provision of this Ordinance; or 

(6) ~nstructs a person in cheating or in the use of a 

device for that ,purpose with the knowledge or intent that the 

information or use conveyed may be employed to violate any 

provision of this Ordinance; or 

(7) Alters or misrepresents the outcome of a gambling 

game on which wagers have been made after the outcome is made sure 

but before it is revealed to the players; or 

(8) Places, increases, decreases or cancels a bet after 

acquiring knowledge, not available to all players, of the outcome 

of the gambling game which is the subject of the bet or to aid a 

person in acquiring such knowledge for the purpose of placing, 

increasing, decreasing or cancelling a bet contingent on that 

outcome; or 

(9) Claims, collects, or takes, or attempts to claim, 

collect, or take, money or anything of value in or from the 

gambling games, with intent to defraud, without having made a wager 

contingent 3n winning a gambling game, or claims, collects, or 

takes an amount of money or thing of value of greater vaiue than 

the amount won; or 
(10) Knowingly entices or induces a person to go to any 

place where a gambling game is being conducted or operated in 

violation of thelprovisions of this Ordinance with the intent that 

the other personplays or participates in that gambling game; or 

(11) Uses counterfeit chips, tokens, coins or other 

currency in a gambling game; or 

(12) Knowingly uses other than chips, tokens, coin, 

currency or other methods or credit approved by the Commission or 

uses coin not of the denomination as the coin intended to be used 

in the gambling games; or 

(13) Has in the person's possession any device intended 

to be used to violate a provision of this Ordinance; or 

(14) Has in the person's possession, except a licensee 

or employee of a licensee acting in furtherance of the employee's 

employment at a licensed gaming operation, any key or device 

designed for the purpose of opening, entering, or affecting the 

operation of a gambling game, drop box, or an electronic or 

mechanical device connected with the gambling game or for removing 

coins, tokens, chips or other contents of a gambling game; or 

(15) U$es any fraudulent scheme or technique; or 

(16) Has located on the premises of the Tribe's gaming 

operation any gaming equipment or implements of gaming not 

authorized under this Ordinance or by the Commission; or 

(17) Manipulates with intent to cheat (whether with or 

without a device), any component of a gaming device in a manner 

contrary to the designed and normal operational purpose for the 

component, with knowledge that the manipulation affects the outcome 

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

of the game. 

(e) The possession of more than one of the devices described 

in subsection (d), paragraphs 3, 5, 13 or 14, permits a rebuttable 

inference that the possessor intended to use the devices for 

cheating . 

Section 7.02 Wagering by minors prohibited. 

A person under the age of eighteen years shall not make a wager on 

any gambling activity conducted at the Tribe's gaming operation 

and shall not be allowed in the area of such operation where 

gambling is being conducted. If any person below the age of 

eighteen plzys and otherwise qualifies to win any prize, the prize 

shall not be paid and the estimated amount wagered during the 

course of the game shall 5e returned to the player. 
Section 7.03 Gambling on credit unlawful; licensee loans unlawful. 

(a) Any class I1 or class I11 gaming operation shall be 

operated for cash only. A person who, in connection with the 

Tribe's gambling operation, tenders and a person who receives any 

promise, agreement, note, bill, bond, contract, mortgage or other 

security, or any negotiable instrument, as consideration for any 

wager or bet commits a misdemeanor. 

(b) Any licensee or any employee of any licensee who loans to 

any person money or any other thing of value for the purpose of 

permitting that person to place any wager or bet at the Tribe's 

gaming operation commits a misdemeanor. However, a bingo 

participant may make payment by personal check for any entry or 

participation fee assessed by the Tribe. 

(c) Ary licensee or any employee of any licensee who engages 

in pawnbroking or who takes goods or materials in hock from any 

person for the purpose of permitting that person to place any wager 

or bet at the Tri.bers gaming operation commits a misdemeanor. 

(d) Nothing in this section shall be construed to prohibit the 

Tribe or a management contractor from offering check cashing and 

credit card transactions as routinely offered by other businesses. 

