RESOLUTION OF THE TOHONO OODHAM LEGISLATIVE COUNCIL

(Approving Amendments to the Gaming Ordinance)

EL I ~ 20Q3 RESOLUTION NO. 03-084

1 WHEREAS, by Resolution No. 93-296, the Nation enacted an Ordinance for the Regulation of

2 Gaming Activities within the Tohono Oodham Nation (the Gaming Ordinance); and

3 WHEREAS, the Gaming Ordinance was amended in 1997 by Resolution Nos. 97-168 and 97-303,

4 and numbered as Ordinance No. 93-0 1; and

5 WHEREAS, the Gaming Ordinance was amended in 1999 by Resolution No. 99-206; and

6 WHEREAS, by Resolution No. 02-562, the Nation approved a new tribal-state gaining compact

7 with the State of Arizona; and

8 WHEREAS, the Gaming Office of the Tohono Oodham Nation recommends amendment to

9 various provisions of the Gaming Ordinance, in the form attached hereto and

10 incorporated herein by this reference, for consistency with the new compact; and

11 WHEREAS, the Gaming Authority of the Tohono Oodham Nation and the Commerce Committee

12 and the Domestic Affairs Committee of the Legislative Council support the

13 recommended amendments to the Gaming Ordinance.

14 NOW, THEREFORE, BE IT RESOLVED THAT:

15 1. The Gaming Ordinance is hereby amended in the form attached hereto.

16 2. The Gaming Ordinance shall be reprinted in its entirety bearing Ordinance No.

17 93-01 and showing a revision date of February 2003.

18 3. The amendments to the Gaming Ordinance approved hereby shall be effective

19 immediately, subject only to disapproval by the National Indian Gaming

20 Commission.

21 4. The Executive Director of the Gaining Office is authorized and directed to submit

22 the amended Gaming Ordinance to the National Indian Gaming Commission for

23 approval, and to take all other reasonable and necessary steps for

24 implementation of this Resolution.

25 The foregoing Resolution was passed by the Tohono Oodham Legislative Council on the 06111 Day

26 of FEBRUARY, 2003 at a meeting at which a quorum was present with a vote of 1,504.9 FOR; 727.9

27 AGAIN5T;184.7 NOT VOTING; and 19.5] ABSENT, pursuant to the powers vested in the Council by

28 Section 1 (ç~ of Article VI of the Constitution of the Tohono OOdham Nation, adopted by the

29 Tohono OOdham Nation on January 18, 1986; and approved by the Acting Deputy Assistant

30 Secretary - Indian Affairs (Operations) on March 6, 1986, pursuant to Section 16 of the Act oil une

31 18, 1934(4.8 Stat. 984).
RESOLUTION NO. 03-084

(Approving Amendments to the Gaming Ordinance)

Page 2 of 2

I TOHONO OODIIAM LEGISLATIVE COUNCIL

2

3 ~

4 Rita A. Martinez, Legislative Chairwoman

5

6 _____

dayof ,20_____

7

8 ATTEST:

97~

10

11 1 na Saraficio, Acting Legislative Secretary

13 _____

day of __________________,20______

15 Said Resolution was submitted for approval to the office ofthe Chairman ofthe Tohono OOdham

16 Nationonthe ______

day of ~~L; ~ , 20 ~

at ~ oclock, ____.M.,

17 pursuant to the provisions of Section 5 ofArticle VII of the Constitution and will become effective

18 upon his approval or upon his failure to either approve or disapprove it within 48 hours ol

19 submittal.

20

21 TOIIONO OODUAM LEGISLATIVE COUNCIL

22

23 ~ ~

24 Rita A. Martinez; Legislative Chairwoman

28 APPROVED on the //~ay ~20

30 1 1 DISAPPROVED at / D~clock

34 EDWARD D. MANUEL, Chairm

35 TOHONO OODHAM NATION

36

37

38

39 Returned to the Legislative Secretary on the _______

day of

40

41 __________________,20 , at 1/ oclock, / .M.

45 Julianna Sara ficio, ting Legislathf~Secretary
ORD.NO. 93-01

ORDINANCE FOR THE REGULATION OF

GAMING ACTIVITIES WITHIN THE TOHONO OODHAM NATION

Chapter 1. Findings and Purposes I

Section 101. Legislative Findings I

Section 102. Purposes I

Chapter 2. Definitions 2

Section 201. Definitions 2

Chapter 3. Tribal Ownership and Use of Net Revenues 6

Section 301. Tribal Ownership of Gaming Activities

Section 302. Use of Net Revenues 6

Chapter 4. Tohono Oodham Gaming Office 2

Section 401. Establishment of the Gaming Office 7

Section 402. Personnel 7

Section 403. Powers and Duties of the Gaming Office 9

Section 404. Issuance of Regulations 11

Section 405. Petition for Self-Regulation 12

Chapter 5. Gaming Facility Operators License

Section 501. Requirement of License

Section 502. Standards of Suitability 12

Chapter 6. Gaming Managers License

Section 601. Requirement of License

Section 602. Standards of Suitability 13

Chapter 7. Licenses for Gaming Device Manufacturers, Distributors, Suppliers of

Gaming Services, and Financers

Section 701. Requirement of License

Section 702. Standards of Suitability 15

Chapter 8. Gaming Employees License 16

Section 801. Requirement of License

Section 802. Standards of Suitability

Chapter 9. License Application Procedure 17

Section 901. Application Requirements: Processing 11

Section 902. Fees 19

Section 903. License Terms; Renewal 20

Section 904. State Certification 21
ORD.NO. 93-01

Chapter 10. Background Investigations; Notifications

Section 1001. Background Investigations

Section 1002. Notification to the National Indian Gaming Commission

Chapter 11. Gaming Facility License.

Section 1101. Requirement of License 23

Section 1102. Standards for Issuance of License 23

Section 1103. Application for a New or Amended License: Procedure 24

Section 1104. Fees 26

Section 1105. License Terms~ Renewal 26

Chapter 12: Facility Inspection; Investigations; Notice of Violation; Judicial Review.

