Courtney Moyah, Executive Director 

Gila River Gaming Commission 

5550 Wild Horse Pass 

Box 5081 

Chandler, Arizona 85226 

RE: Amendments to the Gila River Indian Community Gaming Ordinance 

Dear Mr. Moyah: 

This letter is in response to the Gila River Indian Community's (Community) request that 

the National Indian Gaming Commission (NIGC) review and approve amendments to the 

Community's Ordinance No. GR-09-96 (Ordinance), certified by the Community Council 

on November 5,2003, pursuant to Resolution GR-01-03. The Chairman of the NIGC 

approved the Ordinance in 1994 and earlier amendments in 1995 and 1997. 

The amendments to the Ordinance were adopted to align key provisions of the Tribal-State 

Compact with the Ordinance. This letter constitutes our approval under the Indian Gaming 

Regulatory Act (IGRA). 

ents to the Community's Gaming Ordinance. The 

orking with you and the Gila River Indian 

RA. If you have questions or require further assistance, 

\plrlip N. Hogen 

Chairman 

NATIONAL HEADQUARTERS 1441 L St. NW, Suite 9100. Washington. DC 20005 Tel: 202.632.7003 Fax: 202.632.7066 www.Nlcc.Gov 

REGIONAL OFFICES Portland. OR: Sacramento. CA: Phoenix, AZ: St. Paul. MN; Tulsa. OK 
GILA RIVER INDIAN COMMUNITY 

SACATON. AZ 85247 

ORDINANCE GR-01-03 I:&:,, 

/ -. -1,. 

AN ORDINANCE AUTHORIZING AND APPROVING THE REVISION OF THE c;?,; ., -'> 

GILA RIVER INDIAN COMMUNITY GAMING ORDINANCE GR-09-96 

WHEREAS, the economic well-being and prosperity of members of the Gila River 

Indian Community (the "Community") is a concern of the Highest priority 

to the Community Council; and 

WHEREAS, the Community Council is empowered by the Community's Constitution 

and By-Laws of 1960 to pass ordinances as necessary; and 

WHEREAS, the Community Council adopted the Gaming Ordinance, GR-01-94 on 

January 19, 1994, which was amended on March 23, 1994, by Resolution 

No. GR-04-94, which was then subsequently amended again on December 

24, 1996, by Resolution No. GR-09-96; and 

WHEREAS, the Community entered into a Tribal-State Gaming compact with the State 

of Arizona under which the community operates and regulates Class I11 

gaming on the Gila River Indian Reservation on December 4,2002; and 

WHEREAS, the Tribal-State Gaming Compact of 2002 establishes new requirements 

and standards that are not sufficiently addressed or considered in the 

Gaming Ordinance; and 

WHEREAS, the Gila River Gaming Commission has conducted a complete and 

thorough review of the Gaming Ordinance and has proposed amendments 

and revisions to the Gaming Ordinance to satisfy the requirements of the 

Tribal-State Compact of 2002. 

NOW, THEREFORE BE IT RESOLVED, that the rcvision of, and amendments to the 

'Gaming Ordinance, GR-09-96 are hereby approved and adopted to 

govern, regulate and control gaming activities in the Community. 

BE IT FURTHER RESOLVED, that the Gaming Ordinance, as amended shall become 

effective in accordance with the Constitution of the Gila River Indian 

Community and upon approval by the Chairman of the National Indian 

Gaming Commission. 

BE IT FINALLY RESOLVED, the Governor or, in the absence of the Governor, the 

Lieutenant Governor or designee, is hereby authorized to sign and 

otherwise execute all documents necessary to implement the intent of this 

Resolution. 
GILA RIVER INDIAN COMMUNITY 

ORDINANCE GR-01-03 

PAGE 2 

CERTIFICATION 

Pursuant to authority contained in Article XV, Section 1, (a), (7), (9), (12), (18) and 

Section 4 of the amended Constitution and Bylaws of the Gila River Indian Community, 

ratified by the Tribe January 22, 1960 and approved by the Secretary of the Interior on 

March 17, 1960, the foregoing Resolution was adopted this 9 day of November, 2003, 

at a Regular Community Council Meeting held in District 3, Sacaton, AZ, at which a 

quorum of 13 Members were present by a vote of: 12 FOR; &OPPOSE; 1 ABSTAIN; 4 

ABSENT; 2 VACANCY. 

GILA RIVER INDIAN COMMUNITY 

ATTEST: 

ITY COUNCIL SECRETARY 
RIVER 

GILA RIVER INDIAN COMMUNITY 

GAMING ORDINANCE GR-04-94 

SAC 

CONSOLIDATED GAMING ORDINAhrCE GR-01-94 

WHEREAS, the economic well-being and prosperity of members of the Gila River 

Indian Community (the "Community") is a concern of the highest 

priority to its governing Council (the "Community Council"); and 

WHEREAS, the Co~nrnunity Council, empowered by the Community's Constitution and 

Bylaws (1960) to pass ordinances toward the fulfillment of its powers, 

hereby enacts this Ordinance in order to set the terms for the conduct 

of gaming operations on Community lands; and 

WHEREAS, the Community Council is fully e~~powered pursuant to act in matters 

related to the Community's commercial activities pursuant to; and 

WHEREAS, the Community, in order to optimize employment opportunities for its 

members and produce revenues to suppcrt the provision of essential 

tribal services, desires to estaklish a gaming enterprise which 

includes the conduct of Class :I and Class 111 gaming as such term 

are defined in the Indian Gaming Regulatory Act, Public Law 100-497, 

25 3.S.C. §§ 2701 ex sm. (the "Act") and by the regulations 

promulgated by the National Indian Gaming Commission at 25 C.F.R. 

Section 502.3 (as published in the Federal Register at 57 FR 12382- 

12393, April 9, 1992) (the "Regulations"); and 

WHEREAS, the Community entered into a fully executed compact with the State of 

Arizona providing for the joint regulation of Class I11 gaming on the 

Gila River Indian Reservation (the "Reservation") on July 6, 1993 (the 

"Compact"); and 

WHEREAS, the Community recognizes that the economic success of a gaming 

el~terprise is wholly reliant on its fair and effective regulation by 

the jurisdictions in which such enterprise is located; and 

WHEREAS, by e~lactment of the Consolidated Gaming Ordinance GR-01-94 the 

Community Council delegated the authority to the Governor and the 

General Counsel to respond to changes required by the National Indian 

Gaming Commissicn and when any such changes or amendments were made 

that the Community Council would be advised of the changes no later 

than the next regularly scheduled Community Council meeting; and 
Gila River Indian Community 

Gaming Ordinance GR-04-94 

Page 2 

WHEREAS, the Governor and the General Counsel have submitted changes in the 

nature of amendments to the National Indian Gaming Commission and 

these changes have been found to be acceptable. 

NOW THEREFORE BE IT RESOLVED, that the Community Council hereby adopts the 

attached amendments to the Consolidated Gaming Ordinance GR-01-94 for 

the regulation of Class I1 and Class I11 gaming on the Reservation and 

in compliance with the provisions of the Act and the Compact. 

00.202 USE OF GAMING REVENUE 

A. Net revenues from Class I1 and Class I11 gaming shall be used 

only for the following purposes: 

C. The Executive Director is designated the agent of the 

Commission and is authorized to accept service of process for 

the Commission. 

14. Fingerprints consistent with procedures adopted by the 

Commission and in accordance with 25 C.F.R. Section 522.2 (h) 

shall be taken by personnel of Law Enforcement Services, Pima 

Agency, Bureau of Indian Affairs, Department of Interior. 

F. BACKGROUND INVESTIGATIONS OF KEY EMPLOYEES AND PRIMARY 

MANAGEMENT OFFICIALS - DESCRIPTION OF PROCEDURES 

The procedures for background investigation of key employees 

and primary management officials are as follows: 

1. The Commission is responsible for conducting background 

investigations and suitability determinations in 

accordance with the Act and the Compact. 

2. The Commission delegates the responsibility to and 

directs and authorizes its Executive Director and the 

Commission investigative staff to conduct background 

investigations and suitability determinations and they 

shall: 

a. conduct and cause to be conducted background 

investigations; 

b. review and approve the investigative work done; 
Gila River Indian Community 

Gaming Ordinance GR-04-94 

Page 3 

BACKGROUND INVESTIGATIONS (con't.) 

c. report the results of background investigations to 

the National Indian Gaming Commission; 

d. obtain and process fingerprints; and 

e. make suitability determinations. 

3. The Commission was established pursuant tothis Ordinance 

by the Community Council and the Commissioners were 

selected by the Community Council in accordance with 

Chapter 3 above. The Executive Director shall be 

selected by the Commission and the Commission shall have 

the power to terminate the Executive Director. The 

investigative staff shall be hired by the Executive 

Director in accordance with Section 00.320 of this 

Ordinance. 

4. The investigative procedure shall include but not be 

limited to the following: 

a. Verify by written or oral communication information 

submitted by applicant. 

b. Inquire into the applicant's prior activities, 

criminal record, if any, and reputation, habits and 

associations; interview a sufficient number of 

knowledgeable people such as former employers, 

personal references, and others to whom referred in 

order to provide a basis for the Commission to make 

a finding concerning the eligibility for employment 

in a gaming operation. 

c. Document the disposition of all potential problem 

areas noted and disqualifying information obtained. 

5. Prepare investigative reports setting forth the 

following: 

a. Steps taken in conducting the background 

investigation; 

b. Results obtained; 

c. Conclusions reached; and 

d. The bases for those conclusions. 

00.1005 PATRON DISPUTES 

A. REFUSAL TO PAY WINNINGS 

Whenever the Tribal Gaming Enterprise authorized to operate 

a Class I1 or Class I11 gaming facility by the Commission 

refuses payment of alleged winnings to a Patron, and the 
Gila River Indian Community 

Gaming Ordinance GR-04-94 

Page 4 

REFUSAL TO PAY WINNINGS (con't.) 

Tribal Gaming Enterprise and the Patron are unable to resolve 

the dispute to the satisfaction of the Patron and the dispute 

involves : 

1. At least five hundred dollars ($500), the Tribal Gaming 

Enterprise shall immediately notify the Commission in 

writing specifically stating the circumstances of the 

disputed winnings, the issues in dispute, and the grounds 

on which the Tribal Gaming Enterprise bases its decision 

not to pay. The Commission shall conduct whatever 

investigation it deems necessary and shall determine 

whether payment should be made; or 

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

Enterprise shall inform the Patron of his or her right to 

request that the Commission Office conduct an 

investigation. Upon request of the Patron, the 

Commission shall direct the Gaming Enterprise to prepare 

and submit to the Commission within ten (10) business 

days a statement explaining with specificity the 

circumstances of the disputed winnings, the issues in 

dispute, and the grounds on which the Tribal Gaming 

Enterprises bases its decision not to pay. 

In any event, the Patron in such a dispute may submit for 

consideration by the Commission, a statement explaining with 

specificity the circumstances of the disputed winnings, and 

the issues in dispute. 

NOTICE TO PATRONS 

The Commission shall mail written notice by certified mail, 

return receipt requested, tothe Tribal Gaming Enterprise and 

the Patron of the decision resolving the dispute within 

thirty (30) days following the date the Commission first 

receives notification from the Tribal Gaming Enterprise or a 

request to conduct an investigation from the Patron. 

EFFECTIVE DATE OF DECISION 

The decision of the Commission is effective on the date it is 

received by the aggrieved party as reflected on the return 

receipt as posted. 

REVIEW OF DECISION 

Within thirty (30) days following the date of receipt of the 

Commission's written decision, the aggrieved party may file 

a petition with the Commission requesting a review of the 

decision. The Commission may set a hearing on the matter or 

may make a decision based solely upon the prior decision and 

other documentation provided by the Patron and the Tribal 

Gaming Enterprise. The Commission shall then issue a written 

decision and mail it to the parties. The decision of the 
Gila River Indian Community 

Gaming Ordinance GR-04-94 

Page 5 

REVIEW OF DECISION (con't.) 

Commission shall be final and binding upon the Patron and the 

Tribal Gaming Enterprise and shall not be subject to judicial 

review, dispute, resolution or other legal action. 

00.530 PROTECTION OF THE ENVIRONMENT AND PUBLIC HEALTH AND SAFETY 

Class I1 and Class 111 gaming facilities shall be 

constructed, maintained and operated in a manner that 

adequately protects the environment and the public health and 

safety in accordance with 25 C.F.R. 5 522.4 J (b) (7). 

BE IT FURTHER RESOLVED, that the Community Council hereby reaffirms its 

delegation of authority to the Governor and the General Counsel to 

submit changes in the nature of amendments to the National Indian 

Gaming Commission. 

CERTIFICATION 

Pursuantto authority contninedin Article XV, Section 1, (a), (5). (9), (12). (13). (In), (19); Section I (b), (3), (S), (6), (11). and (9); and Section 

4 of the amended Constitution and Bylaws of Ihc Gila River Indian Community, ratified by the Tribe January 22, 1960 and approved by the 

Secretary of the lntcrior on March 17, 1960, thc foregoing Ordinance was adoptcd chis 23rd day of MARCH. 1994 , at a Spccial Community 

Council meeting held in District #3. Sacaton. Arizona , at which a quorum of& members were present by a vote of2 FOR;A OPPOSE; 

- 1 ABSTAIN; 3 ABSENT; 2 VACANCY. 

GlLA RIVER INDIAN COMMUNITY 

ATTEST: 

APPROVED : APfl Li 5 1994 ' 

h 

~uperintendeht, 

VJ \b-- Pima Agency 

This Gila River Indian Community Gaming Ordinance regulates 

the conduct of gaming on zhe Gila River Indian Community 

Reservation. The 2003 amendments to the Gila River Gaming 

Ordinance implement the new requirements in the Gila River Indian 

Community-State of Arizona Gaming Compact of December, 2002. 
GILA RIVER INDIAN COMMUNITY 

GAMING ORDINANCE 

GR-09-96 

TABLE OF CONTENTS 

CHAPTER 1 . RULE OF INTERPRETATION AND DEFINITIONS .............. 1 

00.101 INTERPRETATION AND DEFINITIONS AS 

USED IN THIS TITLE ................................... 1 

00.102 CALCULATION OF TIME ................................. 12 

00.103 EFFECTIVE DATE ....................................... 12 

CHAPTER 2 . GENERAL ................................................... 12 

00.201 OWNERSHIP OF GAMING ENTERPRISES ON THE 

RESERVATION ........................................... 12 

00.202 USE OF GAMING REVENUE ............................... 12 

CHAPTER 3 . GILA RIVER GAMING COMMISSION .......................... 13 

00.301 GILA RIVER GAMING COMMISSION ...................... 13 

00.302 NECESSARY POWERS ..................................... 13 

00.303 COMPOSITION OF THE COMMISSION ..................... 15 

00.304 TERMS OF COMMISSIONERS .............................. 15 

00.305 SELECTION OF OFFICERS ............................... 16 

00.306 RESIGNATION OF COMMISSIONERS ...................... 15 

00.307 REMOVAL BY THE COMMUNITY COUNCIL .................. 16 

00.308 VACANCIES ........................................ 16 

00.309 REQUIREMENTS FOR COMMISSION MEMBERSHIP .......... 16 

00.310 COMMISSIONERS BARRED FROM GAMING ON 

RESERVATION ........................................... 17 

00.311 OATH OF OFFICE ....................................... 17 

00.312 COMPENSATION .......................................... 17 

00.313 GENERAL MEETINGS ..................................... 17 

00.314 SPECIAL MEETINGS ..................................... 12 

00.315 MOTIONS AND RESOLUTIONS ............................ 18 ... 00.316. QUORUM ................................................. 18 