Credit card transactions may be consummated only through a bona 

fide credit card! company whose services are offered to other 

businesses located within the Tribe's jurisdiction or within the 

State of Alaska. 

(e) Nothing in this section shall apply to credits won by 

players who activate play on slot machines or video games of chance 

after inserting coins, currency, or tokens into the game. 

(f) Personal' checks accepted by the Tribe's gaming operation 

must be deposited into a financial institution on the banking day 

following the receipt of such check. 

Section 7.04 Posseasion of firearme and dangerous weapons 

prohibited. 

The possession of firearms or other dangerous weapons shall be 

prohibited at all, times within the gambling area of the Tribe's 

gaming operation, and within adjacent facilities except for 

certified tribal, State of Alaska, or federal law enforcement 

officers carrying such weapons in the course of their official 

duties and authorized to be on the premises of the Tribe's gaming 

operation. 

Section 7.05 Alcohol prohibited; exception. 

(a) The sale or possession of alcohol including, but not 
limited to, beer, liquor or any other beverage containing alcohol, 

on the premised of the Tribe's gaming operation or adjacent 

facilities is a serious misdemeanor. 

(b! The sale or possession of aicoholic beverages may be 

permitted on thg premises of the Tribe's gaming operation and 

adjacent facilities only if authorized under a liquor ordinance 

approved by the Tribal Council and the Secretary of the Interior 

in accordance with applicable federal law. 

Section 7.06 Penalties and fines. 

(a) Whenever a person within the criminal jurisdiction of the 

Tribe is convicted of a misdemeanor or simple misdemeanor, such 

person shall be sentenced to a term of imprisonment not to exceed 

six months or to a criminal fine not to exceed two thousand five 

hundred dollars, or both such imprisonment and fine. 

(b) Whenever a person within the criminal jurisdiction of the 

Tribe is convicted of an aggravated or serious misdemeanor, such 

person shall be sentenced to a term of imprisonment not to exceed 

one year or to a criminal fine not to exceed five thousand dollars, 

or both such imprisonment and fine. 

(c) For purposes of paragraphs (a) and (b) of this section, 

the term "person" shall mean a member of the Tribe or an Indian who 

is not a member of the Tribe. 

(d) Whenever a person or entity within the civil jurisdiction 

of the Tribe violates any provision of this Ordinance, any rule or 

regulation of the Commission, any provision of any class I11 gaming 

compact entered into between the Tribe and the State of Alaska, or 

engages in any activity proscribed under such Ordinance, rules or 

regulations or compact, such person or entity shall be subject to 

a civil fine or license suspension or license revocation or both 

a civil fine and license suspension or revocation. The Commission 

shall establish, enforce, and impose such schedule of civil fines 

as may be necessary to assure compliance with the provisions of 

this Ordinance, the rules and regulations of the Commission, and 

any class I11 gaming compact entered into between the Tribe and the 

State of Alaska. Upon determining that a person or entity may be 

the subject of a civil fine, the Commission or its agents or 

employees may immediately attach the personal property of such 

person or eotity of a value sufficient to satisfy the applicable 

fine, and hold such property until a final determination is made 

on whether such person or entity shall be required to pay a civil 

fine. Nothing in any schedule of fines established by the 

Commission shall be deemed to limit the amount of any civil fine 

that may be imposed by a tribal court or by the Commission upon a 

finding that a person or entity has violated any provision of this 

Ordinance, any rule or regulation of the Commission, or any 

provision of any class I11 gaming compact entered into between the 
Tribe and the State of Alaska. 

(e) A violator shall be required to pay court costs or 

Commission costs, as the case may be, storage fees and auction or 

sales fees. 

(f) No fine shall be assessed or any action taken for any 

violation of this Ordinance, any rule or regulation issued pursuant 

thereto, or any provision of a class I11 gaming compact entered 

into between the Tribe and the State of Alaska unless a charge or 

complaint is filed with the Commission or a tribal court, as the 

case may be, within three years of the commission of the violation. 