27

Section 1201. Facility Inspection 27

Section 1202. Investigations 27

Section 1203. Notice of Violation 28

Section 1204. Judicial Review 30

Chapter 13: Gaming Operation 31

Section 1301. Scope of Permissible Gaming

Section 1302. Hours, Days. Other Standards

Section 1303. Employee and Player Age Limit 31

Section 1304. Management: Security 32

Section 1305. Internal Controls 33

Section 1306. Notification 35

Section 1307. Annual Independent Audit 35

Section 1308. Public Disclosure of Payoffs 37

Section 1309. Patron Disputes

Section 1310. Play by Employees 38

Section 1311. Financial Services at Gaming Facilities

Section 1312. Advertising Guidelines 39

Chapter 14. Violations and Remedies 39

Section 1401. Violations 39

Section 1402. Civil Penalties 40

Section 1403. Civil Remedies 40

Chapter 15: Transition Provisions 40

Section 1501. Existing Games Lawful 40

Section 1502. Repeal of Prior Ordinances and Resolutions 40

Chapter 16. Amendments 4].

Section 1601. Amendments 41

11
OP.D.NO. 93-01

ORDINANCE FOR THE REGULATION OF GAMING ACTIVITIES

WITHIN THE TOHONO OODHAM NATION

Chapter 1. Findings and Purposes.

Section 101. Legislative Findings The Legislative Council of the Tohono Oodham

Nation hereby finds:

(a) that the orderly and honest conduct of gaming activities within the Tohono

Oodham Nation has been and will continue to be of vital importance to the economy of

the Nation, and to the general welfare of its members;

(b) that the continued growth and success of gaming within the Tohono

Oodham Nation are dependent upon public confidence and trust that such activities are

conducted honestly and that they are free from criminal and corrupt elements, and that the

facilities in which such activities are conducted are designed and maintained to assure the

safety and comfort of patrons of the gaming activities;

(c) that such public confidence and trust can only be maintained by the

comprehensive regulation of all people, practices, and activities related to the operation of

the Nations gaming facilities; and

(d) all of the Nations establishments where gaming is conducted, and all

people holding positions of responsibility with respect to any such activity, must therefore

be licensed, and their activities monitored, to assure that the public health, safety, and

general welfare of the inhabitants of the Nation and the patrons of its gaming facilities are

fully protected, and so as to assure the economic success of gaming activities within the

Nation.

Section 102. Purposes This Ordinance is therefore enacted, and shall be interpreted, so

as to accomplish the following purposes:

(a) the maintenance of the highest standards of honesty and integrity in the

operation of any and all gaming activities within the Tohono Oodham Nation;

(b) the maintenance of public confidence and trust in the honesty and integrity

of such gaming activities, and in the people engaged in such activities;

(c) the maximum reasonable economic return to the Tohono Oodham Nation

as the owner of gaming facilities within the Nation consistent with the fair and reasonable

expectations of patrons of such activities arid the assurance of their safety and comfort in

participating in gaming activities; and

(Revised February 2003) 1
ORD.N0. 93-01

(d) compliance with all applicable laws of the Tohono Oodham Nation and

the United States of America pertaining to gaming, including but not limited to the Indian

Gaming Regulatory Act of 1988.

Chapter 2. Definitions.

Section 201. Definitions For purposes of this Ordinance:

(a) Act means the Indian Gaming Regulatory Act, Public Law 100-497, 25

U.S.C. §~ 2701 -2721 and 18 U.S.C. §~ 1166- 1168, and all regulations promulgated

pursuant thereto.

(b) Class I Gaming means all forms of gaming defined as Class I in section

4(6) of the Act, 25 U.S.C. § 2703(6).

(c) Class II Gaming means all forms of gaming defined as Class II in section

4(7) of the Act, 25 U.S.C. § 2703(7).

(d) Class III Gaming means all forms of gaming as defined in section 4(8) of

the Act, 25 U.S.C. § 2703(8).

(e) Commission means the National Indian Gaming Commission

established pursuant to 25 U.S.C. § 2704.

(f) Compact means the Tribal-State Compact entered into between the

Tohono Oodham Nation and the State of Arizona pursuant to section 11(d) of the Act, 25

U.S.C. § 27 10(d).

(g) Constitution means the Constitution of the Nation adopted by the

Tohono Oodham and approved by the Secretary of Interior on March 6, 1986 pursuant to

section 16 of the Act of June 18, 1934 (48 Stat. 987, 25 U.S.C. § 476).

(h) Distributor means a Person who distributes Gaming Devices and/or

component parts of Gaming Devices.

(i) District means any of the eleven Districts of the Tohono Oodham

Nation established under in Article IX of the Constitution of the Tohono Oodham

Nation.

(j) Gaming Activities means any forms of Class II and Class III Gaming

conducted within the territorial jurisdiction of the Nation.

(k) Gaming Device or Electronic Game of Chance means a mechanical

device, an electro-mechanical device or a device controlled by an electronic

(Rev~s~d February 2003) 2
ORD.NO. 93-01

microprocessor or another manner, whether that device constitutes Class II Gaming or

Class III Gaming, that allows a player or players to play games of chance, whether or not

the outcome also is affected in some part by skill, and whether the device accepts coins,

tokens, bills, coupons, ticket vouchers, pull tabs, smart cards, electronic in-house

accounting system credits or other similar forms of consideration and, through the

application of chance, allows a player to become entitled to a prize, which may be

collected through the dispensing of coins, tokens, bills, coupons, ticket vouchers, smart

cards, electronic in-house accounting system credits or other similar forms of value.

Gaming Device does not include any of the following:

1. Those technological aids for bingo games that function only as

electronic substitutes for bingo cards.

2. Devices that issue and validate paper lottery products and that are

directly operated only by Arizona State Lottery licensed retailers

and their employees.

3. Devices that are operated directly by a lottery player and that

dispense paper lottery tickets, if the devices do not identify

witming or losing lottery tickets, display lottery winnings or

disburse lottery winnings.

4. Devices that are operated directly by a lottery player and that

validate paper lottery tickets for a game that does not have a

predetermined number of winning tickets, if:

(A) The devices do not allow interactive gaming;

(B) The devices do not allow a lottery player to play the lottery

for immediate payment or reward;

(C) The devices do not disburse lottery winnings; and

(D) The devices are not Video Lottery Terminals, as defined in

the Compact.