00.317 QUARTERLY REPORTS .................................... 1% 

CO . 318 REGULATIONS ........................................... 18 

00.319 MAINTENANCE OF BOOKS AND RECORDS .................. 20 

00.320 PERSONNEL ........................................ 21 

00.321 THE EXECUTIVE DIRECTOR .............................. 21 

00.322 COOPER4TION WITH LAW ENFORCEMENT AGENC1E:S ....... 23 

CHAPTER 4 . LICENSING PROCEDURES .................................... 23 

00.401 LICENSING REQUIREMENTS, GENERALLY ................ 23 

00.402 LICENSE APPLICATION ................................. 23 
CHAPTER FIVE . 00.501 

APPLICATION AND INVESTIGATIVE FEES ............... 28 

SUMMONING OF AP!?LICANTS ............................ 28 

HEARING ON APPL'CCATIONS ............................ 28 

WITHDRAWAL OF A'l?PLICATION .......................... 29 

APPLICATION FOR LICENSE AFTER DENIAL ............. 29 

APPLICATIONS FO:'.i EMPLOYMENT AFTER REVOCATION 30 ... UNSUITABLE AFFILIATES ............................... 30 

STANDARDS FOR LICENSING ............................ 30 

LICENSING OF A NATURAL PERSON UNDER THE AGE 

OF EIGHTEEN ........................................... 30 

BACKGROUND INVESTIGATION ........................... 30 

GRANTING A GAMING LICENSE .......................... 33 

LICENSE SUSPENSION AND REVOCATION ................ 34 

IMMEDIATE SUSPENSION ................................ 35 

COMPLAINT; SERVICE OF PROCESS ..................... 36 

[deleted] ........................................ 36 

SUBPOENAS ........................................ 36 

HEARING. WRITTEN DECISION .......................... 36 

SURRENDER OF LICENSE ................................ 37 

ADDITIONAL SANCTIONS ................................. 37 

ADVERSARY PROCEEDINGS OF THE COMMISSION ......... 37 

CONDUCT OF ADVERSARY HEARINGS ..................... 41 

EVIDENCE: ADMISSIBILITY ............................ 42 

EVIDENCE: AUTHENTICATION AND IDENTIFICATION 42 .... FAILURE OR REFUSAL TO TESTIFY ..................... 43 

CONTINUANCES .......................................... 43 

DEFAULTS .............................................. 43 

STANDARDS OF PROOF .................................. 44 

DECISIONS OF THE COMMISSION ........................ 44 

PENALTIES ........................................ 44 

RIGHT TO APPEAL TO COMMUNITY COURT ............... 45 

CONDUCT OF CLASS I1 AND CLASS I11 GAMING ........ 45 

FINANCIAL PRACTICES AND REPORTING OF GAMING 

ENTERPRISES ; MONTHLY XPORTS ...................... 45 

MAINTENANCE OF GAMING ENTERPRISE FINANCIAL 

lNFORMATION ................ .., ......................... 45 

MAINTENANCE OF BOOKS AND RECORDS; COMMISSION 

ACCESS ................................................. 46 

ALLOWABLE OPERATING EXPENSES ...................... 46 

DEPOSIT OF GROSS RECEIPTS; PAYMENT OF 

OPERATING EXPENSES .................................. 47 

ANNUAL AUDIT .......................................... 47 

AUDIT OF CONTRACTS .................................. 48 

DISPOSITION OF NET CASH 3ECEIPTS .................. 48 

COMPLIANCE WITH THE INTERNAL REVEN'JE CODE ....... 49 

[deleted] ......................................... 49 

NAME TAGS ............................................. 49 
QUALIFICATION FOR EMPLOYMENT; TESTING ............ 4 9 

PREFERENCE IN EMPLOYMENT ........................... 50 

ADVERTISEMENT OF POSITIONS ......................... 50 

PERSONNEL POLICIES .................................. 50 

REPORT OF LEASES ..................................... 50 

EMPLOYEE REPORT ...................................... 51 

LOANS TO GAMING ENTERPRISES ........................ 52 

AUTHORIZED GAMING; OPERATIONAL REQUIREMENTS .... 52 

PUBLICATION OF PAYOFFS .............................. 53 

GAMING BY PRINCIPALS AND EMPLOYEES ............... 54 

TRANSFER OF INTEREST BY LICENSEES ................ 54 

GAMING DEVICES ....................................... 54 

REGULATION OF CHIPS AND TOKENS .................... 55 

USE OF CHIPS AND TOKENS ............................ 57 

REDEMPTION AND DISPOSAL OF DISCONTINUED CHIPS 

AND TOKENS ............................................ 59 

DESTRUCTION OF COUNTERFEIT CHIPS AND TOKENS .... 59 

OTHER GAMING EQUIPMENT .............................. 60 

PREMISES OPEN TO COMMISSION ........................ 60 

PROTECTION OF THE ENVIRONMENT AND PUBLIC 

HEALTH AND SAFETY .................................... 60 

LEGAL AGE FOR GAMING ................................ 60 

CIIAPTER 6 . CONDUCT OF CLASS I1 GAMES .............................. 60 

00.601 MERCHANDISE PRIZES .................................. 60 

00.602 PRIZE PURCHASE PRICES ............................... 61 

00.603 NO LIMIT ON PRIZES .................................. 61 

00.604 CLASS I1 RULES OF PLAY .............................. 61 

00.605 PLAYERS ENTITLED TO VERIFICATION .................. 62 

CHAPTER 7 . ACCOUNTING PROCEDURES .................................. 62 

00.701 [deleted] ............................................. 62 

00.702 ACCOUNTING RECORDS .................................. 62 

00.703 [deleted] ............................................. 63 

00.704 INTERNAL CONTROLS .................................... 63 

00.705 [deleted] ............................................. 64 

00.706 FINANCIAL SERVICES FOR CUSTOMERS .................. 64 

CIULPTER 8 . CLASS I GAMING ........................................... 64 

00.801 CLASS I GAMING ....................................... 64 

00.802 CLASS I GAMES EXEMPT FROM PROVISIONS OF THIS 

TITLE .................................................. 64 

CliAPTER 9 . CRIMES AND LIABILITIES CONCERNING GAMING ............ 65 

00.901 FaUDULENT ACTS ...................................... 65 

00.902 USE OF DEVICE FOR CALCULATING PR03ABILITIES .... 67 

00.903 USE OF COUNTERFZIT OR UNAPPROVED CHIPS OR 

TOKENS OR UNLAWFUL COINS 04 DEVICES; 
POSSES,SION OF CERTAIN DEVICES, EQUIPMENT, 

PRODUCTS OR MATERIALS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67 

CHEATING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 8 

UNLAWFUL MANUFACTURE, SALE, DISTRIBUTION, 

MARKING, ALTERING OR MODIFICATION OF 

EQUIPMENT AND DEVICES ASSOCIATED WITH GAMING; 

UNLAWFUL INSTRUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68 

00.906 PENALTIES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 9 

00.907 PROVIDING FALSE INFORMATION; OBSTRUCTION OF 

JUSTICE ................................................ 69 

00.908 DETENTION AND QUESTIONING OF PERSONS 

SUSPECTED OF VIOLATING CHAPTER; LIMITATIONS 

ON LIABILITY; POSTING OF NOTICE . .. . . . .. . .. . . . . . . . . 69 

00.909 DISPOSITION OF EVIDENCE SEIZED BY AGENT OF 

THE TRIBAL GAMING AGENCY OR THE STATE GAMING 

AGENCY ................................................. 70 

CHAPTER 10 - JURISDICTION; STANDARD OF REVIEW . . . . . . . . . . . . . . . . . . . . 71 

00.1001 JURISDICTION IN THE COMMUNITY COJRT .............. 71 

00.1002 COMMUNITY COURT REVIEW LIMITED TO THE RECORD 

OF THE COMMISSION PROCEEDINGS . . . .. . . . .. . .. . . . . . . . . 72 

00.1003 VIOLATIONS; JURISDICTION; ENFORCEMENT OF 

SUBPOENAS ............................................. 73 

00.1004 ENFORCEMENT OF COMMISSION SUBPOENAS . . . . . . . . . . . . . . 73 

00.1005 PATRON DISPUTES . . . . . . . . . .. . . . . . . . . . ... . . .. . . . . . . . . . . . 74 

0 0.100 6 PATRON TORT DISPUTES PROCEDURES . . . . . . . . . . . . . . . . . . . 75 
CHAPTER 1 - RULE OF INTERPRETATION AND DEFINITIONS 

00.101 INTERPRETATION AND DEFINITIONS AS USED IN THIS TITLE 

A. Unless a different meaning is clearly indicated, the 

terms used herein shall be interpreted to have the same 

meaning as in the Indian Gaming Regulatory Act, Public 

Law 100-497, 25 U.S.C. Sections 2701 et seq. and the Gila 

River Indian Community-State of Arizona Gaming Compact. 

B. Definitions as used in this title 

1. Act shall mean the Indian Gaming Regulatory Act, as 

enacted by Public Law 100-497, and codified at 25 

U.S.C. Sections 2701 sea. 

2. Applicant shall mean any person who or organization 

which has applied for or intends to apply for a 

License or Certification under the provisions of 

this Title, or employment with a Tribal Gaming 

Enterprise on the Reservation, or approval of any 

transaction required or permitted under the 

provisions of the Act, the Compact, or this Title. 

3. Application shall mean a request for the issuance 

of a License, or Certification or for employment by 

a Tribal Gaming Enterprise located on the 

Reservation, or for approval of any act or 

transaction for which approval is required or 

permitted under the provisions of the Act, the 

Compact or this Title. 

4. Bingo Equipment shall mean, with respect to bingo 

gaming, the receptacle from which markers 

designating numbers or other figures in play are 

drawn; the master board upon which such objects are 

placed as drawn; the cards or sheets bearing 

numbers or other designations to be covered during 

play and the objects used to cover them; the board 

or signs, however operated, used to announce 

selected numbers or designations as they are drawn; 

the public address system employed during play; and 

all other articles employed in the conduct and 

playing of bingo. 

5. Board of Directors shall mean the management board 

of a Tribal Gaming Enterprise located on the 

Reservation. 
6. Cheat shall mean any act committed with the 

intengion of a.Ltering the selection of criteria 

which determine: 

a. the result of a game subject to the provisions 

of this Title; or 

b. the amount or frequency of payment in a game 

subject to the provisions of this Title. 

7. Chip shall mean a non-metal or partly metal 

representative of value, redeemable for cash and 

issued and sold by a Gaming Enterprise located on 

the Reservation, for use at table or counter games 

at the Gaming Enterprise. 

8. Class I Gaming means gaming defined as Class I 

Gaming in section 4(6) of the Act, 25 U.S.C. 

§ 2703 (6). 

9. Class I1 Gaming means gaming defined as Class I1 

Gaming in section 4(7) of the Act, 25 U.S.C. 

5 2703 (7) . 

10. Class I11 Gaming means gaming defined as Class I11 

Gaming in section 4 (8) of the Act, 25 U.S.C. 

5 2703 (8). 

11. Commission shall mean the Gila River Gaming 

Commission established at Chapter Three of this 

Title. 

12. Commissioner shall mean a member of the Gila River 

Gaming Commission. 

13. Community shal.1 mean the Gila River Indian 

, Community, and as represented in their authorized 

capacities, its officials, agents and 

representatives. 

14. Community Council shall mean the Gila River Indian 

Community Council, the governing body of the Gila 

River Indian Community. 

15. Community Court shall mean the trial court of the 

Gila River Indian Community established by its 

Constitution. 
16. Community Treasurer shall mean the Treasurer of the 

Gila River Indian Community. 

17. Compact shall mean the Gila River Indian CommunityState of Arizona Gaming Compact of December 4, 2002 

and its appendices, as may from time to time be 

amended. 

18. Constitution shall mean the Constitution and Bylaws 

of the Gila River Indian Community, Arizona (March 

17, 1960), as may be amended from time to time. 

19. Counsel or Attorney. Counsel or Attorney is any 

member of a federally recognized tribe who is 

selected to represent a community member in a 

proceeding before the Commission or any attorney 

who is a member in good standing of the State Bar 

of Arizona. 

20. Distributor shall mean a person who distributes 

Gaming Devices for use or play in a Gaming 

Enterprise. 

Entity shall mean any corporation, firm, 

partnership, limited partnership, trust, or other 

form of business organization other than a Tribal 

enterprise wholly owned by the Community; provided, 

however, that the term shall also include each 

corporation, firm, partnership, limited 

partnership, trust or other form of business 

organization not a natural person which, directly 

or indirectly, owns, has the power or right to 

control or holds the power to vote all or any part 

of the outstanding Equity Securities, partnership 

interests, limited partnership interests or 

beneficial interest in a trust which holds or 

applies for a License or -Certification under the 

provisions of this Title or the Compact. 

22. Equity Security, with respect to each of the 

following shall mean: 

a. Corporation - Any voting stock, or similar 

security; and security convertibje, with or 

without consideration, into sucn a security, 

or carrying any warrant or right to subscribe 

to or purchase such a security; any x&rrsnt or 
r,ight; or any security having a direct or 

indirect p,lrticipation in the profits of the 

issuer. 

b. Limited Partnership - An interest representing 

the right of a general or limited partner to 

receive from a limited partnership: 

(1) a share of the profits; any other 

compensation by way of income; 

(2) a return of any or all of his or her 

contribution to capital of the limited 

partnership; or 

(3) the right to exercise any of the rights 

or powers provided in Title 29 of the 

Arizona Revised Statutes. 

c. Partnership - An interest representing the 

right of a partner to receive from a 

partnership a share of the profits; any other 

compensation by way of income; or a return of 

any or all of his or her contribution to 

capital of the partnership; or the right to 

exercise any of the rights or powers provided 

in Title 29 of the Arizona Revised Statutes. 

23. Executive Director shall mean the Executive 

Director of the Commission. 

24. Fiscal Year shall mean a period of twelve (12) 

consecutive months chosen by a Gaming Enterprise 

located on the Reservation as the accounting period 

for its annual financial repcirts. 

25,. Founding Commissioner shall mean a Commissioner 

appointed when the Commission is first established. 

26. Gaming Activity means all forms of Class I1 or 

Class I11 Gaming conducted within the Reservation. 

27. Gaming Device means a microprocessor-controlled 

electronic device whicn allows a player to play 

games of chsnce, some of which are affected by 

skill, which device is activated by the insertion 

of a coin, currency, Tokens or by the use of a 
credit, and which awards game credits, cash, 

~okeni, replays or a receipt that can be redeemed 

by the player for any of the foregoing. Game play 

may be displayed by: 

(1) Video facsimile; or 

(2) Mechanical rotating reels whereby the software 

of the device predetermines the stop positions 

and the presence, or lack thereof, of a 

winning combination and will pay out, if any. 

28. Gaming Employee shall mean any natural person 

employed by a Gaming Enterprise or employed in the 

operation or management of any Gaming Activity 

including, but not limited to, any person whose 

employment duties require or authorize access to 

restricted areas of a Gaming Facility not otherwise 

open to the public. 

29. Gaming Enterprise or Tribal Gaming Enterprise shall 

mean any enterprise established by the Community to 

conduct Class I1 or Class I11 Gaming on the 

Reservation. 

30. Gaming Equipment shall mean any equipment other 

than a Gaming Device as defined herein, including 

dice, playing cards, equipment which affects the 

proper reporting of gaming revenue, computerized 

systems of betting at a Sports Pool, computerized 

systems for monitoring Gaming Devices, keno 

equipment, and devices for weighing or counting 

money. 

31. Gaming Facility or Gaming Facilities shall mean all 

buildings used in connection with the conduct of 

Gaming Activity on the Reservation. 

.- 

32'. Gaming Operation shall mean any Gaming Activity 

conducted within any Gaming Facility. 

33. Gaming Services shall mean the goods and services 

other than legal services provided in connection 

with the conduct of Gaming Activity on the 

Reservation and shall include without limitation 

Bingo and Gaming Equipment and Gaming Devices, 

transpcrtation, food, linens, janitorial supplies, 

maintenance, and security services for a Gaming 

Enterprise, provided, however, that the Commission 
may by, Regulation exclude any purchases of goods or 

services from the definition of Gaming Services 

where the am0ur.t provided in any single month is 

less than $10,000. 

General Counsel shall mean the General Counsel of 

the Community. 

Generally Accepted Accounting Principles shall mean 

the official pronouncement of the Government 

Accounting Standards Board, the Financial 

Accounting Standards Board and other authoritative 

sources recognized by certified public accountants. 

Generally Accepted Auditing Standards shall mean 

the Auditing Standards as well as the Statements on 

Auditing Standards published by the American 

Institute of Certified Public Accountants. 

Governor shall mean the Governor of the Community. 

Internal Control System shall mean the written 

administrative and accounting procedures 

implemented by a Gaming Enterprise designed to 

provide reasonable assurance regarding the 

safeguarding of assets, effective and efficient 

operations, reliable financial reporting, and 

compliance with applicable laws and regulations to 

ensure effective control over the internal fiscal 

affairs of the Gaming Enterprise. 

Interstate Common Pari-Mutuel Pool shall mean 

pooled Pari-Mutuel Wagers placed at a Track, its 

intrastate betting locations and other 

jurisdictions and Off-Track Pari-Mutuel wagers 

placed and accepted by Pari-Mutuel books. 

Key Employee shall mean a person who performs one 

or more of the following functions: 

a. Bingo caller; 

L. Counting room supervisor; 

c. Chief of Security; 

d. Custodian of gaming supplies or cash; 
e. Floor manager; 

f. Pit boss; 

g. Dealer; 

h. Croupier; 

i. Approver of credit; 

k. Custodian of Gaming Devices, including persons 

with access to cash and accounting records 

within such devices; or 

1. with respect to any other person: 

(a) those receiving cash compensation from 

gaming proceeds in excess of $50,000 per 

year; or 

(b) the four most highly compensated persons 

in a Gaming Enterprise. 

41. Lease shall mean any formal or informal, written or 

oral contract, understanding or arrangement whereby 

a Gaming Enterprise located on the Reservation 

obtains the use or possession of any property, 

whether real or personal, to be used, occupied or 

possessed in connection with such Gaming 

Enterprise. Such term shall also include, any 

payment under a real property lease, personal 

property lease, unsecured note, deed of trust, 

mortgage or a trust indenture, without regard to 

the existence of relationships of affiliation or 

control between the parties thereto. 

42. Lessor shall mean ar,y per_son who Leases or rents 

any property, whether real or personal, to a Gaming 

Enterprise located on the Reservation. 

43. License shall mean an approval, evidenced in 

writing, issued by the Commission to my person or 

organization to be involved in the ccnduzt of 

Gaming Activity or to provide Gaming Services. 

44. Licensee shall mean any natilrai perscjn or Entity 

approved, Licensed, certified cr otherwis~ found 

suitable by the Commission to be involved in the 
conduqt of Gaming Activity or to provide Gaming 

Services to a Gilming Enterprise on the Reservation. 

45. Live Broadcast shall mean an audio and video 

transmission of a race or series of races as 

simultaneously occur at a Track, whether or not 

furnished by a disseminator or for a fee. 

46. Management Contract shall mean a contract within 

the meaning of 25 U.S.C. §§ 2710(d)(9) and 2711. 

47. Management Contractor shall mean a natural person 

or entity that has entered into a Management 

Contract with the Community or a Gaming Enterprise 

which has been approved pursuant to 25 U.S.C. §§ 

2710 (d) (9) and 2711. 

48. Manufacturer shall mean a person who or Entity 

which manufactures Gaming Devices for use or play 

in the conduct of Gaming Activity on the 

Reservation. 

49. Off-Track Pari-Mutuel Wager shall mean a Wager 

placed by a Patron and accepted by the 

corporation's Pari-Mutuel book on a race or races 

offered as part of an Interstate Common Pari-Mutuel 

Pool, whether or not the wager is actually included 

in the total amount of the interstate wagering 

pool. 

50. Patron shall mean any person who is a customer on 

the premises of the Gaming Facility. 

51. Paraphernalia for Manufacturing Slugs shall mean 

the equipment, products and materials intended or 

designed for use in manufacturing, producing, . fabricating, preparing, - testing, analyzing, 

packaging, storing or concealing a counterfeit 

facsimile of the Chips or Tokens approved by the 

Commission or a lawful coin of the United States, 

the use of which is unlawful. The term includes, 

but is not limited to: 

a. lead or lead. ailoys: 
b. molds, forms or similar equipment capable of 

$reducing a likeness of a gaming Token or 

United States coin; 

c. melting pots or other receptacles; 

d. torches; and 

e. tongs, trimming tools or other similar 

equipment. 