Section 7.07 Forfeiture of property. 

(a) Anything of value, including all traceable proceeds, 

including but not limited to, real and personal property, moneys, 

negotiable instruments, securities, and conveyances belonging to 

any person or entity, is subject to forfeiture to the Tribe if the 

item was used for any of the following: 

(1) In exchange for a bribe intended to affect the 

outcome of a gambling game; or 

(2) In exchange for, to facilitate, or in connection with 

a violatior of this Ordinance, any rule or regulation of the 

Commission, any provision of any class I11 gaming compact entered 

into between the Tribe and the State of Alaska, or in taking any 

action proscribed under such Ordinance, rules or regulations or 

compact; or 

(3) In exchange for, to facilitate, or in connection with 

a violation of any management contract with the Tribe. 

(b) All moneys, coin, and currency found in close proximity 

of wagers, or of records of wagers are presumed forfeited. The 

burden of proof is upon the claimant of the property to rebut this 

presumption. 

(c) Subsections (a) and (b) do not apply if the act or 

omission which would give rise to the forfeiture was committed or 

omitted without the owner's knowledge or consent. 

(dl Upon determining that the property of a person or entity 

may be subject to forfeiture, the Commission or its agents or 

employees may immediately seize such personal property of the 

person or entity as may be subject to forfeiture, and hold such 

property until a final determination is made on whether such 

property is to be forfeited to the Tribe. 

(e) Within five (5) days following the seizure of any property 

that may be subject to forfeiture, the Commission shall notify the 
person or entity from whom such property was seized and, if 

different, the owner of such property, if known, of a hearing 

before the Commission to determine whether the property was used 

for any of the purposes described in paragraph (a) of this section. 

The hearing shall be held no later than fifteen (15) days following 

the date of seizure of the property, provided that the Commission 

may extend this time for not more than an additional fifteen (15) 

days if an investigation into the circumstances of the use of the 

property has not been completed. 

(1) At any hearing, the person or entity from whom the 

property was seized and, if different, the owner of the property 

shall have an opportunity to be heard, including an opportunity to 

present oral and documentary evidence, cross-examine witnesses and 

present oral arguments within limits established by the Commission. 

(2) When holding a hearing under this subsection, the 

Chairman of the Commission or any presiding Commissioner may 

administer oaths and affirmations, issue subpoenas to compel the 

attendance of witnesses or procure the production of documents, 

and take such other action as may be necessary to conduct the 

hearing in a manner most likely to result in a fair disposition. 

(3) Whenever a preponderance of the evidence introduced 

at a hearing supports the conclusion that seized property was used 

for any of the purposes described in paragraph (a) of this section, 

the Commission shall issue an order forfeiting such property to 

the Tribe. 

( f) Upon receipt of forfeited property, the Tribe shall permit 

an owner or liensolder of record having a nonforfeitable property 

interest in the property the opportunity to purchase the property 

interest forfeited. If the owner or lienholder does not exercise 

the option under this subsection within thirty (30) days the option 

is terminared, unless the time for exercising the option is 

extended by the Tribe. 

(g) A person having a valid, recorded lien or property 

interest in forfeited property, which has not been purchased 

pursuant to subsection (f), shall either be reimbursed to the 

extent of the nonforfeitable interest or to the extent that the 

sale of the item produces sufficient revenue to do so, whichever 

amount is less. The sale of forfeited property should be conducted 

in a manner which is commercially reasonable and calculated to 

provide a eufficient return to cover the costs of the sale and 

reimburse any nonforfeitable interest. The validity of a lien or 

property interest is determined as of the date upon which property 

becomes forfeitable. 

(h) ThLs section does not preclude a civil suit by an owner 

of an interest in forfeited property against the party who, by 

using the property for any of the purposes described in paragraph 
(a) of this section, caused the property to become forfeited to the 

Tribe. I