5. Player Activated Lottery Terminals, as defined in the Compact.

(1) Gaming Employee means any individual employed as a Primary

Management Official or Key Employee of a Gaming Operation of the Nation and any

individual employed in the operation or management of a Gaming Operation, including,

but not limited to, any individual whose employment duties require or authorize access to

restricted areas of a Gaming Facility not otherwise open to the public.

(Re~sed February 2003) 3
ORD.NO. 93-01

(m) Gaming Facility means the buildings or structures in which Gaming

Activities are conducted.

(n Gaming Facility Operator means the Tribal Enterprise designated by the

Nation as having the authority and respor.sibility for conducting Gaming Activities within

the Nation.

(6 Gaming Operation means any Gaming Activities conducted within a

Gaming Facility.

(p;) Gaming Services means the providing of any goods or services, except

for legal services, to the Gaming Facility Operator in connection with the operation of

Class II or Class III gaming in a Gaming Facility, including, but not limited to,

equipment, transportation, food, linens, janitorial supplies, maintenance, or security

services for the Gaming Facility, in an amount in excess of$10,000 in any single month.

(q) Indian Lands means land as defined in 25 U.S.C. § 2703(4)(A) and (B),

subject to the provisions of 25 U.S.C. § 2719.

(r) Key Employee means:

1. Any individual employed by the Gaming Facility Operator who

performs one or more of the following functions: (i) Bingo caller;

(ii) Counting room supervisor; (iii) Chief of security; (iv);

Custodian of gaming supplies or cash; (v) Floor manager; (vi) Pit

boss; (vii) Dealer; (viii) Croupier; (ix) Approver of credit; (x)

Custodian of Gaming Devices including any individual with access

to cash and accounting records within Gaming Devices;

2. Any individual employed by the Gaming Facility Operator whose

total cash compensation from his or her employment by the

Gaming Facility Operator exceeds $50,000 per year; and

3. The four most highly compensated employees of the Gaming

Facility Operator.

(s) Legislative Council means the Legislative Council of the Tohono

Oodham Nation as established and empowered under Articles IV, V and VI of the

Constitution of the Tohono Oodham Nation.

(t) Management Contract means a management contract within the meaning

of 25 U.S.C. §~ 2710(d)(9) and 2711.

(R~v~sed Febr~~a,-y 2003) 4
ORD.NO. 93.01

(u) Management Contractor means a Person who has entered into a

Management Contract with the Gaming Facility Operator which has been approved

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

(v) Manufacturer means a Person that manufactures Gaming Devices and/or

component parts of Gaming Devices.

(w) Nation means the Tohono Oodham Nation organized under the

Constitution.

(x) Net Revenues means the gross gaming revenues of the Gaming Facility

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

excluding management fees.

(y) Office of Attorney General means the Office of the Attorney General of

the Tohono Oodham Nation.

(z) Ordinance means this Ordinance for the Regulation of Gaming

Activities Within the Tohono Oodham Nation which governs the conduct of Gaming

Activities within the Tohono Oodham Nation, all amendments thereto, and all

regulations promulgated thereunder.

(aa) Person includes natural persons, as well as corporations, limited liability

companies, partnerships, and other unincorporated associations, societies, or firms.

(bb) Primary Management Official means: (1) the individual having

management responsibility for a Management Contract; (2) any individual who has

authority to hire and fire employees or to set up working policy for a Gaming Operation;

and (3) the chief financial officer or other individual who has financial management

responsibility for a Gaming Operation.

(cc) Principal means with respect to any entity:

1. Each of its officers and directors;

2. Each of its principal management employees, including its chief

executive officer, its chief financial officer, its chief operating

officer, and its general manager;

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

4. Each of its shareholders who own more than ten (10) percent of the

shares of the corporation, if a corporation;

(Revised February 2003)
ORD.NO. 93-01

5. Each Person other than a banking institution who has provided

financing for the entity constituting more than ten (10) percent of

the total financing of the entity; and

6. Each of the beneficiaries and trustees of a trust.

(dd) Privacy Act means the Privacy Act of 1974, as amended (P.L. 93-579, as

amended; 5 U.S.C. § 552(a), and the obligations and responsibilities placed on the United

States government under the Privacy Act as applied to the Commission pursuant to the

Act.

(ee) State means the State of Arizona, and its authorized officials, agents, and

representatives.

(fi) Transfer Agreement means a written agreement authorizing the transfer

of Gaming Device Operating Rights between the Nation and another Indian tribe, in

accordance with the provisions of the Compact.

(gg) Tribal Enterprise means a wholly-owned enterprise of the Nation

authorized and chartered under Section 1(b) or Section 1(e) of Article VI the Nations

Constitution, or any other wholly-owned tribal entity, designated by the Nations

Legislative Council to be the Gaming Facility Operator.

(hh) Tribal Gaming Regulatory License means a license issued pursuant to

this Ordinance by the Nations Human Resources Office to an employee of the Gaming

Office.

Chapter 3. Tribal Ownership and Use of Net Revenues.

Section 301. Tribal Ownership of Gaming Activities All Gaming Activities within the

Nation shall be owned entirely by the Nation and conducted and operated by the Gaming Facility

Operator.

Section 302. Use of Net Revenues The net revenues received by the Nation from all

Gaming Activities shall be used exclusively for one or more of the following purposes:

(a) to fund government operations or programs of the Nation or Districts;

(b) to provide for the general welfare of the Nation and its members;

(c) to promote the Nations economic development;

(d) to benefit charitable organizations providing services benefitting the

Nation or its members;

(Revised Febn~ary 2003) 6
ORD.NO. 93-01

(e) to help fund operations of local government agencies;

(f) to make per capita payments to enrolled members of the Nation, subject to

compliance with all applicable laws of the United States and the Nation.

Chapter 4. Tohono Oodham Gaming Office.

Section 401. Establishment of the Gaming Office There is hereby established the

Tohono Oodham Gaming Office (hereinafter the Gaming Office), as a department within the

Executive Branch of the Nation, which shall have overall civil regulatory authority over Gaming

Activities within the Nation and the Gaming Facility Operator as specifically provided in this

Ordinance.