52. Pari-Mutuel shall mean a system of wagering on a 

race or sporting event whereby the winners divide 

the total amount wagered, after deducting 

commission, fees and taxes in proportion to the 

amount individually wagered. 

53. Primary Management Official shall mean, with 

respect to a Gaming Enterprise: 

a. any person who has the authority to: 

(1) hire or fire employees; 

(2) establish working policy for the gaming 

operation; or 

b. The chief financial officer or other person 

who has financial management responsibility 

for a Gaming Enterprise. 

54. Principal shall mean with respect to each of the 

following: 

a. Corporation - Each of its officers and 

directors; each of its principa!. management 

employees, including. any chief executive 

officer, chief financial officer, chief 

operating officer, or general manager; and 

each beneficial owner of voting securities. 

b. Limited Partnership - Each general partner and 

each limited partner owning more than ten (10) 

percent of an individual limited partnership 

interest. 

c. Partnership - Each equity hoider or partner. 
d. Proprietorship - Each equity holder. 

e. Publicly Traded Corporation - Each officer, 

director and employee that is, or is to 

become, actively and directly engaged in the 

administration and supervision of, or has or 

is to have any other significant involvement 

with, the activities of a subsidiary that is 

or will be involved with a Tribal Gaming 

Enterprise on the Reservation; and each 

shareholder who owns more than ten (10) 

percent of the voting securities thereof. 

f. Trust - Each trustee and beneficiary. 

g. Natural Person - Each person other than a 

banking institution, insurance company, 

investment company registered under the 

Investment Company Act of 1940, or investment 

banking firm, who has provided financing for 

an Entity constituting more than ten (10) 

percent of the total financing of the Entity. 

55. Procedures shall mean the Gila River Gaming 

Enterprises, Inc. Tort Remedy Procedures for Gaming 

Patrons. 

56. Publicly Traded Corporation shall mean any 

corporation or other legal Entity other than a 

natural person which has one or more classes of 

securities registered pursuant to Section 12 of the 

Securities Exchange Act of 1934, as amended (15 

U.S.C. 5 781), or is an issuer subject to Section 

15(d) of the Securities Exchange Act of 1934, as 

amended (15 U.S.C. § 780). 

57,. Race Book shall mean the- business of accepting 

Wagers upon the outcome of any event held at a 

Track which uses the Pari-Mutuel system of 

wagering. 

58. Regulation shall mean a rule, standard, directive 

or statement mandated to be uniformly applied which 

effectuates the provisions and policy of this 

Title, the Corcpact or 2 policy of the Community. 
59. Reseryation shall mean Gila River Indian Community 

Indian lands as defined by 25 U.S.C. Sections 2703 

(4) (A) and (B), subject to the provisions of 25 

U.S.C. Section 2719. 

60. Sports Pool shall mean the business of accepting 

Wagers on sporting events by any system or method 

of wagering other than the system known as the 

Pari-Mutuel method of wagering. 

61. State shall mean the State of Arizona and, when 

acting in their authorized capacities, its 

authorized officials, agents and representatives. 

62. State Gaming Agency shall mean the agency 

designated by the State in written notice to the 

Community as the single State agency primarily 

responsible for oversight of Class I11 Gaming as 

authorized by the Compact. 

63. Subsidiary shall mean a corporation all or any part 

of the outstanding voting securities of which are 

owned, subject to a power or right of control, or 

held with power to vote, by a publicly traded 

corporation or other holding company. 

64. Title shall mean the Gila River Gaming Ordinance, 

as amended from time to time. 

65. Token shall mean a metal representative of value, 

redeemable for cash, issued and sold by a Gaming 

Enterprise located on the Reservation for use in 

Gaming Devices and table or counter games at a 

Gaming Enterprise. 

66. Tort Claim shall mean a claim arising frcm any 

. alleged personal injury to a Patron or invitee or 

damage to the property of a Patron or invitee at a 

Gaming Facility and excludes all other causes of 

action. 

67. Track shall mean a facility licensed to conduct 

horse or other razing where Pari-Mutuel wagering is 

.zon&izted on such races. Flhere sp?licable, the 

term snall also include Track operators, whether 

natural persons or governmental agencies and 

?ssociations of Track operators. 
68. Wager,shall mean a sum of money or thing or value 

risked on an urlcertain occurrence in Class I1 or 

Class I11 Gaminq. 

00.102 CALCULATION OF TIME 

In computing any period of time prescribed or allowed by this 

Title, the day of the act, event or default from which the 

designated period of time begins to run shall not be included. The 

last day of the period so computed shall be included, unless it is 

a Saturday, a Sunday, or a legal holiday under the Community's 

laws, State law, or federal law, or when the act to be done is the 

filing of or providing access to any report or document, and the 

last day of the period falls on a day in which the weather or other 

conditions have made the offices in which the report or document is 

to be filed inaccessible, in which event the designated period 

shall extend until the end of the next day on which the office is 

accessible.which is not a Saturday, Sunday or legal holiday, and is 

not one of the previously mentioned days. When the period of time 

prescribed or allowed is less than eleven (11) days, intermediate 

Saturdays, Sundays and legal holidays under the Community's laws, 

State law or federal law shall be excluded from the computation 

period. 

00.103 EFFECTIVE DATE 

This Title shall become effective in accordance with the 

Constitution of the Gila River Pima Maricopa Indian Community and 

upon approval by the Chairman of the National Indian Gaming 

Commission. 

CHAPTER 2 - GENERAL 

00.201 OWNERSHIP OF GAMING ENTERPRISES ON THE RESERVATION 

The Community shall have the sole proprietary interest in the 

conduct of any Class I1 or Class 111 Gaming Activity located on the 

Reservation. 

00.202 USE OF GAMING REVENUE 

A. Net revenues from Class I1 and Class 111 Gaming shall be 

used only for the following purposes: 

1. To fund Community government operations and 

programs ; 
2. To proyide for the general welfare of the Community 

and its members; 

3. To promote Community economic development; 

4. To donate to charitable organizations; and 

5. To fund operations of local government agencies of 

the Community. 

B. If the Community elects to make per capita payments to 

Community members, it shall authorize such payments only 

upon approval of a plan submitted to the Secretary of the 

Interior as prescribed according to 25 U.S.C. Section 

2710 (B) (3) . 

C. Any facility housing a Gaming Enterprise shall be 

constructed, ,maintained and operated in a manner that 

adequately protects the environment and the public health 

and safety. 

CHAPTER 3 - GILA RIVER GAMING COMMISSION 

00.301 GILA RIVER GAMING COMMISSION 

The Community Council hereby establishes the Gila River Gaming 

Commission for the purpose of regulating all gaming conducted on 

the Reservation. The Commission is the designated Tribal Gaming 

Office under the Compact. 

00.302 NECESSARY POWERS 

The Commission shall exercise all proper power and authority 

necessary to effectuate the purposes of this Title and the Compact. 

The Commission shall meet with the Executive Director not less than 

once a month to make recommendations and set policy, to approve or 

reject reports of the Executive Direct0.r and to transact other 

business that may be properly brought before it. The Cormnission is 

vested with powers including but not limited to the following: 

A. To permit or refuse permission for the operation or 

conduct, in whole or in part, of Class I1 or Class 111 

Gaming on the Reservation and to specify the conditions 

therefor in accordance with this Title. 

B. To grant, suspend, or revoke Licenses to persons, 

Entities, and Gaming Enterprises in accordance with this 

Title. 
To monitor .and oversze the operation and conduct of all 

Gaming Activity on the Reservation on a continuing basis, 

including ongoing monitoring and oversight of Licensees 

engaged in the operat:ion and conduct of Gaming Activity. 

To inspect and examine all premises at which gaming is 

conducted on the Reservation. 

To conduct or cause to be conducted background 

investigations of persons employed or contracted with in 

relation to the operation or conduct of gaming on the 

Reservation. 

To inspect, examine, photocopy and audit all papers, 

books and records respecting gross receipts of gaming 

activities operated or conducted on the Reservation and 

any other matters necessary to carry out the duties 

pursuant hereto. 

To bring suits in the Community Court to enforce this 

Title, including seeking temporary and permanent orders 

to cease any gaming not authorized by this Title. 

To enter into contracts with Tribal, federal, state and 

private entities for activities and services necessary 

for the discharge of its duties. 

To cooperate with other tribal gaming offices, the State 

Gaming Agency and National Indian Gaming Commission for 

the enforcement of applicable federal and tribal 

regulation of Gaming Activity conducted on the 

Reservation. 

Subject to approval by the Community Council, to 

recommend an annual budget of the Commission. 

Subject to approval by the.-Community Council, to 

establish fees for Applications for Licenses. 

To require, through its powers to subpoena, the 

a.ttendance and testimony of witnesses and the production 

of all books, papers and documents relating to any matter 

under consideration or investigation by the Commission 

and bring actions in the Ccmmunity Court for the 

enforcement of such sub~oenas. 
M. To adminis\er or cause to have administered oaths and 

affirmations to witnesses appearing before the 

Commission. 

N. To hear appeals arising under Subsection 13 (c) and 

Sections 14 of the Compact. 

0. To keep minutes, records and books in which shall be kept 

a true, faithful, and correct record of all proceedings 

of the Commission. 

P. To recommend amendments to this Title to the Community 

Council. 

Q. To submit an annual report to the Community Council 

regarding the activities of the Commission and 

information pertaining to funding, income and expenses of 

the Commission. , 

R. To hire personnel or consultants necessary for the 

effective and efficient operation and conduct of all 

gaming regulated pursuant hereto. 

S. To promulgate Regulations as it deems appropriate to 

implement the provisions herein. 

00.303 COMPOSITION OF THE COMMISSION 

The Commission shall consist of five (5) members appointed by 

a majority of the Community Council. Members of the Commission 

must be enrolled members of the Gila River Indian Community or, if 

not a member therein, a person with experience in gaming 

operations, gaming law, gaming control or regulation, or gaming 

accounting sufficient to specially qualify him or her for 

appointment to the Cornmission. 

00.304 TERMS OF COMMISSIONERS . 

A Commission member shall serve for three (3) years except 

that in order to initially establish an annually staggered 

appointment schedul.e, two (2) of the Founding Commissioners shall 

serve three (3) year terms, two (2) Founding Commissioners shall 

s=.rve two (2) year terms, and one (1) Founding Commissioner shall. 

serve a one (1) year term for the initially appointed terms only. 

Tnere~fcer, ail successive terms of appointments to the Commission 

shall he far three (3) year terms. 
00.305 SELECTION OF OFFICERS 

The Commission shall select annually, by majority vote, a 

Chairperson, a Vice Chairperson, and a Secretary. 

00.306 RESIGNATION OF COMMISSIONERS 

Any Commissioner may resign at any time by giving written 

notice which specifies the intended effective date of such 

resignation to the Secretary of the Commission and, by copy, notice 

to the Governor and the Community Council. The resignation shall 

become effective at the time specified in such notice, and the 

acceptance by the Commission or the Community Council of such 

resignation shall not be necessary to make it effective. 

00.307 REMOVAL BY THE COMMUNITY COUNCIL 

A Commissioner may be removed, with or without cause, from 

office prior to the expiration of his or her term by a majority 

vote of the Community Council, but no Commissioner may be so 

removed on account of the exercise of reasonable judgment by a 

Commissioner on a matter within the Commission's responsibility. 

VACANCIES 

Any unexpired portion of a Commissioner's term of office, 

howsoever caused, shall be filled by a person qualified pursuant to 

Sections 00.303 and 00.309 hereof appointed by a majority of the 

Community Council. 

00.309 REQUIREMENTS FOR COMMISSION MEMBERSHIP 

A. Commissioners may not hold office in or be employed by 

the Community, nor may they engage in any business which 

is subject tc Regulation pursuant to the provisions of 

this Title. 

B. .No' person shall be eligible or qualified to serve or 

continue to serve as a Commissioner or as an appointee or 

employee of the Commission who: 

1. has been convicted of a felony or a gaming offense; 

2. has any financial interest in or management 

responsibility for any Gaming Activity; 

3. has knowingly and willfully provided materially 

important false statements or information or 
omitted materially important information on his or 

her bickground questionnaire; or 

4. is determined to be a person whose prior 

activities, criminal record, if any, or reputation, 

habits, and associations pose a threat to the 

public interest or to the effective regulation and 

control of gaming, or create or enhance the dangers 

of unsuitable, unfair, or illegal practices, and 

methods, and activities in the conduct of gaming or 

the carrying on of the business and financial 

arrangements incidental thereto. 

C. No person shall be considered for appointment as a 

Commissioner until the person completes a background 

questionnaire and it is provided to the Community 

Council. 

00.310 COMMISSIONERS BARRED FROM GAMING ON RESERVATION 

A Commissioner may not patronize either directly or through 

another party any Class 11 or Class I11 games conducted on the 

Reservation, have any personal financial interest whatever in any 

game or gaming engaged in by a Patron of games conducted on the 

Reservation, or have any financial interest in any Entity 

doing business with any Licensee. 

00.311 OATH OF OFFICE 

Before undertaking the discharge of his or her duties, each 

Commissioner shall take the oath of office set forth at Section 

Eleven of the Constitution. 

00.312 COMPENSATION 

Commissioners shall be compensated in the same manner and wiEh 

the same benefits as members of the Community Council at a rate to 

be establ.ished annually by the community'-council. Commissioners 

shall be reimbursed for actual expenses incurred in the coursz of 

conducting Commission business, including necessary and reasonable 

travel expenses, in accordance with the Comiiunity's Travel Expense 

Poiicy . 

93.313 GENERAL MEETINGS 

General meetings of the Commission shall be opsn to the public 

and all meetings shall be governed by Roberts Rules of Order. The 
Commission may condyct portions of its meetings in executive 

sessions held pursuant to proczdures the Commission adopts. 

00.314 SPECIAL MEETINGS 

The Chairperson of the Commission shall have the power to 

convene special meetings of the Commission upon 72 hours written 

notice or notice by telephone to Commission members. 

00.315 MOTIONS AND RESOLUTIONS 

The powers of the Commission are vested in the Commissioners. 

All official actions of the Commission shall be taken by motion or 

resolution approved by majori.ty vote of the Commission. The 

Commission shall meet at the call of the Chairperson or a majority 

of its members, but shall meet at least once a month. 

00.316 QUORUM 

A quorum of members of the Commission shall consist of three 

(3) members. All decisions shall be made by a majority vote of 

Commissioners present at a meeting. 

00.317 QUARTERLY REPORTS 

The Commission shall make quarterly reports to the Community 

Council within forty five (45) days following the close of each 

calendar quarter. The Chief' Executive Officer of a Gaming 

Enterprise shall cooperate with the Commission in the preparation 

of the reports. The Commission's reports to the Community Council 

shall include: 

A. A full and complete statement of revenues collected by 

all Tribal Gaming Enterprises, expenses and all other 

financial transactions of such Gaming Enterprises as 

reported to the Commission; and 

B. . A summary of all licensing and enforcement actions taken 

by the Commission. 

00.318 REGULATIONS 

The Commission is empowered to adopt, amend and rescind 

Rsgulatioris to effectuate the provisions of the Compact and this 

Title. Within 90 days of the establishment of tne Cornmission, 

Regulations shall be adopted which effectuate at Least the 

following procedures: 
A. At least thirty (30) days before the initial meeting of 

the Commission and twenty (20) days before any subsequent 

meeting at which the adoption, amendment or rescission of 

a Regulation of the Commission is considered, notice of 

the proposed action shall be: 

1. published in such locations as the Commission 

prescribes; 

2. mailed to the State Gaming Agency, to every Gaming 

Enterprise, to the Secretary of the Community, to 

the Governor of the Community, to the Law Office of 

the Community, and to every person who has filed 

prior to the date of the notice, a request 

therefore; and 

3. mailed to any person believed by the Commission to 

have an interest granted pursuant to this Title. 

B. The notice of proposed adoption, amendment or rescission 

of a Regulation of the Commission must include: 

1. a statement of the time, place and nature of the 

proceedings and a description of the nature of the 

proceedings as to whether they will concern 

adoption, amendment or rescission of Commission 

Regulations; 

2. reference to the authority under which the action 

is proposed; and 

3. either express terms or an informative summary of 

the proposed action. 

C. On the date and at the time and place designated in the 

notice, the Commission shall grant any interested person 

as defined pursuant to Subsectio; B., (immediately above), 

. or his or her authorized representative, or both, the 

opportunity to present written statements or legal 

briefs. At the discretion of the Commission, persons 

submitting statements or legal briefs need not be allowed 

to present oral argument in a proceeding concerning a 

hearing conducted pursuant to this Section. The 

Commission shall consider all relevant matters presented 

to it bsfore adoprinq, amending r rescinding any 

Regulation of the Commission. 
D. Any Licensfte may file a petition with the Commission 

requesting the adopt..ion, amendment or rescission of a 

Regulation of the Commission. The petition must state 

clearly and concisely: 

1. the substance or nature of the Regulation, 

amendment or rescission requested; 

2. the reasons for the request; and 

3. reference to the authority of the Commission, as 

granted by the Community pursuant hereto, to take 

the action requested. 

E. Upon receipt of the petition, the Commission shall within 

thirty (30) days deny the request in writing or schedule 

the matter for action pursuant to this Subsection. 

F. In emergencies, the Commission may summarily adopt, amend 

or rescind any Regulation affecting Gaming Activity 

regulated pursuant hereto, if at the same time it files 

a finding that such action is necessary for the immediate 

preservation of the public peace, health, safety, morals, 

good order or general welfare, together with a statement 

of the facts giving rise to such state of emergency; and 

simultaneously provides a copy of such finding to each 

Entity listed in paragraph A.2 above. 

,G. In any hearing under this Section, the Commission or its 

officers or employees may administer oaths or 

affirmations and may continue or postpone the hearing 

from time to time and at such places as it prescribes. 

H. The Commission may request the advice and assistance of 

the Community Council in carrying out the provisions of 

this Section. 

00.319 ,MAINTENANCE OF BOOKS AND RECORDS 

A. The Commission shall maintain books and records of its 

activities relating to authorized Gaming Activities. The 

Commission shall maintain such books and records, either, 

(a) throughout the term of the Compact, during the 

pendency of any litigation arising from the Compact, and 

for one (1) year following r;he te~mination of the 

Compact; or (b), as provided in a written agreement 

between the Commission and the State, as authorized in 

Section 00.319.B 
B. The Commiss,ion may from time to time enter into written 

agreements with the State to establish appropriate 

procedures for the destruction of the books and records 

that are required to be maintained under Section 

00.319.A. and Section 00.503.A. 

00.320 PERSONNEL 

The Commission shall hire the Executive Director and such 

other personnel as is necessary to ensure the proper enforcement of 

the provisions of this Title and the Compact. Personnel of the 

Commission shall be hired through the Community's regular personnel 

procedure and shall be subject to its personnel policies and salary 

schedules. In addition, the Commission must not employ, and shall 

terminate any current Commission employee if it is determined that 

the applicant or employee: 

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

2. has knowingly and willfully provided materially important 

false statements or information or omitted materially 

important information on his or her employment 

application or background questionnaire; or 

3. is determined to be a person whose prior activities, 

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

associations pose a threat to the public interest or to 

the effective regulation and control of gaming, or create 

or enhance the dangers of unsuitable, unfair, or illegal 

practices, and methods, and activities in the conduct of 

gaming or the carrying on of the business and financial 

arrangements incidental thereto. 

THE EXECUTIVE DIRECTOR 

A. The Executive Director shall, at a minimum, be charged 

with the following responsibiliJies: 

1. Tile fulfillment and insurance of compliance with 

the requirements and provisions of this Title, the 

Compact and the Act; 

2. The cost-effective management of the Commission's 

resoilrces according to the finaficlial management and 

procurement procedures of the Community; 

3. The supervision, according to an organizationzl 

chart approved by the Cornrnission, of personnel of 
the Cqmmission according to the provisions of the 

Community's personnel policies and procedures 

manual ; 

4. The hiring anti firing of personnel and the 

maintenance of personnel records regarding 

personnel of the Commission; 

5. Cooperation with officials exercising jurisdiction 

for the enforcement of the law including this 

Title, the Compact, and the Act; 

6. The conduct of background investigations necessary 

pursuant to the terms of this Title and the 

Compact; 

7. Regular reporting to the Commission according to a 

written schedule prepared and approved by the 

Commission; 

8. The scheduling of and logistical arrangements 

concerning inspection of Gaming Enterprises; 

9. The collection, maintenance review and evaluation 

of financial records obtained from the Gaming 

Enterprises and the enforcement among Gaming 

Enterprises of the financial reporting requirements 

of this Title; 

10. The representation of the Commission before the 

National Indian Gaming Commission and the State 

Gaming Agency; 

11. Appearing to present claims of violations of the 

requirements and provisions of this Title and the 

Compact in proceedings of the Commission and 

representation of the ., Commission in legal 

proceedings before courts of competent 

jurisdiction; and 

12. The performance of a.11 other such duties and 

responsibilities as may be assigned by the 

Commission. 

B. The Commission may, in its discretion, add addicianal 

prol*risions to the duties and respcnsibilities of the 

Executive Director. 
C. The Executive Director is designated the agent of the 

Commission and is authorized to accept service of process 

for the Commission. 

00.322 COOPERATION WITH LAW ENFORCEMENT AGENCIES 

The Commission shall cooperate with law enforcement officials 

of the State of Arizona, the Bureau of Indian Affairs, the Federal 

Bureau of Investigation and other law enforcement agencies and 

shall do all things necessary to assure that only fair and honest 

gaming, operated in full compliance with the provisions of this 

Title and the Compact and untainted by illegal activity or 

interests is conducted on the Reservation. 

CHAPTER 4 - LICENSING PROCEDURES 

00.401 LICENSING REQUIREMENTS, GENERALLY 

A. All Gaming Employees, Primary Management Officials, Key 

'Employees, Gaming Enterprises, any person or Entity 

providing Gaming Services or Gaming Equipment to a Gaming 

Enterprise, and any person having any interest in or duty 

to perform with respect to gaming conducted on the 

Reservation, whether that interest or duty is direct or 

indirect, shall apply for and receive a License or a 

Temporary License, as defined in Section 00.401.C, from 

the Commission prior to their participation in any Gaming 

Activity. 

B. The Commission shall require that a separate License be 

maintained by a Gaming Enterprise for each place, 

facility, or location on the Reservation where a Gaming 

Enterprise is involved in the conduct of Class I1 or 

Class 111 Gaming pursuant to this Title. 

C. Temporary Licenses. The Commission may issue a temporary 

license upon receipt of a completed Application for a 

~icense unless a background investigatior~ or the 

Application demonstrates on its face grounds to 

disqualify the Applicant. The Temporary Licanse shall be 

valid until either replaced by a License or it is 

cancelled by the Commission. 

90.402 LICSNSE APPLICATION 

A. Notice to Applicant - The following notice shall be 

placed on the Application form for prospective Key 

Employees and Primary Management Officials: 
In compliahce with the Privacy Act of 1974, the 

following information is provided: Solicitation of the 

information on this form is authorized by 25 U.S.C. 

§ 2701 et seq. The purpose of the requested 

information is to determine the eligibility of 

individuals to be employed in a gaming operation. The 

information will be used by members and staffs of the 

Gila River India Gaming Commission, (the "Commission"), 

the National Indian Gaming Commission (the "NIGC") and 

the Arizona State Gaming Agency (the "ASGA") who have 

need for the information in the performance of their 

official duties. The information may be disclosed to 

appropriate federal, Tribal, state and local or foreign 

law enforcement and regulatory agencies when relevant to 

civil, criminal or regulatory investigations or 

prosecutions or when pursuant to requirement by the 

Commission, the NIGC or the ASGA 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 Gaming Enterprise on 

the Gila River Indian Reservation. Failure to consent 

to the disclosures indicated in this notice will result 

in a finding of ineligibility for employment or a 

License in a Primary Management official or Key Employee 

position by a Gaming Enterprise operated on the Gila 

River Indian Reservation as defined pursuant to Title - of the Gila River Indian Community Code. 

The disclosure of your Social Security Number (SSN) 

is voluntary. However, failure to supply a SSN may 

result in errors in processing your Application. 

An Applicant may claim any privilege afforded by 

the Constitution of the United States, or the Community, 

in refusing to answer questions of the Commission, the 

NIGC, and the ASGA. However, a claim of privilege with 

respect, to any testimony or evidencLe pertaining to an 

Application may constitute sufficient grounds for 

denial.. 

Any gaming License which is issued by the 

Commission shall be deemed to be a revocable privilege 

and no person holding such a License by the Commission 

is dzemed t3 have acquired any vested rights th~reir,. 
B. Each Applicant for a License shall file with the Commission a 

written, application in the form pres~ribed by the Commission, 

dulyexecuted and verified which shall certify: 

The burdkn of proving the Applicant's 

qualifications, to receive a License is understood to be 

at all times on the Applicant. An Applicant assumes any 

risk of adverse public notice, embarrassment, criticism 

or other action or financial loss which may result from 

action with respect to an Application and expressly 

waives any claim for damages against the Community as a 

result thereof. 

In addition to any other factor attaching to an 

Application required by Gila River Indian Community Code 

Title - or the Compact, an Application for a License 

shall constitute a request to the Commission, the NIGC 

and the ASGA for a decision upon the Applicant's general 

suitability, character, integrity and ability to 

participate or engage in or be associated with gaming on 

the Gila River Indian Reservation in the manner or 

position sought through application to the Commission, 

the NI.GC or the ASGA. The Applicant specifically 

consents to the making of such a decision by the 

Commission, the NIGC or the ASGA at its election when 

the Application, after filing, becomes moot for any 

reason other than death. 

It shall be grounds for disqualification from 

consideration for employment (or for termination after 

hire if selected) for there to be knowingly included in 

your Application any false statement or omission of a 

material fact necessary to make a given statement not 

misleading in view of the circumstances under which they 

occurred or were stated. Additionally, false statements 

are punishable by fine or imprisonment pursuant to 18 

U.S.C. § 1001. 

1. Applicant's full name and other names used (oral or 

written), Social Security Nurnber(s), birth date, 

place of birth, citizenship, gender, all languages 

(spoken or written) ; 

. 

2. Currently azd for the previol~s five (5) years: 

.-business and employment posi~ions held, ownership 

 interest.^ ix those businesses, business and 

residence addresses, and driver's license numbers; 
3. The 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 b.(2), immediately above; 

4. Current business and residence telephone numbers; 

5. A description of any existing and previous business 

relationships with Indian tribes, including 

ownership interests in those businesses; 

6. A description of any existing and previous business 

relationships with the gaming industry generally 

and any ownership interest in businesses or 

Entities with a direct or indirect involvement in 

the gaming industry; 

7. The name and address of any licensing or regulatory 

agency with which the person has filed an 

Application for a License or permit related to 

gaming, whether or not such License or permit was 

granted; 

8. For any felony for which there is pending 

prosecution or in relation to which a conviction 

has been effected, the charge, the name and address 

of the court involved, and the date and disposition 

if any; 

9. For each misdemeanor conviction or ongoing 

misdemeanor prosecution and any adverse juvenile 

disposition (excluding minor traffic violations), 

within ten (10) years of the date of the 

Appli-cation, the name and address of the court 

involved, and the date and disposition of such 

matter; .- 

10. For each criminal charge (excluding minor traffic 

citations and non-public juvenile proceedings), 

whether or not there is a conviction, if such 

criminal charge is within 10 years of the date of 

the Application and is not otherwise listed 

pursuant to paragraph (B) (8) or (B) (9) of this 

Section, the criminal charge, the name and address 

of the ccurt involvzd and the date and disposition; 
11. The name and address of any licensing or regulatory 

agency with which the person has filed an 

application for an occupational License or permit, 

whether or not such License or permit was granted; 

A current photograph; 

13. Any other information the Commission deems 

relevant; and 

14. Fingerprints consistent with procedures adopted by 

the Commission and in accordance with 25 C.F.R. 

Section 522.2 (h) shall be taken by personnel of Law 

Enforcement Services, Pima Agency, Bureau of Indian 

Affairs, Department of Interior. 

Every statement, notice or report made as part of an 

Application must be accurate and complete as to content, 

including any requested supplemental information. 

Failure to supply supplemental information in the 

Applicant's possession within fifteen (15) days or other 

information within a reasonable period following the date 

on which the Applicant receives notice of the 

Commission's request for supplemental information shall 

constitute grounds for denying the Application or 

delaying consideration of the Application. 

D. All information required to be included in an Application 

must be true and complete as of the date of the 

Commission's action on the Application. An Applicant 

bears the responsibility on his or her own initiative to 

promptly supply by amendment, prior to Commission action 

on an Application, any information regarding occurrences 

following the date of the original Application Eecessary 

to make the Application accurate, complete and not 

misleading. .- 

E. An Applicztion may be amended in any respect by leave of 

the Commission at any time prior to final action thereon. 

Any amendment to an Application shall have the effect of 

establishing the date of such amendment as the new filing 

date of the Application with respect to any time 

requirerlent.s set forth in this Title or in the Compact. 

. Any docunent filed under any of the provisions of this 

Title may be incorporated by refsrence in a subsequent 

.Plpplicati~n provided the incorporated docu:nent is 
available sn the filss of the Commission and is current 

and accurate on the date of filing. 

00.403 APPLICATION AND INVESTIGATIVE FEZS 

A. Except as provided elsewhere in this Title, all fees and 

costs incurred in connection with the investigation of 

any Application to the Commission will be borne by the 

Applicant as prescribed below. 

B. In addition to any nonrefundable Application fees paid, 

the Commission may require an Applicant to pay such 

supplementary investigative fees and costs as are 

required by the Commission. Such supplementary fees and 

costs may be estimated and the Applicant required to pay 

a deposit amount into a special investigative account 

established for the Applicant as a condition precedent to 

beginning or continuing an investigation, the actual 

total cost of which is not determined. 

C. The Commission shall not take final action to approve any 

Application unless all Application and investigative fees 

and costs have been paid in full. The Commission may 

deny the Application if the Applicant has failed or 

refused to pay all Application and investigative fees and 

costs. 

D. After all supplementary investigative fees and costs have 

been paid by an Applicant, the Commission shall refund to 

an Applicant any balance remaining in his or her 

investigative account of the Applicant. 

00.404 SUMMONING OF APPLICANTS 

The Commission may summon any person applying for a License 

and other witnesses to appear and testify before the Commission or 

Staff of the Commission at such time- and place as may be 

designated. All such testimony may be required to be given under 

oath and relate to any matter which the Commission or its staff may 

deem relevant to the Application. Failure to appear and testify 

fully at the time and place designated, unless excused, co~stitutes 

grounds for denial of the Application without further consideration 

by the Commission. 

O@. 405 HEARING ON APPLICATIONS 

A. Upon the conclusion of an investigation by the 

Commission, it may, in its discretion, hold a hearing to 
consider an~Application. The Applicant shall be given at 

least fifteen (15) days advance written notice of such 

hearing by certified mail, return receipt requested. 

B. Failure of the Applicant to appear at such hearing and 

testify fully at the time and place designated, unless 

excused, shall constitute grounds for denial of the 

Application without further consideration by the 

Commission. 

The State may recommend that the Commission not grant a 

License to an Applicant, before the Commission issues a 

permanent License. The Commission shall offer to conduct 

a hearing to consider the State's recommendation if the 

Commission decides to grant a License contrary to the 

Stater s recommendation. If the State requests a hearing, 

the hearing shall be held before the Commission formally 

issues a permanent License. The Applicant and the State 

Gaming Agency shall be provided at least fifteen (15) 

days advance written notice of such hearing by certified 

mail, return receipt requested. The Applicant shall have 

the right to participate in any such hearing. 

00.406 WITHDRAWAL OF APPLICATION 

A. An Applicant may not withdraw an Application unless 

he/she obtains the written permission of the Commission. 

A request for withdrawal of an Application may be made at 

any time prior to final action, upon the filing of a 

written request for such withdrawal with the Commission. 

B. The Commission may, in its discretion, deny a request for 

withdrawal of an Application or grant the request with or 

without prejudice. 

C. If a request for withdrawal is granted with prejudice, 

the Applicant shall be foreclosed from reapplying f~r a 

license for a period of one (1) year from the effective 

date of the withdrawal. 

00.407 APPLICATION FOR LICENSE AFTER DENIAL 

Any person or Entity whose 2lpp.l-ication has beer1 d~nied shall 

be Foreclosed from reapplyinq for a license for ii perica of one (1) 

year from the effective date 02 the denial, unless the So~ciesion 

expressly advises in writing that the deni-a1 is withol~t prejudice 

as to reapplication. 
00.408 APPLICATIONS FOR EMPLOYMENT AFTER REVOCATION 

Any person or Entity whose License is revoked by the 

Commission shall be foreclosed from applying for employment with 

any Gaming Enterprise on the Reservation for a period of two (2) 

years from the effective date on which notice of the Commission's 

action was provided to the Gaming Enterprise at which the person 

first applied for employment. 

00.409 UNSUITABLE AFFILIATES 

The Commission may deny, revoke, suspend, limit, condition, or 

restrict any License, employment status or related Application upon 

grounds that the Applicant or Licensee is associated with, 

controls, or is controlled by, or is under common control with, a 

person or persons violating the licensing standards set forth in 

Section 00.410 hereof. 

00.410 STANDARDS FOR LICENSING 

No License shall be granted unless and until the Applicant has 

satisfied the Commission that the Applicant: 

A. is a person of good character, honesty, and integrity; 

B. is a person whose background, reputation or associations 

will not result in adverse publicity concerning the 

Community or a Gaming Enterprise; and 

C. is a person whose prior activities, criminal record, if 

any, or reputation, habits and associations do not pose 

a threat to the public interest or to the effective 

regulation of gaming, or do not create or enhance the 

dangers of unsuitable, unfair, or illegal practices and 

methods and activities in the conduct of gaming. 

00.411 LICENSING OF A NATURAL PERSON UNDER THE AGE OF EIGHTEEN 

The Commission shall not grant a License to an individual 

under eighteen (18) years of age. 

00.412 BACKGROUND INVESTIGATION 

A. The Commission sha1.l ccndzct or cause to be ssnducted an 

investigation sufficient to make a determins.ti~n of every 

Application submitted pursuant hereto. In conducting a 

background investigation, the Commission and its agents 
shall maintain the confidentiality of the identity of any 

person interviewed in the course of the investigation. 

B. Information provided pursuant to Section 00.402 and 

information from other sources shall be used by the 

Commission to conduct background investigations of: 

1. Primary Management Officials and Key Employees, 

including members of the Board of Directors of each 

Tribal Gaming Enterprise; 

2. Every Gaming Employee and every employee of the 

Commission and each Commissioner; and 

3. Manufacturers, suppliers and distributors of Gaming 

Devices, Gaming Equipment and Gaming Services. 

C. The Commission shall forward a copy of the Application 

and investigative report for Key Employees and Primary 

Management Officials to the National Indian Gaming 

Commission as follows: 

1. Whenever a Key Employee or Primary Management 

Official applies for a License under this Title, 

and before a License is granted under Section 

00.401A, herein, the Commission shall forward to 

the National Indian Gaming Commission a completed 

Application and a request that a background 

investigation be conducted. 

2. The Commission shall also forward an investigative 

report to the National Indian Gaming Commission 

upon its completion or not later than sixty (60) 

days after a Key Employee or Primary Management 

Official begins work at a Gaming Enterprise on the 

Reservation. The investigative report shall 

, describe the steps taken in the-investigation, any 

conclusions reached, and all information required 

by the NIGC. 

3 

a. No Gaming Enterprise on the Reservation shall 

employ or continue to employ a Key Employee or 

Primary Management Official who does not have a 

License within ninety (90) days f 3llowing submittal 

of his or her Applicat.ion to the MIGC. 

D. The Com.iission shall. submit to the National Indiar. Gaming 

Coinission, with the investigative repoi:t, a copy of the 
eligibility determiriation made under Section 00.413 

herein. 

E. In the event the Commission does not issue a License to 

an Applicant who has submitted an Application for a 

License, the Commission: 

1. Shall notify the State Gaming Agency and 

2. Shall forward copies of any such noneligibility 

determination along with any investigative report 

to the National Indian Gaming Commission for 

inclusion in the Indian Gaming Individuals Records 

System. 