Section 402. Personnel

(a) The Gaming Office shall consist of an Executive Director, inspectors and

such assistants and other staff as the Executive Director shall determine are required from

time to time, subject to funding provided by the Legislative Council. All employees of

the Gaming Office shall act under the authority and supervision of the Executive

Director. The Assistant Executive Director shall act on behalf of the Executive Director

in the absence of the Executive Director. No employee of the Gaming Office shall be

employed by the Gaming Facility Operator. No employee of the Gaming Office shall be

employed by or hold, directly or indirectly, a financial interest in an organization or entity

which (i) has entered into a Management Contract with the Gaming Facility Operator; (ii)

is a Manufacturer or Distributor; (iii) provides Gaming Services; or (iv) provides

financing to the Nation or the Gaming Facility Operator for purposes of conducting

Gaming Operations within the Nation.

(b) The Executive Director of the Gaming Office shall be appointed by the

Chairperson of the Nation and shall serve at the pleasure of the Chairperson. The

appointment shall be subject to approval by a majority vote of the Legislative Council.

The job performance of the Executive Director shall be reviewed periodically by the

Nations Chairperson who shall submit a written report of each such review to the

Chairperson of the Legislative Council.

(c) The Executive Director shall be an individual (i) of the utmost honesty and

integrity, (ii) who has not been convicted of any felony or of a misdemeanor involving

theft or embezzlement or a crime involving moral turpitude, and (iii) whose prior

activities, reputation, habits, and associations do not pose a threat to the public interest or

to the effective regulation of Gaming Activities.

(d) The Executive Director shall be the Nations designated agent for service

of any official determination, order or notice of the Commission.

(Revised February 2003) 7
ORD.NO. 93-01

(e) The Gaming Office shall have the right to inspect any Gaming Facility at

any time and shall have immediate and unrestricted access to any and all areas of a

Gaming Facility, which it may exercise directly or through such agents or employees as

detennined by the Executive Director. T.~e Executive Director shall notify the Gaming

Facility Operator of Persons authorized to have immediate and unrestricted access and the

Executive Director shall periodically update its notification to the Gaming Facility

Operator of Persons authorized to have immediate and unrestricted access. An Inspector

shall be present in each Gaming Facility during all hours of Gaming Operation.

(1) The Nation shall not employ any individual in the Gaming Office unless

the Nations Human Resources Office has first issued the individual a Tribal Gaming

Regulatory License. Before issuing a Tribal Gaming Regulatory License, the Nations

Human Resources Office shall conduct a background investigation of each applicant for a

Tribal Gaming Regulatory License, which investigation shall comply with any

requirements of the Act or the Compact, to ensure that the applicant is qualified for a

Tribal Gaming Regulatory License. Any individual who is not an enrolled member of the

Nation also shall be certified by the Arizona Department of Gaming pursuant to the

Compact before being employed by the Gaming Office. The Nations Human Resources

Office shall not issue a Tribal Gaming Regulatory License to any individual, and shall

revoke any such license issued to any individual, whom it determines:

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 license application; or

3. is an individual 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, methods, and activities in the conduct of gaming or the

carrying on of the business and financial arrangements incidental

thereto.

(g) The Nations Human Resources Office shall forward a copy of every

application for a Tribal Gaming Regulatory License to the Arizona Department of

Gaming in accordance with Section 5 of the Compact. If the application for a Tribal

Gaming Regulatory License is denied by the Nations Human Resources Office, a

statement setting forth the grounds for denial shall be forwarded to the Arizona

Department of Gaming together with all other documents relied upon by the Nations

Human Resources Office, to the extent allowed by law. The Nations Human Resources

Office shall afford the Arizona Department of Gaming an opportunity for a hearing before

an appropriate forum of the Nation, pursuant to Sections 5(q)(2) and 5(q)(3) of the

Compact, to contest a licensing decision of the Nations Human Resources Office or to

(Revkcd Fcbruary 2003) 8
ORD.NO. 93-01

recommend suspension or revocation of a license issued by the Nations Human

Resources Office. The decision of the tribal forum shall be final.

Section 403. Powers and Duties of the Gaming Office Subject to all of the provisions

of this Ordinance, the Gaming Office shall have the following powers and duties, which it may

exercise directly or through such agents or employees as determined by the Executive Director:

(a) to have and to exercise full responsibility for the regulation of Gaming

Activities within the Nation, as provided in this Ordinance, the Act, and the provisions of

the Compact;

(b) to enter any Gaming Facility at any time to inspect (I) the Gaming

Facility, (2) its employees and operations, (3) its equipment and supplies, and (4) its

business records, books of account, and any and all other financial records or documents

pertaining to the business operations of the Gaming Facility Operator (regardless of

where those records or documents may be located) and to make summaries or copies of

any and all such records or documents to ensure compliance with the provisions of this

Ordinance, the Compact or the Act;

(c) to investigate any aspect of Gaming Activities or the Gaming Facility

Operator necessary: to protect the public interest in the integrity of Gaming Activities

and the integrity of the Gaming Facility Operator; to assure that the Gaming Facility

Operator is accountable for and able to protect its assets; to prevent improper or unlawful

conduct in the course of Gaming Activities, financial accounting or money handling of

the Gaming Facility Operator; and to investigate any report of a failure of any Gaming

Operation, the Gaming Facility Operator, or any Person to comply with the provisions of

this Ordinance, the Compact or the Act;

(d) to issue a notice of violation to any Person for violating provisions of this

Ordinance, the Compact, or the Act and to impose civil penalties for such violations, in

accordance with the provisions of this Ordinance;

(e) to require any Person whom the Gaming Office determines has violated

any provisions of this Ordinance to correct the violation upon such terms and conditions

as the Gaming Office determines to be appropriate;

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

within the Nation, to administer oaths and to require testimony under oath;

(g) to summarily seize, remove, or impound any equipment, supplies,

documents, or records of the Gaming Facility Operator or found in a Gaming Facility so

that it may examine such items;

(h) to review any proposed Management Contract, Transfer Agreement or

proposed lease of land for the site of a Gaming Facility to determine whether the contract,

(Rev~scd Febwary 2003) 9
ORD.NO. 93-01

agreement or lease complies with all applicable laws and regulations and to make

recommendations regarding the terms of any proposed Management Contract, Transfer

Agreement or lease to the Nations Chairperson;