F. Background investigations of Key Employees and Primary 

Management Officials--Description of Procedures 

The procedures for background investigation of Key 

Employees and Primary Management Officials are as 

follows : 

1. The Commission is responsible for conducting 

background investigations and suitability 

determinations in accordance with the Act and the 

Compact. 

2. The Commission delegates the responsibility to and 

directs and authorizes its Executive Director and 

the Commission investigative staff to conduct 

background investigations and suitability 

determinations and they shall: 

a. Conduct and cause to be conducted background 

investigations; 

. b. Review and approve '-the investigative work 

done; 

c. Report the results of background 

investigations to the National Indian Gaming 

Commission; 

d. Obtain and process fingerprints; and 

e. Make suitability determinations. 
The Commission was established pursuant to this 

Title by the Community Council and the 

Commissioners were selected by the Community 

Council in accordance with Chapter 3 above. The 

Executive Director shall be selected by the 

Commission and the Commission shall have the power 

to terminate the Executive Director. The 

investigative staff shall be hired by the Executive 

Director in accordance with Section 00.320 of this 

Title. 

4. The investigative procedure shall include but not 

be limited to the following: 

a. Verify by written or oral communication 

information submitted by applicant. 

b. Inquire into the applicant's prior activities, 

; criminal record, if any, and reputation, 

habits and associations; interview a 

sufficient number of knowledgeable people such 

as former employers, personal references, and 

others to whom referred in order to provide a 

basis for the Commission to make a finding 

concerning the eligibility for employment in a 

gaming operation. 

c. Document the disposition of all potential 

problem areas noted and disqualifying 

information obtained. 

5. Prepare investigative reports setting forth the 

following: 

a. Steps taken' in conducting the background 

investigation; 

b. Results obtained; 

c. Conclilsions reached; and 

d. The basis for those conclusions. 

ZF-\N'rI1.JG X GMlING LICENSE 

A. If, within a thirty (30) day period after the National. 

Ir\.dlan Gaming Commission receives both an Application and 

a:! investigative report from the Commission, the Naticnal 
Indian Gamihg Commission notifies the Commission that it 

has no objection to the issuance of a License to a Key 

Employee or a Primary Management Official, the Commission 

may issue a License t:o such Applicant. 

The Commission shall respond to a request for additional 

information from the National Indian Gaming Commission 

concerning a Key Employee or a Primary Management 

Official who is the subject of an investigative report. 

Such a request shall suspend the thirty (30) day period 

under Subsection 00.413 A. until the National Indian 

Gaming Commission receives the additional information. 

If, within the thirty (30) day period described above the 

National Indian Gaming Commission provides the Commission 

with a statement itemizing objections to the issuance of 

a License to a Key Employee or to a Primary Management 

Official for whom the Commission has provided an 

Application and investigative report to the Naticnal 

Indian Gaming Commission, the Commission shall reconsider 

the Application, taking into account the objections 

itemized therein. The Commission shall make the final 

decision whether to issue a License to such Applicant. 

LICENSE SUSPENSION AND REVOCATION 

If, after the issuance of a License, the Commission 

receives from the National Indian Gaming Commission or 

other source reliable information indicating that a Key 

Employee, a Primary Management Official, or other 

Licensee is not eligible for a License under 00.410, the 

Commission shall suspend such License and shall notify in 

writing the Licensee of the suspension and the proposed 

revocation. 

The Commission shall notify the Licensee of a .time and a 

place for a hearing on any p'roposed revocation of a 

License. 

After a revocation hearing, the Commission shall decide 

whether to revoke, to reinstate, cr to take other action 

concerning a gaming License. The Commission shall notify 

the State Gaming Agency and the National Indian Gaming 

Commission of its decision. 

In addition to any other sanction which may be imposed 

under this Title, a License may be suspended by the 

Commission, and, after notice and hearing as provided in 
this Title,, a License may be revoked if it is shown that 

the Licensee: 

1. has knowingly made a materially false or misleading 

statement in any Application for a License, in any 

amendment thereto, or in any response to a request 

by the Commission for supplemental information or 

in connection with any investigation of the 

Commission; 

2. has failed to keep sufficient books and records to 

substantiate any reports required by this Title or 

Regulations of the Commission; 

3. has falsified any books or records relating to any 

transaction connected with the operation or conduct 

of Class I1 or Class 111 Gaming conducted on the 

Reservation; 

4. has been convicted of any felony or gaming offense; 

5. has interfered with or unduly influenced or 

attempted to interfere or unduly influence any 

legislative or administrative decision or process 

of the Commission or the Community; 

6. has deliberately or substantially failed to provide 

information to or answer relevant questions of the 

Commission or its staff or failed to comply with 

the provisions of this Title or the terms of any 

License granted pursuant hereto; 

7. does not meet the standards established in Section 

00.410 herein; 

8. has failed to comply with applicable laws or 

regulations of the CommunJty, Regulations of the 

Commission, provisions of the Compact, regglations 

of the National Indian Gaming Commission, the Act, 

or other applicable federal. laws; or 

9. has been elected to the Commucity Council. 

If, in the judgment or a majority of Com.issioners, the public 

interest, the effective regclation and control of gaming or the 

safe, fair and honest operation and conduct of Class I1 or Class 
I11 Gaming on the Reservation requires the immediate exclusion of 

a Licensee from involvement iri such gaming, the Commission may 

immediately suspend a License prior to the conduct of a hearing of 

the matter. Such an immediate suspension may take effect upon 

service of a complaint upon the Licensee. 

00.416 COMPLAINT; SERVICE OF PROCESS 

Proceedings to suspend or revoke a License or to take other 

disciplinary action against a Licensee shall be initiated by the 

Commission by serving a.complaint upon the Licensee. The service 

of process of the Commission, including complaints, subpoenas, or 

other process may be accomplished in the same manner as similar 

process issued by the Courts of the Gila River Indian Community or 

if served outside the boundaries of the Reservation, then according 

to the applicable local rules of civil procedure. The Commission 

may include in its complaint a request for the imposition of fines, 

as authorized under Section 00.431. 

00.417 [deleted] 

SUBPOENAS 

At the request of the Licensee for good cause shown, or on its 

own motion, the Commission shall. issue subpoenas for the attendance 

of witnesses at depositions and at hearings, for medical or 

physical examination, and for the production of papers, books, 

records, and documents. 

00.419 HEARING, WRITTEN DECISION 

A. Hearings of the Commission shall be held and concluded 

without unreasonable delay. 

B. Following a hearing, the Commission shall timely issue a 

decision in writing and shall include findings of fact 

and conclusions of law in support of its decision. The 

'Commission shall issue its decision within sixty (60) 

days of the hearing. 

C. The Licensee shall be informed of the decision and, in 

the event of a suspension or revocation of his or her 

License, of the effective date of the suspension or 

revocation ordered. 

D. The State Gaming Agency shall have the opportunity to 

participate in a hearing regarding the suspension or 

revocation of a License if the State Gaming Agency has 
provided the Commission with a recommendation on the 

suspension or revocation of the License. 

00.420 SURRENDER OF LICENSE 

When the Commission suspends or revokes a License, the 

Licensee shall surrender the License to the Commission on or before 

the effective date of the suspension or revocation. No License 

shall be valid as of the effective date of an ordered suspension or 

revocation, whether or not the License is actually surrendered. 

00.421 ADDITIONAL SANCTIONS 

A. Upon a determination to suspend or revoke a License and 

in addition to any other penalties imposed, the 

Commission may declare a Licensee ineligible to: 

1. Participate, directly or indirectly, in the 

operation or conduct of Class I1 or Class I11 

Gaming anywhere on the Reservation; or 

2. Apply for a License within the periods provided in 

00.406 C. and 00.408. 

B. A declaration of ineligibility by the Commission may be 

extended to, for cause shown and after notice and 

hearing, include any Primary Management Officials, Key 

Employees, officers and/or directors of the Licensee and 

any of its subsidiary organizations, parent 

organizations, or affiliates. 

00.422 ADVERSARY PROCEEDINGS OF THE COMMISSION 

A. Service of Complaint - upon referral by the Commissicn 

the Executive Director shall institute an adversary 

proceeding against a Licensee and shall prepare and serve 

the complaint upon the respondent either personally or by 

' certified mail at his or her address on file witn the 

Agency. Proof of service may be provided by a 

certificate or affidavit of service, which shall be 

signed by the person effecting service and specify the 

date and manner in which service was made. 

H. Contents of Complaint - The complaint issued in relation 

to an adversary proceeding must be in writing ar.d set 

forth in ordinary and concise language the acts or 

emissions which the respondent is believed to have 

committed. The ccmplaint must cite the sections of law 
or regulation which the respondent is alleged to have 

violated. 

C. Answer - The respontlent shall file an answer to the 

complaint with the Commission within twenty (20) days 

after service of the complaint. 

1. In his or her answer the respondent must: 

a. state in short and plain terms his or her 

defenses to each claim asserted; 

b. admit or deny each and every fact alleged in 

the complaint; 

c. state which allegations he or she is without 

knowledge or information sufficient to form a 

belief as to their truth. Such allegations 

shall be deemed denied; and 

d. affirmatively set forth any matter which 

constitutes an avoidance or affirmative 

defense. 

2. The respondent may demand a hearing in his or her 

answer to the complaint. Failure to demand a 

hearing in the answer constitutes a waiver of that 

right but, at the Commission's discretion, a 

hearing not requested in the respondent's answer 

may be granted. 

3. Failure to file an answer constitutes an admission 

by the respondent of all facts alleged in the 

complaint. The Commission may take action based on 

such an admission and on other evidence without 

further notice to the respondent. .- 

Setting of Hearing - The Chair of the Commission shall 

serve a notice of the hearing date within fourteen (14) 

days following receipt of respondent's answer. 

E. Appearance Through Counsel 

1. Parties to proceedings governed by this Title may 

appear personally or through an attorney, except 

that the parties must themselves attend any hearing 

on the merits unless such attendance is waived in 

advance by the Commission. 
2. Once a party appears through an attorney, all 

future service of notices, motions, orders, 

decisions or other papers shall be made upon the 

attorney. 

3. When a party is represented by an attorney, the 

attorney may sign all motions, opposition, notices, 

requests, and other papers on behalf of the party. 

4. The Executive Director may appear by and have the 

assistance of counsel. 

F. Prehearing Conferences 

1. After the respondent files an answer to the 

complaint, the Chair of the Commission may direct 

the parties to participate in a conference or 

conferences before the hearing on the merits, for 

such purposes as expediting the disposition of the 

action, resolving discovery issues, and 

facilitating the settlement of the case. 

2. The participants at a prehearing conference shall 

be prepared to consider and act to address any or 

all of the following, as directed by the Chair of 

the Commission: 

a. the formulation and simplification of the 

issues; 

b. the necessity or desirability of amendments to 

the complaint or answer; 

c. the possibility of obtaining admissions o? 

fact which will avoid unnecessary proof, 

stipulations regarding the admissibility or 

authenticity of documents, and advance rulings 

from the Chair of the Commission regarding the 

admissibility of evidence; 

d. the avoidance of unnecessary findings of proof 

and evidence; 

e. the ident:ifi.cation of witnesses and docu~nsnts, 

the need and scnedule for in a~d 

exchanging prehearing bri~fs, and th~ datz or 

dates for further conferences and for the 

on the merits; 
f. Phe possibjlity of settlement; 

g. the disposj.tion of pending motions; 

h. the possibility that all evidence can be 

submitted by affidavits, transcripts, and 

other documents; and 

i. such other matters as may aid in the 

disposition of the action. 

3. At a time designated by the Chair of the 

Commission, the respondent and the Executive 

Director shall set forth in a written prehearing 

statement, to be filed in the proceeding record, 

any matter no longer in dispute, and any matters 

for which no agreement has been reached and which 

require a ruling. 

G. Discovery: Mandatory Exchanges 

Within twenty (20) calendar days following the date on 

which respondent's answer is received by the Commission, 

or such other date as the parties may agree or the Chair 

of the Commission may order, the respondent and the 

Executive Director shall personally confer and shall: 

1. Exchange copies of all documents then reasonably 

available to a party which are then intended to be 

offered as evidence in support of the party's case 

in chief; 

2. Identify, describe, or produce all tangible and 

reasonably available things, other than documents, 

which are intended to be offered as evidence in 

support of the party's case in chief, and upon 

, request, arrange for the opposing party or parties 

to inspect, copy, test, or sample the same under 

the supervision of the part4.es; 

3. Exchange written lists ~f persons each party 

intends to call as a witness in support of the 

party's case. Each witness shall be identified by 

name, if known; pcsition; business address and a 

brief description of the purpose for which the 

witness will be called. If no business address is 

available, the party shall provide a home address 
for the witness, or shall make the witness 

available for service of process. 

4. The parties shall bear a continuing obligation to 

produce documents, witness lists, and other matters 

governed by this Section as such become identified 

by and available to the parties. A party may amend 

a response by informing the adverse party that 

documents previously produced or witnesses 

previously listed will not be introduced in that 

party's case in chief. 

00.423 CONDUCT OF ADVERSARY HEARINGS 

The following procedures shall apply to adversary proceedings 

conducted under this Chapter. 

A. A respondent may present and argue any legal objectior.~ 

to the complaint set forth in his or her answer. 

B. The Executive Director will present his or her opening 

statement on the merits. The respondent will then be 

permitted to make an opening statement of the defense, or 

he or she may reserve the same until commencement of the 

presentation of the case for the respondent. 

C. The Executive Director will then present his or her case 

in chief in support of the complaint. 

D. Upon conclusion of the Executive Director's case in 

chief, the respondent may move for dismissal of the 

complaint. The Commission may hear arguments on the 

motion, or may grant, deny, or reserve decision thereon, 

with or without argument. 

E. If no motion to dismiss is made, or if such motion is 

denied or decision reserved thereon, the respondent shall 

'thereupon present the case for the respondent. 

I?. Upon conclusion of the respondent's case, the Executive 

Director may present his or her case in rebuttal. 

G. Upon con~lusion of the Executive Director's case in 

rebuttal, the Executive Director shall present his or her 

closing argument, the respond2nt nay preserlt answering 

argument, and thereafter the Executive Director nay 

present rebuttal arq?lment. Thereupor: t.h~ rnatter will 

stand subr~itted Tor decision. 
H. Any member. of the Commission may ask questions of 

witnesses, parties, or counsel and may request or allow 

additional evidence at any time, including additional 

rebuttal evidence. 

I. Objections asserted by the parties may be immediately 

ruled upon by the Commission or taken under advisement 

and the hearing continued. 

J. The Commission may meet in closed session with, or 

without, counsel to deliberate concerning any ruling and 

the final decision in the proceeding. All rulings and 

decisions shall be announced in open session. 

K. The open sessions of an adversary hearing shall be 

recorded either by audio recording or by stenographic 

means. The transcript or audio tape shall be made a part 

of the hearing record. 

The Commission may delegate responsibility for conducting , 

prehearing and hearing proceedings, in whole or in part, 

to a hearing officer. A hearing officer that conducts a 

hearing on behalf of the Commission shall issue a written 

decision which the Commission may adopt as the decision 

of the Commission. If the Commission does not adopt a 

hearing officer's decision, then the Commission shall 

establish such further proceedings as may be required to 

enter a final decision and shall provide notice of the 

same to the Licensee. 

00.424 EVIDENCE: ADMISSIBILITY 

A. Reliable evidence will be admitted in a proceeding. 

Evidence is reliable if it is the sort of evidence on 

which responsible persons are accustomed to relying upon 

in the conduct of serious affairs or if the evidence 

would be admissible in a court ,sf law. 

B. Irrelevant or unduly repetitious evidence shall be 

excluded upon request of a party or the Commission's own 

initiative. 

00.425 EVIDENCE: AUTHENTICATION AND IDENTIFICATION 

Documentary and other physical evidence may he acthenticated 

or identified by any method through which the matter in question 

can be shown to be what its proponent claims it to be. 
00.426 FAILURE ORBREFUSAL TO TESTIFY 

A. If a respondent fails to testify in his or her own behalf 

or asserts a claim of privilege against selfincrimination with respect to any question propounded to 

him or her at a deposition or at a hearing, the 

Comrnissior, may infer therefrom that such testimony or 

answer would have been adverse to his or her case. 

B. If any person controlling, controlled by, or under common 

control with, or employed by, or an agent of, a 

respondent fails to respond to a subpoena, or asserts a 

claim of privilege against self-incrimination with 

respect to any question propounded to him or her, the 

Commission may, taking into account all of the 

circumstances, infer that such testimony would have been 

adverse to the respondent. 

C. If, on a ground other than a properly invoked privilege 

against'self-incrimination, a respondent fails to respond 

to a subpoena, or fails or refuses to answer a material 

question propounded to him or her, the Commission may 

deem such failure or refusal to be independent grounds 

for granting the relief requested by the Executive 

Director in the complaint with respect to that 

respondent. 

00.427 CONTINUANCES 

A matter shall not be continued except for good cause shown. 

A motion to continue a hearing must be made at least ten (10) 

calendar days prior to the hearing date and may be granted or 

denied in the discretion of the Chair of the Commission. 

00.428 DEFAULTS 

Failure of a respondent to file an answer to the complaint or 

to request a hearing, to appear personally at a hearing on the 

merits or to appear at a prehearing conference without having 

obtained a waiver of appearance, shall constitute an admission of 

all matters and facts contained in the complaint filed with respect 

to such respondent, and shall be deemed a waiver of the right to an 

~videntiary hearing. In such cases the Commission may take action 

based upor! scch zdnission or upon any other evidence, including 

af5ldavj.t~~ and without any further notices whatever to respondent. 

For gocd cause shown, the Commission may set aside any action it 

has taken based upon a default. 
00.429 STANDARDS OF PROOF 

Findings of fact shall be based upon a preponderance of the 

evidence standard, that is, a finding of fact must be supported by 

evidence that, when considered and compared with opposing evidence, 

has more convincing force and produces in the minds of the 

Commissioners a belief that what is sought to be proved is more 

likely true than not true. 

00.430 DECISIONS OF THE COMMISSION 

Decisions of the Commission regarding disciplinary proceedings 

shall be in writing, issued within sixty (60) days after the 

hearing and served upon the parties personally, by certified mail, 

return receipt requested. A copy shall also be provided to the 

Governor of the Community at the same time. 

00.431 PENALTIES 

A. The Commission may suspend, revoke, limit or condition 

the License of any person or Entity, or order the 

suspension or termination of any Gaming Employee, found 

to have violated the provisions of this Title, the 

Compact or the Regulations. In addition, or as an 

alternative to suspending, revoking, limiting, or 

conditioning a License of any person or Entity, or 

suspending or terminating a Gaming Employee, the 

Commission may impose a civil fine of not more than 

$5,000 for each separate violation of the Title, Compact, 

or Commission Regulations. All fines must be paid to the 

Commission within fifteen (15) days following the date on 

which the order to pay the fine is issued unless 

otherwise ordered by the Commission. All fines received 

by the Commission shall be deposited in the general fund 

of the Community. 

B. 1 instead of suspending, -revoking, limiting, or 

conditioning the License of a Licensee or terminating or 

suspending a Gaming Employee, the Commission imposes a 

fine, the Licensee or Gaming Employee may request a 

hearing before the Commission to challenge the fine. The 

Commission shall promulgate regulations establishing the 

procedures for a hearing on a challenge to a Commission 

fine. 

C. The Commission is authorized to take the lead in imposing 

fines on any persons, Gaming Employees, Commission 

employees, Management Contractors, financiers, 
Manufacturer, Distributor, and persons providing Gaming 

Services that are certified by the State Gaming Agency 

and have violated the Compact. 

00.432 RIGHT TO APPEAL TO COMMUNITY COURT 

A Licensee may appeal a final decision of the Comrnissio~ to 

impose a fine of five hundred dollars ($500) or more or to suspend 

or revoke a License, but not the denial of an Application, in the 

Community Court at any time within thirty (30) days after the 

effective date of such final decision. 

CHAPTER FIVE - CONDUCT OF CLASS I1 AND CLASS I11 GAMING 

00.501 FINANCIAL PRACTICES AND REPORTING OF GAMING 

ENTERPRISES; MONTHLY REPORTS 

On or before the third Wednesday of each month, the Chief 

Executive Officer, of each Gaming Enterprise shall file with the 

Commission and the Treasurer of the Community: 

A. The financial statements for Class I1 and Class I11 

Gaming for the preceding calendar month prepared in 

accordance with Generally Accepted Accounting 

Principles; 

B. A schedule listing the names and addresses of each 

person or Entity to whom an aggregate of $600 or 

more of non-payroll expense has been incurred or 

paid during the month; and 

C. The purposes for which each such payment was made. 

The Chief Executive Officer shall attest in writing that the 

financial statements and schedules are complete and accurate based 

upon information reasonably known at the time. 

.. 

00.502 . MAINTENANCE OF GAMING ENTERPRISE FINANCIAL INFORMATION 

A. Each Gaming Enterprise shall be responsible for 

maintaining financial books and records necessary for the 

development and substantiation of financial reports made 

to the Commission. 

B. The failure of the Chief Executive Officer to file a 

report required by the Cornmission within the time 

allowed, or if a report is not fully, accurately and 
truthfully ,completed, . is cause for suspension of the 

Chief Executive Offic;er1s License. 

00.503 MAINTENANCE OF BOOKS AND RECORDS; COMMISSION ACCESS 

A. A Gaming Enterprise shall maintain books and records I " 

-- r-elating to authorized Gaming Activities and showing the '/ 

condition of the business and all transactions in 

accordance with Generally Accepted Accounting Principles. 

Such books and records shall be suitable for audit 

pursuant to Generally Accepted Auditing Standards. A 

Gaming Enterprise shall maintain such books and records, 

either, (a) throughout the term of the Compact, during 

the pendency of any litigation arising from the Compact, 

and for one (1) year following the termination of the 

Compact; or (b), as provided in a written agreement 

between the Commission and the State, as authorized under 

Section 00.319.B. The Gaming Enterprise shall maintain 

all records it creates or receives relating to the 

operation and management of Gaming Activity. 

B. The Commission and the Community Treasurer shall have 

access to the books and records prescribed hereunder and 

shall be entitled to examine them without notice at any 1 

time during ordinary business hours or hours during which 

gaming is conducted. 

00.504 ALLOWABLE OPERATING EXPENSES 

A. No item of expense shall be incurred or paid by a Gaming 

Enterprise in connection with the operation or conduct of 

Class I1 or Class I11 Gaming, or any other activity, 

except business related expenses of reasonable amounts. 

B. Expenses, revenue and transactions shall be recorded 

under classifications accepted in the gaming industry and 

by the Governmental Accounting SLandards Board that shall 

' be' summarized in a chart of accounts prepared by the 

Gaming Enterprise and provided to the Commission. The 

Gaming Enterprise shall notify the Commission in writing 

in advance of any changes in the chart of accounts. 

C. No expenses shall be incurred except in accordance with 

the budget of the Gaming Enterprise which has been 

approved by its Board of Directors in accordance with 

procedures required by the Community Council. 
D. No extraordinary expenses or obligations not in the 

ordinary course of business, such as to expand a 

facility, to purchase or lease real property, or to 

encumber the property or revenue of a Gaming Enterprise 

may be incurred or undertaken except upon the prior 

approval of the Community Council. 

00.505 DEPOSIT OF GROSS RECEIPTS; PAYMENT OF OPERATING EXPENSES 

All gross receipts of Gaming Enterprises shall be deposited in 

a single account of the Gaming Enterprise. All operating expenses 

shall be withdrawn from such account by consecutively numbered 

checks duly signed by two authorized signatories of the Gaming 

Enterprise. No check issued by a Gaming Enterprise located on the 

Reservation shall be drawn to "cash" or a fictitious payee. The 

foregoing however shall not restrict the Gaming Enterprises board 

of director's authority to establish such additional bank accounts 

that in its prudent judgment enhances the accountability of its 

business activities. Examples of such additional bank accounts are 

accounts for payro'll, slots jackpot, keno prizes, bingo prizes, and 

for ATM transactions. 

00.506 ANNUAL AUDIT 

A. A Gaming Enterprisef s financial statements shall be 

audited not less than annually by an independent 

certified public accountant. Either the firm or all 

independent certified public accountants engaged to do 

the audit shall be licensed by the Arizona State Board of 

Accountancy. The independent certifiedpublic accountant 

shall issue a report on audited financial statements of 

the Gaming Operation. The report and audit shall be 

delivered to the Commission and the National Indian 

Gaming Commission within one hundred twenty (120) days 

after the close of the Fiscal Year of the Gaming 

Enterprise. Within one hundred twenty (120) days after 

the close of the Fiscal Year 0.f the Gaming Enterprise, 

the Commission shall provide copies of the audited 

financial statement and any reports or management letters 

to the State Gaming Agency. 

B. The cost of the annual audit shall be borne by the Saming 

E~lterprise. The independe~t certifiedpublic accountants 

shall be retained to perform the audit under an agreement 

in writing that names the Treasurer of the Cornrnunity, the 

Commission, and the Board of Directors of the Ga~ing 

Enterprise as clients; chat requires the accountants to 

consclt with and report fully the results of their audit 
to their clients; and that sets out the scope of the 

audit as agreed to by the Commission, the Gaming 

Enterprise, and the Treasurer of the Community. 

C. The independent certifiedpublic accountant shall perform 

an annual financial statement audit in accordance with 

Generally Accepted Auditing Standards and may be engaged 

by the Commission or the Gaming Enterprise to audit other 

functions of the Gaming Enterprise, including, but not 

limited to the following: 

1. Audit or review the books and records of the Gaming 

Enterprise; 

2. Review the accounting methods and procedures used 

by the Gaming Enterprise; 

3. Review and observe methods and procedures used by 

the Gaming Enterprise to count and handle cash, 

Chips, Tokens, negotiable instruments and credit 

instruments; 

4. Examine the Gaming Enterprise's records and 

procedures in extending credit; 

5. Examine and review the Gaming Enterprise's internal 

control procedures and compliance therewith; and 

6. Examine all accounting and bookkeeping records and 

ledger accounts of the Gaming Enterprise. 

00.507 AUDIT OF CONTRACTS 

Any contract with a Gaming Enterprise for supplies, 

services, or concessions, which exceeds $25,000 annually, except 

contracts for professional legal and accounting services, shall be 

specifically included within the annual autside audit. 

00.508 DISPOSITION OF NET CASH RECEIPTS 

The net cash receipts derived from the conduct of Class I1 and 

Class I11 Gaming conducted on the Reservation, including receipts 

from =my source, shall be deposited into the general fund of the 

Community on a daily basis, subject to a rsasonable reserve for 

operztions. 
00.509 COMPLIANCE,WITH THE INTERNAL REVENUE CODE 

Each Gaming Enterprise shall maintain a permanent record 

containing the name and address of each player who receives a prize 

or payoff in any instance required by, and in accordance with, the 

Internal Revenue Code of 1986, as amended. 

00.510 [deleted] 

00.511 NAME TAGS 

All Gaming Employees and persons who operate or conduct, or 

assist in operation or conduct of Class I1 or Class I11 Gaming 

shall wear legible tags evidencing their names and the legend of 

the Gaming Enterprise. 

00.512 QUALIFICATION FOR EMPLOYMENT; TESTING 

Employees of Gaming Enterprises shall be of good moral 

character, shall not have been convicted of any felony or gaming 

offense, and, as a condition of their contract of employment, shall 

agree to any lawful means of testing for truthfulness, and for 

physical or chemical evidence of controlled substances or alcohol, 

including, but not limited to polygraph testing, in accordance with 

applicable federal law. The Gaming Enterprise must not employ any 

applicant for employment, and shall terminate the employment of any 

current Gaming Enterprise employee, if it is determined that the 

applicant or employee: 

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

2. has knowingly and willfully provided materially important 

false statements or information or omitted materially 

important information on his or her employment 

application or background questionnaire; or 

3. is determined to be a person.-whose prior activities, 

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

associations pose a threat to the public interest or to 

the effective regulation and control of gaming, or create 

or enhance the dangers of unsuitable, unfair, or illegal 

practices, and methods, and activities in the conduct of 

gaming or the carrying on of the business and financial 

arrangements incidental thereto. 
00.513 PREFERENCE *IN EMPLOYbiENT 

At least 65 percent of the employees of each Gaming Enterprise 

located on the Reservation shall be members of the Community or 

their spouses or children; provided, however, that each Gaming 

Enterprise employee shall be qualified for the position for which 

he or she was hired accordinq to standards set by the Gaming 

Enterprise. If sufficient numbers of qualified members of the 

Community and their spouses and children are not available so that 

the provision of this Section can be met, members of other Indian 

tribes shall be hired instead toward the achievement of this 

requirement. Gaming Enterprises shall provide sufficient training 

opportunities to all employees, and shall provide employees who are 

Community members with sufficient training opportunities to ensure 

that Community members acquire the experience and skills necessary 

to assume management and supervisory positions in the Gaming 

Enterprise within projected reasonable timeliness. A Gamin'g 

Enterprise shall not, for the purpose of avoiding the requirement 

of this section, hire non-members as or through independent 

contractors. 

00.514 ADVERTISEMENT OF P0Sl:TIONS 

All positions and vacancies in Gaming Enterprises located on 

the Reservation shall be posted at all Gaming Facilities and at 

such other reasonable locations as are selected by the Commission 

for at least seven (7) days prior to filling the position or 

vacancy. The position notices shall contain a statement of minimum 

job qualifications, job duties, hours of work, compensation and 

shall outline the application procedure, including the application 

deadline. 

00.515 PERSONNEL POLICIES 

Each Gaming Enterprise shall adopt and provide to each 

employee written personnel policies which shall provide a grievance 

procedure providing for an employee's right to receive a written 

statement'of reasons in the event of dismissal or adverse personnel 

action. 

00.516 REPORT OF LEASES 

Each Gaming Enterprise shall report to the Commission all 

leases and amendments thereto to which it is a party nct later than 

thirty (30) days following the effective date .of the lease or any 

amendment and shall include: 
A. the name, address, and a brief statement of the nature of 

the busineis of the Lessor; 

B. a brief description of the material terms of the Lease; 

and 

C. a brief description of any business relationships between 

the operating licensee and the Lessor other than by the 

Lease. 

00.517 EMPLOYEE REPORT 

Each Gaming Enterprise shall submit a quarterly employee 

report to the Commission on a form to be furnished by the 

Commission. The report shall identify the job classification for 

each Licensee engaged in Gaming Activity and for each whether: 

A. the individual is directly or indirectly engaged in the 

administration or supervision of the Gaming Enterprise or 

security activities of the Gaming Enterprise; 

B. the individual is compensated in any manner in excess of 

$80,000 per annum; 

C. the individual has authority to hire or terminate Gaming 

Employees; 

D. the individual has the authority to supervise or direct 

a shift of any gaming or security activity, including but 

not limited to supervision or direction of the pit area, 

keno or bingo games, slot machines, race or sports books, 

Pari-Mutuel operations, or has the authorityto supervise 

or direct such persons; 

E. the individual regularly participates in cash counts more 

frequently than one day each week or participates in the 

count more than ten (10) days,-,in any thirty (30) day 

pe'riod; 

F. the individual may approve or extend to casin~ Pztrons 

complimentary services other than compliment.ary 

beverages; 

G. the individual supervises or directs other employees 

engaged in the control 02 gagling assets arid revenues and 

record keeping, ir,cluding tne recording of cash and 

evidences of indebtedness, and the maintenance, review or 
control of, the records, accounts, and reports of 

transactions which are required to be kept; and 

H. the person individually or as part of a group formulates 

management policy. 

00.518 LOANS TO GAMING ENTERPRISES 

Whenever a Gaming Enterprise intends to apply for or receive, 

accept, or make use of any cash, property, credit, guarantee, other 

form of security loaned to or provided for a Gaming Enterprise or 

on behalf of a Gaming Enterprise, it shall notify the Commission at 

least thirty (30) days prior to such transaction. 

A. Notice of such a transaction shall be submitted on a form 

provided by the Commission and shall include: 

1. the names and addresses of all parties to the 

transaction; 

2. the amount and source of the funds, property or 

credit to be received or applied for; 

3. the nature and amount of security to be provided by 

or on behalf of the Gaming Enterprise; and 

4. the purpose of the transaction. 

B. The report shall be accompanied or supplemented by copies 

of documents, and such other supporting data as the 

Commission may require. 

C. If, after such investigation as the Commission deems 

appropriate, and before the transaction is completed, the 

Commission finds that the transaction is inimical to the 

health, safety, morals, good order and general welfare of 

the Community, or would reflect, or tend to reflect, 

di'scredit upon the Community, t6e Commission shall order 

that the transaction not be completed or that it be 

modified upon such terms and conditions as it may deem 

appropriate. 

00.519 AUTHORIZED GAMING; OPERATIONAL REQUIREMENTS 

A. It is the policy of the Cornmuni.ty to require that Ganing 

Activity licensed under this Title be conducted in a 

manner suitable to protect the public health, safety, 

morals, go~d order and general welfare of the Community. 
B. The Gaming Enterprise is authorized to conduct gaming in 

accordance ' with Community and federal law and the 

Regulations of the Commission. 

C. Responsibility for the employment and maintenance of 

suitable methods of operation rests with the Gaming 

Enterprise and willful or persistent use or toleration of 

methods of operation deemed unsuitable will constitute 

grounds for License revocation or other adverse action. 

D. The Gaming Enterprise shall promptly notify the 

Commission of any non-compliance with the Title, 

Regulations, the Compact, or the Act or any other matters 

adversely affecting the integrity of Gaming Activity or 

the integrity of the Gaming Facility. In addition, the 

Gaming Enterprise shall promptly notify the Commission of 

any material non-compliance with the Internal Control 

System. The Gaming Enterprise shall promptly notify the 

Commission of any Gaming Enterprise employee termination 

and the Treason for the termination. The Gaming Enterprise 

shall require that upon termination, a former Gaming 

Enterprise employee immediately return any Gaming 

Enterprise property. 

52 0 PUBLICATION OF PAYOFFS 

A. Each Gaming Device shall display to the player, at all 

times the Gaming Device is available for player input, 

payoff schedules or awards applicable to that Gaming 

Device, whether displayed directly or as a menu item. 

B. Payoff schedules or awards applicable to every Class I1 

or Class I11 game shall be displayed by the Gaming 

Enterprise at all times either on the card table or in a 

conspicuous place readily accessible to all players. 

C. Payoff schedules or award cards must accurately state . actual payoffs or awards appli-cable to the particular 

game or device and shall not be worded in such manner as 

to mislead or deceive the public. Maintenance of any 

misleading or deceptive matter on any payoff schedule or 

award card or failure on the part of the Gaming 

Enterprise to make payment in strict accordance with 

posted payoff schedules or award cards may be deemed an 

unsuitable method of operation. 
00.521 GAMING BY PRINCIPALS AND EMPLOYEES 

No Licensee or person actively involved in the management of 

or the conduct of licensed games, shall play or be permitted to 

play, either directly or indirectly through another person, any 

Class I1 or Class I11 game conducted on the Reservation. 

00.522 TRANSFER OF INTEREST BY LICENSEES 

A. A Licensee who proposes to transfer or assign any portion 

of his or her interest in an Entity required to be 

licensed by the Commission, to another, shall give 

written notice of such proposed transfer or assignment to 

the Commission, including the names and addresses of the 

parties, the extent of the interest proposed to be 

transferred or assigned and the consideration therefor. 

B. The proposed transferee shall furnish to the Commission 

a sworn statement setting forth the source of funds to be 

used by him or her in acquiring such interest and shall 

also furnish to the Commission such further information 

as may be required. 

C. If the Commission does not give notice of disapproval of 

the proposed transfer of interest within fifteen (15) 

days, the proposed transfer of interest will be deemed 

approved and the transfer of interest may then be 

effected in accordance with the terms of transfer as 

submitted to the Commission. The parties shall 

immediately notify the Commission when the transfer of 

interest is actually effected. 