(i) to establish a list of individuals who, because of their criminal history or

their association with career offenders or career offender organizations, pose a threat to

the integrity of Gaming Activities, and who shall be barred from all Gaming Facilities

within the Nation;

(j) to remove from any Gaming Facility and the surrounding premises

controlled by the Gaming Facility Operator any individual barred from the Nations

Gaming Facilities as provided in Section 403(i);

(k) to approve the rules of Gaming Activities prior to implementation by the

Gaming Facility Operator;

(1) to approve the system of internal controls required in Section 1305 prior to

implementation by the Gaming Facility Operator, and to issue regulations addressing

compliance with the approved system of internal controls;

(m) to perform background investigations on every applicant for a license

under this Ordinance, including all applicants for positions of employment with the

Gaming Facility Operator;

(n) to approve or deny applications for licenses or to limit, condition, restrict,

revoke, or suspend any license which it has granted;

(o) to issue licenses and employee identification cards in the form designated

by the Gaming Office, which cards shall include a photograph, the employees first and

last name, a unique identification number, the Nations seal, and an expiration date;

(p) to issue regulations limiting or restricting the access of Persons who are

not Gaming Employees to the non-public areas of a Gaming Facility;

(q) to detain individuals who may be involved in illegal activities, for purposes

of notifying and summoning appropriate law enforcement authorities; and

(r) to do all other things reasonably necessary to protect the integrity of Gaming

Activities, financial accounting and money handling and for the proper and efficient

fulfillment of the powers and responsibilities of the Gaming Office under this Ordinance,

the Compact, or the Act.

Section 404. Issuance of Regulations

(Revised Fehruar. 2003) 1 0
ORD.NO. 93-01

(a) The Gaming Office shall from time to time promulgate and issue

regulations governing any aspect of its responsibilities under this Ordinance, which, so

long as they are in furtherance of and not in conflict with any provision of this Ordinance,

shall have the force of law. Without limitation, the matters to be addressed by such

regulations may include the following:

1. the time and manner for applying for a Gaming Facility Operators

License under this Ordinance, and the specific information to be

provided in connection with such application, including

information necessary for adequate assessment of the applicants

background, and the manner in which such applications will be

processed;

2. the procedure by which applicants for licenses under this

Ordinance shall apply for such licenses, including the information

to be provided by the applicant necessary for adequate assessment

of the applicants background, and the manner in which such

applications will be processed; and

3. the specific types of accounting, security, accessibility to non

public areas, recordkeeping and reporting measures required by

this Ordinance, the Compact or the Act to be in place and

functioning at any Gaming Facility licensed under this Ordinance.

(b) Except in emergency situations addressed in subsection (c) below, prior to

promulgating a final regulation the Gaming Office shall publish the regulation in

proposed form. The proposed regulation shall be provided directly to the Chairperson of

the Nation, the Chairperson of the Legislative Council, the Chairperson and each member

of the Commerce Committee of the Legislative Council, the Office of the Attorney

General, the office of each District Chairperson, the Gaming Facility Operator and to any

other interested Person or interested office or agency of the Nation. The proposed

regulation shall be accompanied by a notice stating that the Gaming Office will accept

written comments on the proposed regulations for a set period of time, which shall be no

less than thirty (30) days following the date the Gaming Office publishes the proposed

regulations. As used in this section, the term publish shall mean publication in

newspaper(s) of general circulation within the Nation and posting in each of the Nations

District offices. In the event of significant public interest with respect to any regulation,

the Gaming Office may hold one or more public hearings prior to issuing a final

regulation. The Gaming Office shall give notice of any hearing in the manner set forth

above, and also shall mail a notice directly to any Person submitting comments on the

proposed regulation. Except as provided in subsection (c) of this section, the Gaming

Office shall not issue a final regulation until it has reviewed all comments received by the

close of the comment period, as well as all presentations made at any hearing held

pursuant to this subsection.

(Revised Fthruarv 2003) 1 1
ORD.NO. 93-01

(C) In the event the Gaming Cffice determines that an immediate rule-making

is necessary to avoid serious jeopardy to the integrity of any Gaming Activities within the

Nation, or otherwise to deal with an emergency situation affecting the responsibilities of

the Gaming Office, the Gaming Office may, upon making an express written finding as to

such emergency, issue a final regulation to take effect immediately; provided, that the

Gaming Office shall publish notice and request comments on such regulation in the same

manner as is provided above, and upon consideration of any comments received, shall

make such amendments to such finai regulation as the Gaming Office deems appropriate.

(d) All final regulations adopted by the Gaming Office shall be officially filed

with the Secretary of the Legislative Council, the Office of the Chairperson, and the

Office of the Attorney General.

(e) Any regulations modified in accordance with Section 1305(c) are exempt

from the provisions of subsections (b) and (c) of this Section.

Section 405. Petition for Self-Regulation As soon as the Gaming Office determines

that the Nation is eligible therefor, the Gaming Office shall submit to the Commission an

application for a Certificate of Self-Regulation, under the provisions of 25 U.S.C. § 271 0(c)(4).

The Gaming Office shall do everything necessary and appropriate to obtain such Certificate and

to maintain the Certificate in good standing.

Chapter 5. Gaming Facility Operators License.

Section 501. Requirement of License Before a Tribal Enterprise designated as the

Gaming Facility Operator may conduct Gaming Activities, it shall first obtain a Gaming Facility

Operators License from the Gaming Office. Each individual appointed to be a member of the

Board of Directors of any such Tribal Enterprise shall obtain a Gaming Facility Operators

License from the Gaming Office before his or her appointment is submitted to the Legislative

Council for approval.

Section 502. Standards of Suitability

(a) Tribal Enterprise. The Gaming Office shall not issue a Gaming Facility

Operators License under this Chapter to a Tribal Enterprise unless the Gaming Office is

satisfied that the Tribal Enterprise is established and organized pursuant to a plan of

operation adopted by the Legislative Council.

(h) Board of Directors. The Gaming Office shall not issue a Gaming Facility

Operators License under this Chapter to a member of the Board of Directors of a Tribal

Enterprise established by the Legislative Council to conduct a Gaming Operation if the

Gaming Office determines that such individual:

(Revised Febrvary 2003) 1 2
ORD.NO. 93-01

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 license application; or

3. is an individual 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, methods, and activities in the conduct of gaming or the

carrying on of the business and financial arrangements incidental

thereto.