D. A Gaming Enterprise may not transfer or assign any 

interest in the Gaming Enterprise, any Gaming Activity, 

its License, or any future revenue without prior approval 

of the Community Council. 

E. . Licenses held by natu-:a1 persons may not be assigned. 

00.523 GAMING DEVICES 

A. No Gaming Device shall be made available for play by the 

public unless the Gaming Device has been leased, 

purchased or otherwise obtained from Manufacturers and 

Distributors licensed by the Commission. 

B. The Commission shall require each licensed Manufacturer 

and Distributor to verify under oath, on forms provided 
by the Commission, that the Gaming Devices manufactured 

or distribhted by them for use or play at Gaming 

Enterprises on the Reservation meet the requirements of 

this Title and the Compact. 

C. The Commission may require at reasonable times the 

testing of any Gaming Device to ensure compliance with 

the requirements of this Title and the Compact. Such 

testing shall comply with the requirements of the Compact 

and any Regulations. Any such testing shall be conducted 

by persons selected by the Commission and shall be at the 

expense of the licensed Manufacturer or the Gaming 

Enterprise. 

00.524 REGULATION OF CHIPS AND TOKENS 

A. Chips and Tokens used at Gaming Enterprises located on 

the F.3servation must be designed, manufactured, and 

constructed in compliance with the Compact, all 

applicable statutes, Regulations, and policies of the 

United States, Arizona and other states so as to prevent 

counterfeiting of the Chips and Tokens to the extent 

reasonably possible. Chips and Tokens must not 

deceptively resemble any current or past coinage of the 

United States or any other nation. 

B. The Gaming Enterprise may not issue Chips or Tokens for 

use at a Gaming Facility or sell or redeem Chips or 

Tokens unless the Commission has approved in writing the 

Gaming Enterprise's specifications for the Chips and 

Tokens. Such specifications shall meet the requirements 

of the Compact and Regulations, including, but not 

limited to, the following requirements: 

1. the name of the Gaming Enterprise must be inscriSed 

on each side of each Chip and Token; 

. 2: the value of the Chip or ~bcken must be inscribed on 

each side of each Chip and Token, other than Chips 

used exclusively at roulette; 

3. the manufacturer's name or a distinctive logo or 

other mark identifying the manufacturer must be 

inscribed on at least one side oZ each Chip and 

Token; 

4. each Chip or Token must be designed so that wher! 

stacked with Chips and Tokens of ot-hsr 
denornibnations ar:d viewed on closed-circuit, black 

and white television, the denomination of the Chip 

can be distingu:..shed from that of other Chips and 

Tokens in the st.ack; 

5. Within one (1) year of the Effective Date of the 

Compact, the Gaming Enterprise shall comply with 

the following standards: 

(a) A five-dollar Chip shall be predominantly red; 

(b) A twenty-five-dollar Chip shall be 

predominantly green; 

(c) A one-hundred dollar Chip shall be 

predominately black; 

(d) A five-hundred dollar Chip shall be 

predominately purple; 

(e) Tournament and promotional Chips may be of any 

color; 

(f) Chips designed for play of specific games may 

be of any color, or in the colors required by 

the rules of the game; and 

(g) Other Chip denominations may be used with 

approval of the Commission and the State 

Gaming Agency. 

C. Specifications for Chips - Unless the Commission approves 

otherwise, Chips must be disk shaped, must be .I30 inch 

thick, and must have a diameter of: 

1. 1.55 inches, for Chips used at games other than 

baccarat; 

2. 1.55 inches or 1.6875 inches, for Chips used at 

baccarat; 

3. 1.6875 inches, for Chips used exclusively at Race 

Books and Sports Pools or-other counter games; and 

4. Each side of each Chip issued for use exclusively 

at a Race Book, Sports Pool or particular game must 

bear an ingcription clearly indicating that use of 

the Chip is restricted to that game. 

D. Specifications for Tokens - Unless the Commission 

approves otherwise, Tokens must be disk-shaped and must 

measure as follows: 

1. No Token may be smaller than 1.459 inches or larger 
than 1.95 inches in diameter, and no Token may be 

from f.475 through 1.525 inches in diameter; 

2. One dollar denomination Tokens must be from 1.459 

through 1.474 inches in diameter, from .095 through 

-115 inch thick, and, if the Token has reeds or 

serration on its edges, the number of reeds or 

serration must not exceed 150; 

3. Five dollar denomination Tokens must be 1.75 inches 

in diameter, from .I15 through .I35 inch thick, 

and, if the Token has reeds or serration on its 

edges, the number of reeds or serration must not 

exceed 175; 

4. Twenty-five dollar denomination Tokens must be 

larger than 1.75 inches but no larger than 1.95 

inches in diameter (except that such Tokens may be 

1.654 inches (or 42 millimeters) in diameter if 

made of 99.9 percent pure silver), must be -10 inch 

thick, and, if the Token has reeds or serration on 

its edges, the number of reeds or serration must 

not exceed 200; 

5. Tokens of other denominations must have such 

measurements and edge reeds or serration as the 

Commission may approve; 

6. Tokens must not be manufactured from material 

possessing sufficient magnetic properties so as to 

be accepted by a coin mechanism, other than that of 

a Gaming Device; and 

7. Tokens must not be manufactured from a threelayered material consisting of a copper-nickel 

alloy clad on both sides of a pure copper core, nor 

from a copper-based material, unless the total of .. zinc, nickel, aluminum, magnesium, and other 

alloying materials is at least 20 percent of the 

Token's weight. 

00.525 USE OF CHIPS AND TOKENS 

A. The Gaming Enterprises shall: 

1. Comply with this Title, Compact, Regulations, and 

all applicable statutes and regulations pertaining 

to Chips or Tokens; 
2. Sell Chips and Tokens only to Patrons of the Gaming 

~nter~rise and only at their request; 

3. Promptly redeem its own Chips and Tokens from its 

Patrons; 

4. Post conspicuou:; signs at the Gaming Enterprise 

notifying Patrons that federal law prohibits the 

use of the Licensee's Tokens outside the facility 

for any monetary purpose whatsoever; and 

5. Take reasonable steps, including examining Chips 

and Tokens and segregating those issued by another 

Gaming Enterprise to prevent the issuance to its 

Patrons of Chips and Tokens issued by another 

Gaming Enterprise. 

B. Gaming Enterprises shall not accept Chips or Tokens as 

payment for any good or services offered at the Gaming 

Enterprises with the exception of the specific use for 

which the Chips or Tokens were issued, and shall not give 

Chips or Tokens as change in any other transaction. 

C. Gaming Enterprises shall not redeem its Chips or Tokens 

if presented by a person whom the Gaming Enterprise knows 

or reasonably should know is not a Patron of the Gaming 

Enterprise, except that a Licensee shall promptly redeem 

its Chips and Tokens if presented by an employee of the 

Gaming Enterprises who presents the Chips and Tokens in 

the normal course of employment. 

Chips, the use of which is restricted to uses other than 

at specified table games may be redeemed by Gaming 

Enterprises at table games or non-specified table games 

if the Chips are presented by a Patron, and the Gaming 

Enterprises redeems the Chips with Chips issued for use 

at the game, places the redeemed Chips in the table's 

dr'op box, and separates and properly accounts for the 

redeemed Chips during the count performed pursuant to the 

Internal Control System. 
00.526 REDEMPTION AND DISPOSAL OF DISCONTINUED CHIPS AND TOKENS 

If the Gaming Enterprises permanently removes from use or 

replaces approved Chips or Tokens at the Gaming Enterprise it shall 

redeem discontinued Chips and Tokens that remain outstanding at the 

time of discontinuance pursuant to a plan prepared by the Gaming 

Enterprises and approved by the Commission and the State Gaming 

Agency. 

00.527 DESTRUCTION OF COUNTERFEIT CHIPS AND TOKENS 

A. Unless a law enforcement officer instructs or a court of 

competent jurisdiction orders otherwise in a particular 

case, the Gaming Enterprises shall destroy or otherwise 

dispose of counterfeit Chips and Tokens discovered at the 

Gaming Facilities in such manner as it deems appropriate. 

B. Unless a peace officer instructs or court of competent 

jurisdiction orders otherwise in a particular case, the 

Gaming Enterprises may dispose of coins of the United 

States or any other nation discovered to have been 

unlawfully used at its establishment by including them in 

their coin inventories or, in the case of foreign coins, 

by exchanging them for United States currency or coins 

and including the same in their currency or coin 

inventories, or by disposing of them in any other lawful 

manner. 

C. The Gaming Enterprises shall record: 

1. The number and denominations, actual and purported, 

of the coins and counterfeit Chips and Tokens 

destroyed or otherwise is disposed of pursuant to 

this Chapter; 

2. The month during which such coins and counterfeit 

Chips or Tokens were discovered; . - 

3. The date, place, and method of destruction or other 

disposition, including, in the case of foreign coin 

exchanges, the exchange rate and the identity of 

the bank, exchange company, the business or person 

at which or with whom the coins are exchanged; and 

4. The names of the persons carrying- out the 

destruction or other deposition on behalf of the 

Gaming Enterprises. 
D. The record? required by Section 00.527 C. must be 

retained for a period of two (2) years. 

00.528 OTHER GAMING EQUIPMENT 

All Class I1 or Class I11 Gaming Equipment must be designed, 

manufactured, approved, used, discontinued, destroyed, or otherwise 

disposed of in accordance with the provisions of this Chapter, the 

Compact, and any applicable Regulations of the Commission. 

00.529 PREMISES OPEN TO COMMISSION 

Premises where any activity related to Class I1 or Class I11 

Gaming Activity or any activity of a Gaming Enterprise is operated 

or conducted, shall at all times be open to inspection by the 

Commission and its staff and its employees. All documents, 

records, data, and communication of any type of any Gaming 

Enterprise or any Licensee or in the custody of any Licensee shall 

be made available to the Commission, upon the reasonable written 

demand of its ~xecutive Director. 

00.530 PROTECTION OF THE ENVIRONMENT AND PUBLIC HEALTH AND 

SAFETY 

Class I1 and Class I11 Gaming Facilities shall be constructed, 

maintained, and operated in a manner that adequately protects the 

environment and the public health and safety and that meets or 

exceeds the standards established by Community law. 

00.531 LEGAL AGE FOR GAMING 

Effective June 1, 2003, no person under 21 years of age shall 

place a Wager in any Class I11 Gaming Activity. 

CHAPTER 6 - CONDUCT OF CLASS I1 GAMES 

- 

00.601 . MERCHANDISE PRIZES 

When any merchandise is awarded as a prize in a Class I1 game, 

the value of such merchandise shall be its actual retail price. 
00.602 PRIZE PURCHASE PRICES 

Equipment, prizes, and supplies for Class I1 games of chance 

shall not be purchased or sold at prices in excess of the usual 

price thereof. 

00.603 NO LIMIT ON PRIZES 

There shall be no limit on the size of the prize offered or 

given in any bingo game or on any occasion. 

00.604 CLASS I1 RULES OF PLAY 

A. The equipment used in Class 11 games and the method of 

play shall be such that each card shall have an equal 

opportunity to win. 

B. The objects or balls to be drawn shall be uniform as to 

size, shape, weight, balance, and any other 

characteristic that might influence their selection. 

C. All objects or balls shall be present in the receptacle 

before each game is begun. 

D. All numbers or designations drawn shall be announced 

plainly and clearly, and shall be audible or visible to 

all the players present including, where more than one 

room is used for any bingo game, all players present in 

each room. 

E. The receptacle, the caller, and the person removing the 

objects or balls from the receptacle must be visible to 

all the players at all times, except that where more than 

one room is used for any bingo game, the receptacle and 

the caller must be present in the room where the greatest 

number of players are present. 

F. .The cards or sheets of the players shall be a part of a 

deck, group, or series of cards, no two of which shall be 

alike, and which deck, group, or series shall not be so 

prepared or arranged as to prefer any card. , 

G. The particular arrangement of numbers or designations 

required to be covered in order to win the game and the 

amount of the prize shall be piainly and clearly 

described, and audibly or visibly announced to the 

players immediately before each game is begun. 
00.605 PLAYERS ENTJTLED TO VERIFICATION 

Any player of Class 11 Gaming shall be entitled to call for a 

verification of all numbers or designations drawn at the time a 

winner is determined and for a verification of the objects or balls 

remaining in the receptacle anti not yet drawn. The verification 

shall be made in the immediate presence of the most senior 

supervisory official for the shift at which the verification is 

made. 

CHAPTER 7 - ACCOUNTING PROCEDURES 

00.701 [deleted] 

00.702 ACCOUNTING RECORDS 

A. Each Gaming Enterprise shall keep accurate, complete, 

legible, and permanent records of all transactions 

pertaining to the Gaming Operation in a manner suitable 

for audit under the Generally Accepted Auditing 

Standards. Each Gaming Enterprise shall keep such 

records as necessary to prepare separate reports of 

transactions at each Gaming Facility. 

B. Each Gaming Enterprise shall keep general accounting 

records using a double entry system of accounting with 

transactions recorded on a basis consistent with 

Generally Accepted Accounting Principles. The Gaming 

Enterprise shall maintain detailed, supporting and 

subsidiary records for the general accounting records, 

which shall include: 

1. Detailed records identifying revenues, expenses, 

assets, liabilities, and fund balances or equity 

for the Gaming Operation; 

2. Detailed records of all markers, IOUf s, returned 

checks, hold checks or other credit instruments; 

3. Such other uniform periodic reports, including 

statistical reports as may be reasonably required 

by the Commission; 

4. Individual and statistical game records to reflect 

statistical drop, statistical win and the 

percentage of statistical win to statistical drop 

by table for each table game, and to reflect 

statistical drop for each type of ts.ble game, 
either by shift or other accounting period as 

determined by Gaming Enterprise management and 

individual and statistical game records reflecting 

similar information for all other games; 

5. Gaming Device analysis reports which, by each 

machine, compare actual hold percentages to 

theoretical hold percentages; 

6. All records required by the Internal Control System 

including, but not limited to, those relating to 

any Gaming Activity authorized by the Compact; 

7. Journal entries for the Gaming Operation; 

8. Detailed records sufficient to accurately reflect 

gross income and expenses relating to its operation 

on a monthly and year-to-date basis; 

9. ~ekailed records of any reviews or audits, whether 

internal or otherwise, performed in addition to the 

annual audit required by Section 00.506 of this 

Title, including, but not limited to management 

advisory letters, agreed upon procedure reviews, 

notices of non-compliance and reports on the 

Internal Control System; and 

10. Records of any proposed or adjusting entries made 

by an independent certified public accountant. 

C. A Gaming Enterprise shall create and maintain such 

records as required to accurately reflect gross gaming 

revenue and expenses relating solely to Gaming Activity, 

separate from any other revenue and expenses of the 

Gaming Enterprise. 

00.703 [deleted] .- 

00.704 INTERNAL CONTROLS 

Each Gaming Enterprise shall operate pursuant to a written 

Internal Control System adopted by the Gaming Enterprise and 

approved by the Commission that meets the requirements of the 

Cornmission' s .internal control standards, this Title, the Compact, 

and the Acc. Each Gaming Enterprise shall provide a copy of the 

Internal Control System and any amendmerits thereto to the 

Com~ission. The Commission shall- provide written approval or 

disapproval of the Internal Control System or any amendments 
thereto within fortyTfive (45) days of receipt. The Commission 

must approve the Internal Control System prior to its 

implementation by the Gaming Enterprise. 

00.705 [deleted] 

00.706 FINANCIAL SERVICES FOR CUSTOMERS 

A. A Gaming Enterprise may provide check cashing services, 

banking machine services, or credit card services to 

customers through contract agreements with third party 

vendors subject to approval of any such contracts by the 

Commission. Neither a Gaming Enterprise, or a Key 

Employee or Primary Management Official may extend credit 

to a customer. 

B. The Gaming Enterprise shall not locate an automatic 

teller machine ("ATM") within a Gaming Facility that: a 

1. 'is adjacent to, or in close proximity to, a Gaming 

Device; or 

2. accepts electronic benefit transfer cards issued 

pursuant to a state, tribal, or federal program 

that is intended to provide for needy families or 

individuals. 

C. The Gaming Enterprise shall not accept checks or non-cash 

items issued pursuant to a state, tribal, or federal 

program that is intended to provide for needy families 

and individuals and shall not extend credit to any Patron 

of a Gaming Facility for any Class I11 Gaming Activity. 

CHAPTER 8 - CLASS I GAMING 

00.801 CLASS I GAMING . Until such time as the Community Council shall otherwise 

determine, the authority to control or regulate Class I Gaming 

activities shall remain with the Community Council. 

00.802 CLASS I GAMES EXEMPT FROM PROVISIONS OF THIS TITLE 

Notwithstanding the provisions of this Title, a nonprofit 

organization may conduct or operate small bingo games on the 

Reservation subject to the following restrictions: 

A. The nonprofit organization shall maintain its not-for- 
profit status and no member, director, officer, employee 

or agent t'hereof may receive any direct or indirect 

pecuniary benefit other than the ability to participate 

in the games on a basis equal to all other participants. 

B. The nonprofit organization shall have been in existence 

continuously on the Reservation for at least a two (2) 

year period immediately prior to the conduct of a small 

bingo game. 

C. No person except a bona fide member of the nonprofit 

organization and an enrolled member in the Community or 

resident of the Reservation may participate directly or 

indirectly in the conduct or supervision of a Class I 

game. 

Except as otherwise provided by this Section a prize 

greater in amount or value than $1,000 shall not be 

offered or given away in any single game of bingo and 

total prizes shall not exceed an amount or value greater 

than $3,000 for any occasion or the game shall be a Class 

I1 game subject to authority of the Commission. Door 

prizes, discounts or other inducements with a value 

exceeding $50 per occasion shall not be given away. 

E. Upon special Application by the nonprofit organization to 

the Commission, the Commission may, in its discretion 

authorize one special bonus game to be played at weekly 

consecutive occasions with a quarterly prize limit of 

$12,000. A weekly consecutive occasion shall be an 

occasion played on the same day of each week during the 

quarter. The special bonus game may be played at each 

weekly consecutive occasion subject to rules to be 

promulgated by the Commission. The special bonus game is 

not subject to the prize limits set forth in the Section 

D., above. 