Chapter 6. Gaming Managers License.

Section 601. Requirement of License No Person shall function as the general manager

of the Gaming Facility Operator without first obtaining a Gaming Managers License from the

Gaming Office. In the case of a Person other than an individual, each Principal of such entity

must obtain a Gaming Managers License from the Gaming Office.

Section 602. Standards of Suitability

(a) Individuals. The Gaming Office shall not issue a Gaming Managers

License under this Chapter to an individual if it determines that the individual:

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 license application; or

3. is an individual 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, methods, and activities in the conduct of gaming or the

carrying on of the business and financial arrangements incidental

thereto.

(b) Corporations, Partnerships, and Other Entities.

(Revised Februan, 2003) 1 3
ORD.NO. 93-01

The Gaming Office shall not issue a Gaming Managers License

under this Chapter to a corporation, partnership, or other entity

unless it is satisfied that the entity:

(A) is organized and in good standing under the laws of the

jurisdiction where it was established, and is qualified to do

business within the Nation and the State of Arizona;

(B) is in sound financial condition, as shown by a financial

statement certified by a certified public accountant to be a

fair presentation in all material respects of the financial

position and results of operations and cash flows of the

entity in conformity with generally accepted accounting

principles;

(C) is not now and has not been in the past five years the

subject of any criminal investigation by any federal or state

law enforcement authority, as shown by an affidavit of

Principals of the entity having personal knowledge thereof;

(D) has established a reputation for financial integrity and

sound business practices, or, if the entity was recently

formed, that all Persons having any role in its formation,

including Persons supplying financing, are Persons

qualified to be licensed individually under the terms of this

Chapter; and

(E) in all other respects will be reliable and trustworthy, and

whose involvement in Gaming Activities within the Nation

will be in the best interests of the Nation.

2. The Gaming Office shall not issue a Gaming Managers License

under this Chapter to any corporation, partnership, or other entity unless the entity:

(A) Agrees to maintain an office within the Nation as a

condition of maintaining its license; and

(B) Agrees to give the Gaming Office notice within ten days of

any change in its Principals, of any change in the location

of its office(s), and of any material change in the

information disclosed in its application for its license.

Chapter 7. Licenses for Gaming Device Manufacturers, Distributors, Suppliers of

Gaming Services, and Financers.

(Res,sed Fcbruar~ 2003) 1 4
ORD.NO. 93-01

Section 701. Requirement of License Each Manufacturer and each Distributor of

Gaming Devices shall be licensed by the Gaming Office before selling or leasing any Gaming

Devices to the Gaming Facility Operator. Each supplier of Gaming Services also shall be

licensed by the Gaming Office before providing Gaming Services to the Gaming Facility

Operator. In addition, any Person extending or guarantying financing for a Gaming Operation or

Gaming Facility shall be licensed by the Gaming Office, unless the Person is an agency of the

United States or a lending institution licensed and regulated by the State or the United States.

Section 702. Standards of Suitability

(a) Individuals. The Gaming Office shall not issue a license under this

Chapter to an individual if it determines that the individual:

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 license application; or

3. is an individual 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, methods, and activities in the conduct of gaming or the

carrying on of the business and financial arrangements incidental

thereto.

(b) Corporations, Partnerships, and Other Entities.

1. The Gaming Office shall not issue a license under this Chapter to

any corporation, partnership, or other entity unless the Gaming

Office is satisfied that the entity:

(A) is organized and in good standing under the laws of the

jurisdiction where it was established, and is qualified to do

business within the Nation and the State of Arizona;

(B) is in sound financial condition, as shown (at a minimum) by

a financial statement certified by the entitys chief executive

officer (or equivalent) to be a fair presentation in all

material respects of the financial position and results of

operations of the entity;

(Revised February 2003) 1 5
ORD.NO. 93-01

(C) has established a reputation for financial integrity and

sound business practices, or, if the entity was recently

formed, that all Persons having a role in its formation,

including its Principals, are qualified to be licensed

individually under the terms of this Chapter; and

(D) is in all other respects reliable and trustworthy, and whose

involvement in Gaming Activities within the Nation will be

in the best interests of the Nation as set forth in this

Ordinance.

2. The Gaming Office shall not issue a license under this Chapter to

any corporation, partnership, or other entity unless the entity agrees

to give the Gaming Office notice within ten days of any change in

its Principals, of any change in the location of its office(s), and of

any material change in the information disclosed in its application

for its license.

Chapter 8. Gaming Employees License.

Section 801. Requirement of License Every Gaming Employee of the Gaming Facility

Operator shall be licensed by the Gaming Office before commencing employment. For purposes

of this Chapter, the Gaming Facility Operator may compensate a potential employee for attending

basic training and orientation sessions conducted outside of a Gaming Facility without that

individual being considered to have commenced employment.

Section 802. Standards of Suitability The Gaming Office shall not issue a Gaming

Employees License under this Chapter to an individual if it determines that the individual:

(a) has been convicted of any felony or gaming offense;

(b) has knowingly and willfully provided materially important false statements

or information or omitted materially important information on his or her license or

employment application; or

(c) is an individual 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, methods, and activities in the conduct of gaming or the carrying on of

the business and financial arrangements incidental thereto.

(Rc~~sed February 2003) 1 6
ORD.NO. 93-01

Chapter 9. License Application Procedure.

Section 901. Application Requirements; Processing

(a) Each applicant for a license under Chapters 5, 6, 7, and 8 of this Ordinance

shall submit an application to the Gaming Office on the appropriate form prescribed by

the Gaming Office accompanied by the required fee and such supporting information as

the Gaming Office may require.

The Gaming Office shall request from Primary Management

Officials and Key Employees all of the following information:

(A) Full name, including any aliases (oral or written) by which

applicant has ever been known;

(B) Social security number;

(C) Date and place of birth, gender, current citizenship, and all

languages spoken or written;

(D) Currently and for the five previous years: business and

employment positions held, affiliations or relationships

with any business or ventures including positions as

officers or directors, ownership interests in any business or

venture, business and residence addresses, and drivers

license numbers;

(E) The names and current addresses of at least three personal

references, including one personal reference who was

acquainted with the applicant while he resided at each

address listed on the application;

(F) Educational history;

(G) Current business and residence telephone numbers;

(H) A description of any existing and previous business

relationships with Indian tribes, including ownership

interests in those businesses;

(I) A description of any existing and previous business

relationships with the gaming industry generally, including

ownership interests in those businesses;

(Revised Fcl,ruary 2003) 1 7
ORD.NO. 93-01

(J) The name and address of any licensing or regulatory agency

with which the individual has filed an application for a

license or permit related to gaming, whether or not such

license or permit was granted;

(K) The name and address of any licensing or regulatory agency

with which the individual has filed an application for an

occupational license or permit, whether or not such license

or permit was granted;

(L) All criminal proceedings to which the applicant has been a

party, except for minor traffic offenses, and a description of

each charge, the name and address of the court involved,

and the disposition of the charge and the date of disposition

(if any).

(M) A set of fingerprints;

(N) A current photograph; and

(0) A complete and accurate financial disclosure statement.

2. In addition to any other information the Gaming Office may deem

pertinent, the Gaming Office may require a corporation,

partnership, or other entity applying for a license to provide the

following information with an application for a license:

(A) The name, address, and other additional pertinent

background information on each of its Principals;

(B) The name, address, and other additional pertinent

background information on each of its related, associated,

or affiliated Persons;

(C) A description of any previous experience that the entity and

each Principal has had with other Indian tribes involving

gaming (including under any management contracts) or

with the gaming industry generally, including specifically

the name and address of any licensing or regulatory agency

with which such individual has had contact relating to

gaming; and

(D) A complete financial statement of each Principal.

(Reiscd Fthruarv 2003) 1 8
ORD.NO. 93-01

(b) The Gaming Office and its staff may assist any applicant in assembling all

information required for processing of the application, but shall not be required to process

any application until it is complete. The Gaming Office may, at any time after an

application is submitted, make a written request that an applicant supply any additional

information the Gaming Office deems necessary to complete the processing of the

application and the applicant shall comply with such a request forthwith.

(c) The application forms used by the Gaming Office shall contain the notice

required under the Privacy Act and the notice regarding false statements in the form

required by the Commission under 25 C.F.R. Part 556, and each applicant shall consent in

writing to the release of any information that may be relevant to the Gaming Offic&s

inquiry into the applicants background from any Person. The Gaming Office shall keep

confidential any and all information it obtains in the course of investigating an application

(including the identity of all individuals interviewed in the course of the investigation)

and shall comply with all applicable laws pertaining to the confidentiality of such

information. The Gaming Office shall not release such information to any other

individual or agency (other than to appropriate Federal, Tribal, State, local, or foreign law

enforcement and regulatory agencies when relevant to civil, criminal or regulatory

investigations or prosecutions or when pursuant to a request by a tribe or the Commission

in connection with the hiring or firing of an employee, the issuance or revocation of a

gaming license, or investigations of activities while associated with a tribe or a gaming

operation) without the applicants consent, or pursuant to an order of court or other body

of competent jurisdiction.

(d) The Gaming Office shall issue a written decision on each application. The

written decision of the Gaming office shall constitute final action of the Gaming Office

on such application. If the Gaming Office denies an application for a license, the

decision shall specify the reason for such denial.

Section 902. Fees. The Gaming Office shall collect the following fees in connection

with the processing of applications and the issuance of licenses:

(a) Gaming Facility Operators License:

1. Initial application fee:

(A) Tribal Enterprise: $50M00.O0.

(B) Member, Board of Directors: $200.00.

2. Annual renewal fee:

(A) Tribal Enterprise: $50,000.00.

(B) Member, Board of Directors: $100.00.

(Revised February 2003) 1 9
ORD.NO. 93.01

(b) Gaming Managers License:

1. Initial application fee: $1,000.00.

2. Annual renewal fee: $500.00.

(c) Licenses for Gaming Device Manufacturers, Distributors, Suppliers of

Gaming Services, and Financers.

1. Initial application fee:

(A) Manufacturer/Distributor of Gaming Devices: $2,000.00.

(B) Supplier of Gaming Services: $200.00.

(C) Third Party Financer: $2,000.00.

2. Annual renewal fee:

(A) Manufacturer/Distributor of Gaming Devices: $1,000.00.

(B) Supplier of Gaming Services: $100.00.

(C) Third Party Financer: $1,000.00.

(d) Gaming Employees License:

1. Initial application fee: $25.00.

2. Annual renewal fee: $10.00.

(e) Other Fees. The Gaming Office may by regulation modify the schedule of

fees in this Section or prescribe such other fees as it deems appropriate.

Section 903. License Terms: Renewal

(a Each Gaming Employees License issued by the Gaming Office shall have

a primary term of one year and may be renewed for subsequent one-year periods upon the

timely submission of a completed application on the forms specified by the Gaming

Office. Each license issued by the Gaming Office for Management Contractors,

Financiers, Manufacturers and Distributors of Gaming Devices, and Persons providing

Gaming Services, shall be effective for two (2) years from the date of issuance and may

be renewed for subsequent two-year periods upon the timely submission of a completed

application on the forms specified by the Gaming Office. No licensee shall have any

vested right to renewal of any license issued under this Ordinance.

(Rcv,sed Fcbru~ry 2003) 20
ORD.NO. 93-01

(b) The Gaming Office shall issue a temporary license to an applicant within

20 days after receiving a completed application for licensing under Chapter 5, 6, 7, or 8 of

this Ordinance, unless (1) grounds sufficient to disqualify the applicant are apparent on

the face of the application, (2) the background investigation undertaken by the Gaming

Office discloses that the applicant may have a criminal history sufficient to disqualify the

applicant from holding a license, or (3) the background investigation undertaken by the

Gaming Office discloses other information that may be sufficient to disqualify the

applicant from holding a license. A temporary license shall become void and shall be of

no effect upon either the issuance of a license or upon the issuance of a notice of denial of

the license in accordance with the provisions of this Ordinance.