F. . A ,nonprofit organization shall- not conduct or operate 

more than three (3) occasions of bingo during any 

calendar week. On any occasion at which bingo games are 

played they shall not exceed 35 in nuder in any day. 

CHAPTER 9 - CRIMES AND LIABILITIES CONCERNING GAMING 

06.901 FRAUDULEiiT ACTS 

A. It shall be unlawful for any person: 
1. To alter or misrepresent the outcome of a game or 

other 'event on which Wagers have been made after 

the outcome is arrived at but before it is revealed 

to the players; 

2. To place, increase or decrease a bet or to 

determine the course of play after acquiring 

knowledge, not available to all players, of the 

outcome of the game or any event that affects the 

outcome of the game or which is the subject of the 

bet; 

3. To aid anyone in the acquisition of such knowledge 

for the purpose of placing, increasing or 

decreasing a bet or determining the course of play 

contingent upon that event or cutcome; 

4. To claim, collect or take, or attempt to claim, 

collect or take, money or anything of value in or 

from a Gaming Enterprise, with intent to defraud, 

without having made a Wager contingent thereon, or 

to claim, collect or take an amount greater than 

the amount won; 

5. To knowingly entice or induce another to 

participate in Gaming Activity conducted or 

operated in violation of the provisions of this 

Title with the intent that the other person play or 

participate in that gambling game; 

6. To place or increase a bet after acquiring 

knowledge of the outcome of the game or other event 

which is the subject of the bet, including pastposting and pressing bets; 

7. To reduce the amount wagered or cancel the bet 

after acquiring knowledge of the outcome of the 

game or the event which is- the subject of the bet, 

including pinching bets; or 

8. To manipulate, with the intent to Cheat, any 

component of a Gaming Device in a manner contrary 

to the designed and normal operational purpose for 

the component, including, but net limited to, 

varying the pull of the handle of a slot machine, 

with knowledge of that the manipulation affects the 

outcome of the game or with knowledge of any event 

that affects the outcome of the game. 
00.902 USE OF DEVICE FOR CALCULATING PROBABILITIES 

It shall be unlawful for any person patronizing a Gaming 

Enterprise on the Reservation to use, or possess with the intent to 

use, any device to assist: 

A. In projecting the outcome of the game; 

B. In keeping track of the cards played; 

C. In analyzing the probability of the occurrence of an 

event relating to the game; or 

D. In analyzing the strategy for playing or betting to be 

used in the game. 

00.903 USE OF COUNTERFEIT OR UNAPPROVED CHIPS OR TOKENS OR 

UNLAWFUL COINS OR DEVICES; POSSESSION OF CERTAIN DEVICES, 

EQUIPMENT, PRODUCTS OR MATERIALS 

A. It shall be unlawful for any licensed person, Entity, 

employee or other person to use counterfeit Chips in a 

game regulated pursuant to this Title. 

B. It shall be unlawful for any person, playing or using any 

game regulated pursuant to this Title which is designed 

to be played with, received or operated using Chips or 

Tokens approved by the Commission or by lawful coin of 

the United States: 

1. To knowingly use Chips or Tokens other than those 

approved by the Commission or lawful coin, legal 

tender of the United States, or to use coin not of 

the same denomination as the coin intended to be 

used in that gambling game; or 

2. To use any device or means to violate the 

provisions of the ~ompact'br this Title. 

C. It shall be unlawful for any person, not a duly 

authorized employee of a Gaming Enterprise loca.ted on the 

Reservation acting in furtherance of his or her 

employment with the Gaming Enterprise, to have on his or 

her person or in his or her possession on or off the 

premises any device intended to be used to violate ~ne 

provisions of this Title or the Compact. 

D. It shall be unlawful for any person, not a duly 

authorized employee of the Gaming Enterprise acting in 

6 7 
furtheranc~ of his or her employment within the Gaming 

Facility, to have on his or her person or in his or her 

possession on or off the premises any key or device 

demonstrated to have been designed for the purpose of and 

suitable for opening, entering or effectingthe operation 

of any game regulated pursuant to this Title, drop box or 

any electronic or mechanical device connected thereto or 

for removing money 01: other contents therefrom. 

E. It shall be unlawful for any person to have on his or her 

person or in his or her possession any Paraphernalia for 

Manufacturing Slugs. 

F. Possession of Paraphernalia for Manufacturing Slugs which 

includes possession of more than one device, piece of 

equipment, product or material described in this Section 

shall permit, in any action against the possessor 

resulting from such possession, a rebuttable inference 

that the possessor thereof intended to use them for the 

purpose of Cheati,ng. 

00.904 CHEATING 

It shall be unlawful for any person, whether he or she is an 

employee of the Gaming Enterprise or a Patron thereof to Cheat at 

any game regulated pursuant to this Title. 

00.905 UNLAWFUL MANUFACTURE, SALE, DISTRIBUTION, MARKING, 

ALTERING OR MODIFICATION OF EQUIPMENT AND DEVICES 

ASSOCIATED WITH GAMING; UNLAWFUL INSTRUCTION 

A. It shall be unlawful to manufacture, sell or distribute 

any cards, Chips, dice, game or device intended to be 

used to violate any provision of this Title or the 

Compact. 

B. It shall be unlawful to mark, alter or otherwise modify 

ariy Gaming Equipment or Gaming Device in a manner that: 

1. Affects the result of a Wager by determining win or 

loss; or 

2. Alters the normal criteria of random selection 

affecting the operation of a game or which 

determines the outcome of a game. 

C. It shall be unlawful for any person to instruct another 

in Cheating or in the use of any device for that purpose, 

with the knowledge or intent t.hat the information or its 

68 
use so conyeyed may be employed to violate any provision 

of this Title or the Compact. 

PENALTIES 

Any person who violates any provision of this Chapter 

shall be pmished, for each such violation, to the 

maximum extent allowable for violations of the laws of 

the Community and may be denied any privilege under this 

Title, including a License. 

Any person or persons who attempts, or two or more 

persons who conspire, to violate any provision of this 

Title, shall each be punished by imposing the penalty 

provided in A. of this Section for the completed crime, 

whether or not he or she personally played any gambling 

game or used any prohibited device. 

PROVIDING FALSE INFORMATION; OBSTRUCTION OF JUSTICE 

It shall be unlawful for any person or Entity to 

knowingly submit any false or misleading, information or 

to refuse to submit information required by this Title or 

regulations of the Commission, to a Gaming Enterprise, 

the Commission, an employee of the Commission, the 

Community, the National Indian Gaming Commission, or to 

the State Gaming Agency. 

It shall be unlawful for any person to corruptly 

influence, obstruct, or impede or endeavor to influence, 

obstruct, or impede the due and proper administration of 

the law under which any pending investigation or 

proceeding is being had before the Commission or any 

agency of the Community. 

DETENTION AND QUESTIONING OF PERSONS SUSPECTED OF 

VIOLATING CHAPTER; LIMITATIONS,PN LIABILITY; POSTING OF 

NOTICE 

Authorities who question any person suspected of 

violating any of the provisions of this Title, the 

Compact, or state or federal law or regulation shall not 

be criminally or civilly liable: 

1. On account of any such questioning; or 

2. ?or repo~ting to the Commission, the State Gaming 

Agency, federal or state regulatory authorities, or 

law enforcen1er.t authorities the identity of the 
persorj s~specteci of the violation. 

B. Any regulatory or law enforcement authorities who have 

probable cause for believing that there has been a 

violation of this Tit.le or other law in connection with 

a Gaming Enterprise on the Reservation by any person, may 

take that person into custody and detain the person in a 

reasonable manner and for a reasonable length of time. 

C. Such taking into custody and detention shall not render 

the Gaming Enterprise, the Commission, or the Community 

or their officers, agents or employees criminally or 

civilly liable. 

D. There shall be displayed in a conspicuous place in the 

Gaming Enterprise a notice in boldface type which is 

clearly legible and substantially this form: 

Agents of the Gila River Gaming Commission 

or the State Gaming Agency, or any Authority who 

has probable cause for believing that a person 

has violated any provision of the Gila River 

Indian Community Gaming Ordinance Title I 

Chapter Nine prohibiting cheating in gaming and 

other offenses may detain that person. 

00.909 DISPOSITION OF EVIDENCE SEIZED BY AGENT OF THE TRIBAL 

GAMING AGENCY OR THE STATE GAMING AGENCY 

A. After the final adjudication of a complaint involving a 

violation of this Title or the Compact, or of any other 

complaint involving the seizure of evidence by an agent 

of the Commission, a court of competent jurisdiction may 

enter an appropriate order disposing of all physical 

evidence pertaining to the complaint, whether or not the 

evidence was introduced as an exhibit. 

B. Except as otherwise provided herein, evidence seized by 

an agent of the Commission related to an investigation 

which does not result in a complaint charging a violation 

of the law and evidence for which an order of disposition 

is not entered pursuant hereto must be disposed of, after 

the evidencl is no longer needed and the investigation is 

completed, as follows: 

1. The Commission shall notify by certified mail each 

potential claimant of the evidence that he or she 
has thirty (30) days following receipt of notice 

with which to file a written claim with the 

Commission for return of the evidence. 

2. If more than one person files a claim for the 

evidence: 

a. The claimants may agree among themselves as to 

how they wish to divide the evidence, subject 

to approval of the Commission; 

b. The claimants may agree to submit the matter 

to binding arbitration or any claimant may 

institute legal proceedings before the 

Community Court to determine the proper 

disposition of the evidence. The Commission 

shall return the evidence to the claimants in 

accordance with any agreement approved by the 

Commission, final judgment or award made 

pursuant to the provisions of this Section. 

C. A person to whom property is returned by the Commission 

pursuant to this Section shall execute such documents as 

are required by the Commission to defend, hold harmless, 

indemnify and release the Commission from any liability 

arising from the delivery of the property to the 

claimant. 

D. If no claim is submitted, the Commission shall deposit 

all seized money with the Community and may use all other 

property for any lawful purpose including the sale of the 

property. The Commission may dispose of any property 

which cannot be used for any lawful purpose in any 

reasonable manner. 

E. Evidence which constitutes a device for Cheating, 

contraband, or evidence not lawful to possess may not be 

returned to a claimant and &st be retained by t:he 

Commission. The Commission shall periodically destroy 

such devices in any reasonable manner. 

CHAPTER 10 - JUEIISDICTION; STANDARD OF REVIEW 

00.iOG1 JURISDICTION IN THE CObIMUNITY COURT 

A. The Community Court shall have original and exslusivs 

jurisdictisn to consider and resolve appeais froin fins1 

decisions of the Commission to impose 2. fi?e of five 

hu~dred dollars ($500) or msre or to susp2ne cr :-?~fik2 a 
License bu; not from the denial of an Application. 

1. The Community Court shall affirm a decision of the 

Commission unless such decision: 

a. was contrary to applicable Constitutional 

rights of t.he appellant; 

b. was arbitrary, capricious, or an abuse of 

discretion; or 

c. was otherwise in contravention of law. 

2. A decision of the Community Court is subject to a 

further appeal to the Gila River Indian Community 

Court of Appeals. 

B. The Community Court shall affirm the decision of the 

Commission unless any factor contained in 00.1001 A., 

immediately above, is demonstr~ted, in which case the 

Community Court may reverse or vacate the decision of the 

Commission, and may remand the decision to the 

Commission. 

C. In appeals under this Section 00.1001, the Community 

Court shall consider only such evidence as appears in 

records of the Cornmission and Commission hearing 

transcripts available at the time of its decision. 

00.1002 COMMUNITY COURT REVIEW LIMITED TO THE RECORD OF THE 

COMMISSION PROCEEDINGS 

A. The Community Court shall have jurisdiction over any 

matter brought to enforce the provisions of this Title, 

to enforce any final decision c.e order cf the Commission, 

and civil jurisdiction over all persons subject to the 

provisions of this Title and cfiminai jurisdiction over 

all members of federally-recognized tribes. 

B. In addition to civil and crininal pena!.ties available 

hereunder, the Community Court may grant such other legal 

and equitable relief as is necessary and proper for the 

enforcement of the provisions oir this Titic, irlcl-uding 

but nst limited t.3 i.n ju~ct l'.r? reiief against acts 

committed ir: vioia~ion hereof'. ?'his Title si~all be 

construed to authzrize the exerci.se of jurisdiction over 

non-Indians to the exteilt sllawed by any applicable 

present or future Act of Congress or my applicable 

federal col~rt decision. 
00.1003 VIOLATIONS; JURISDICTION; ENFORCEMENT OF SUBPOENAS 

A. Any person found in the Community Court to have violated 

any provision of this Title, shall be liable for civil 

penalties equal to actual damages, except that a person 

who commits an intentional or willful violation of any 

provision herein shall be liable for punitive damages, 

which shall be assessed in an amount not to exceed three 

times actual damages or $1,000, whichever amount is 

greater. 

B. Any person convicted in the Community Court for violation 

of any provision of this Title, shall be guilty of a 

criminal offense punishable by a fine not to exceed 

$5,000, or by imprisonment in the Community jail not to 

.exceed one (1) year, or both for each such offense. 

00.1004 ENFORCEMENT OF COMMISSION SUBPOENAS 

A. . The Executive Director may apply to the Community Court 

for an order returnable in not less than five (5) nor 

more than ten (10) days directing a person, Entity, or a 

Gaming Enterprise to show cause why he or she should not 

be found in contempt in the event: 

1. A person subpoenaed to appear before the 

Commission, or to produce books, accounts, records, 

or other documents in any investigation or hearing 

conducted by the Commission fails to obey the 

command of the subpoena without reasonable cause; 

or 

2. A person in attendance at any hearing or 

investigation refuses, without lawful cause, to be 

examined, to answer any legal and pertinent 

question, or to exhibit any book, account, record, 

or other document when ordered to do so by the .. ' Commission. 

B. No person shall be excused from testifying or producing 

any book, account, records or other documents as directed 

through a subpoena of the Commission on the ground that 

such. testimony or documentary evidence may tend to 

incriminate himself or herself if the Commission or the 

General Counsel agree in writing tha~ such person shall 

not be prosecuted, punished, or subjected to any penalty 

or forfeiture resulting from such testimony or production 

of documents. Nc person, however, shall be exempt from 

prcsscution or punishment for any act of perjury 

'7 3 
committed in the course of testimony presented under a 

grant of immunity under this Subsection. 

PATRON DISPUTES 

REFUSAL TO PAY WINNINGS 

Whenever a Gaming Enterprise refuses payment of alleged 

winnings to a Patron, or if a Gaming Enterprise otherwise 

has a dispute with a Patron regarding that Patron's wins 

or losses from Gaming Activity, and the Gaming Enterprise 

and the Patron are unable to resolve the dispute to the 

satisfaction of the Patron and the dispute involves: 

At least five hundred dollars ($500), the Tribal 

Gaming Enterprise shall immediately notify the 

Commission in writing specifically stating the 

circumstances of the disputed winnings, the issues 

in dispute, and the grounds on which the Tribal 

Gaming Enterprise bases its decision not to pay. 

The Commission shall conduct whatever investigation 

it deems necessary and shall determine whether 

payment should be made; or 

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

Gaming Enterprise shall inform the Patron of his or 

her right to request that the Commission conduct an 

investigation. Upon request of the Patron, the 

Commission shall direct the Gaming Enterprise to 

prepare and submit to the Commission within ten 

(10) business days a statement explaining with 

specificity the circumstances of the disputed 

winnings, and the issues in dispute. 

NOTICE TO PATRONS 

The Commission shall mail written notice by certified 

mail, return receipt: requested, to the Tribal Gaming 

Enterprise and the Patron of the decision resolving the 

dispute within thirty (30) days following the date the 

Commission first receives notification from the Tribal 

Gaming Enterprise or a request to conduct an 

investigation from the Patron. 
C. EFFECTIVE DATE OF DECISION 

The decision of the Commission is effective on the date 

it is received by the aggrieved party as reflected on the 

return receipt as posted. 

D. REVIEW OF DECISION 

Within thirty (30) days following the date of 

receipt of the Commission's written decision, the 

Patron or the Gaming Enterprise may file a petition 

with the Commission requesting a review of the 

decision. The Commission may set a hearing on the 

matter or may make a decision based solely upon the 

written submissions of the Patron and the Tribal 

Gaming Enterprise. The Commission shall then issue 

a written decision and mail it to the parties. 

2. The decision of the Commission shall be final and 

binding upon the Patron and the Tribal ,Gaming 

Enterprise and shall not be subject to judicial 

review, dispute resolution or other legal action, 

except that a Patron whose dispute involves at 

least five hundred dollars ($500) may file a 

complaint in the Community Court within sixty (60) 

days of receipt of the Commission's written 

decision. 

3. The Community Court shall have jurisdiction to hear 

and render decisions on Patron disputes under 

Section 00.1005 involving at least five hundred 

dollars ($500) and that have been subject to the 

Commission's review as authorized in Section 

00.1005.D.l. The Community Court's review of a 

Commission decision issued under Section 

00.1005.D.l shall be subject to the limitations of 

Section 00.1001.A.1. - 

00.1006 PATRON TORT DISPUTES PROCEDURES 

A. Tort Claims Procedures. 

The Gaming Enterprise shall adopt procedures for 

resolving Patron Tort Claims. Such procedures shall 

be reviewed and approved by the Commission. The 

procedures shall include all tine limits applicable to 

the disposition of the tort claim and a provision 

that, upon request, the Patron or invitee, or the 

Patron's or invitee's designated representative, shall 

75 
be provi,ded with a copy of the procedures as well as 

the name, address and telephone number of the Gaming 

Enterprise and the mailing address and telephone 

number of the clerk of the Community Court. 

2. The Gaming Enterprise shall maintain one or more 

policies of commercial general liability insurance 

with a combined single limit for personal injury and 

property damage in the amount of at least two million 

dollars ($2,000,000) per occurrence and in the 

aggregate. 

3. All Tort Claims shall be subject to the Procedures. 

B. Community Court Jurisdiction over Tort Claims. 

1. The Community Court shall have exclusive jurisdiction 

over all patron tort claims arising from the 

administration and enforcement of the Procedures. 

2. All Tort Claims shall be asserted solely against the 

Gaming Enterprise and no other person or entity.