Section 904. State Certification Every Person required to be licensed under this

Ordinance also shall comply with the state certification requirements of the Compact, if those

requirements are applicable to the Person. Within the time requirements established by the

Compact, the Gaming Office shall forward to the Arizona Department of Gaming a report of

final disposition of the licensing actions of the Gaming Office. The Gaming Office shall afford

the Arizona Department of Gaming an opportunity for a hearing before an appropriate forum of

the Nation, pursuant to Sections 5(q)(2) and 5(q)(3) of the Compact, to contest a licensing

decision of the Gaming Office or to recommend suspension or revocation of a license issued by

the Gaming Office. The decision of the tribal forum shall be final, except as provided in Section

5(q)(4) of the Compact.

Chapter 10. Background Investigations; Notifications.

Section 1001. Background Investigations

(a) The Gaming Office shall at all times have in place, and shall regularly

update and improve, a system for conducting background investigations of every

applicant for licensing under this Ordinance. The system shall comply with the

requirements of this Ordinance, the Compact and the Act, and shall include, at a

minimum, the use of records of all available tribal, state and federal law enforcement

agencies, resources of the Commission, communications with other Indian tribes engaged

in gaming activities, and any and all other sources of information reasonably accessible to

the Gaming Office for this purpose. The system shall ensure that all applicants are

notified of their rights under the Privacy Act as specified in 25 C.F.R. Part 556.

(b) Every applicant for licensing under this Ordinance shall be subjected to a

thorough background investigation, and such investigations shall be updated upon

application for renewal of a license, and at such other times as the Gaming Office may

determine appropriate.

(c) The Gaming Office shall prepare a background investigation report on

every applicant for licensing under this Ordinance which shall include all of the

following:

(Revised Febrvary 2003) 2 1
ORD.NO. 93-01

1. Steps taken in conducting a background investigation;

2. Results obtained;

3. Conclusions reached; and

4. The bases for those conclusions.

(d) The Gaming Facility Operator shall pay the initial application fees

required by Section 902(d) of this Ordinance and the initial application fees required by

Section 5(1) of the Compact for each Gaming Employee hired by the Gaming Facility

Operator. if an individual applicant for a Gaming Employee license or certification fails

to report to work for the Gaming Facility Operator or leaves the employment of the

Gaming Facility Operator within one year of initial hire, the Gaming Facility Operator

may recover from the applicant the fees it paid for the applicants initial licensing and

certification, by setting off any sums it owes to the applicant against the fees paid, by

bringing suit in the Tohono Oodham Judicial Court to recover the fees, or by any other

lawful manner. The Gaming Facility Operator shall not be required to pay initial

application fees for the same individual applicant for a Gaming Employee license or

certification more than one time. If an individual applies for a Gaming Employee license

or certification more than once, whether because the individual did not complete the

application process, because the individual failed to renew a license or certification, or

otherwise, the Gaming Facility Operator may require the individual applicant to pay the

license and certification fees incurred for the subsequent applications. The Gaming

Facility Operator shall pay any required renewal fees for licensing and certification for

each Gaming Employee who remains in the employment of the Gaming Facility Operator.

(e) The Gaming Office shall maintain files containing the results of any

background investigations conducted by it for the longer of: (i) three years from the date

of a Gaming Employees termination of employment, with respect to the files for a

Gaming Employee; or (ii) the term of record retention required by the Compact. Such

files shall contain systems designed to safeguard the identities of confidential informants

from inadvertent disclosure.

Section 1002. Notification to the National indian Gaming Commission

(a) Within the time required by the Commission, the Gaming Office shall

transmit to the Commission licensing information on Primary Management Officials and

Key Employees as required by the Commission. After the Gaming Office completes its

background investigation for a Primary Management Official or Key Employee, and

within the time requirements established by the Commission, the Gaming Office shall

provide to the Commission, as required by the Commission, a report on the results of the

background investigation. If the Gaming Office receives any information from the

Commission concerning the applicant, it shall take that information into account in its

(R~v~sed Fcbruarv 2003) 22
ORD.NO. 93-01

action on the application. The Gaming Office shall notify the Commission if the Gaming

Office does not license an applicant.

(b) Upon issuing a license to a Primary Management Official or Key

Employee under this Ordinance, the Gaming Office shall give notice thereof to the

Commission. If the Gaming Office receives information from the Commission indicating

that a Primary Management Official or Key Employee does not meet the standards

established in this Ordinance or in the Act for issuance of such a license, the Gaming

Office shall immediately suspend such license and give written notice of the suspension

to the licensee. The Gaming Office shall also notify the licensee that the licensee has 15

days following receipt of the notice of suspension to request that the Gaming Office

reconsider the notice of suspension. Upon such request for reconsideration, the Gaming

Office shall consider such oral statement(s) or written documentation as the licensee may

present to the Gaming Office at the time and place designated by the Gaming Office.

Within 15 days of receipt of such statement(s) or documentation, or the licensees request

for reconsideration, whichever is later, the Gaming Office shall issue a written decision.

The written decision of the Gaming Office shall constitute final action of the Gaming

Office. The Gaming Office shall notify the Commission of its decision.

Chapter 11. Gaming Facility License.

Section 1101. Requirement of License No Gaming Activities shall be conducted in any

Gaming Facility unless the Gaming Office first has issued a Gaming Facility License for the

Gaming Facility under the provisions of this Chapter. The Gaming Facility Operator shall not

offer any new or different Gaming Activities, as defined by regulations to be issued by the

Gaming Office, at any facility or location that is already licensed, without first obtaining an

amended license for such new and different Gaming Activities from the Gaming Office.

Section 1102. Standards for Issuance of License The Gaming Office shall not issue a

Gaming Facility license for any facility at which Gaming Activities are to be offered unless the

Gaming Facility meets the following requirements:

(a) the physical facility within which the Gaming Activities are to be

conducted is designed and constructed in compliance with the laws of the Nation, the

requirements of the Compact and the requirements of the Act, so as to ensure the health

and safety of all employees and patrons of such activities, and the protection of the

natural environment from any contamination due to discharge of waste or unreasonable

disturbance of the land surface;

(b) the Gaming Activities to be conducted within the Gaming Facility will

lawfully be carried on by the Nation under the Compact and the Act, and the facilities are

appropriate to the carrying on of such activities;

(Revised February 2003) 23
ORD.NO. 93-01

(c) the Gaming Facility Operator will adequately staff and equip the Gaming

Facility to ensure the safety, comfort and convenience of the patrons thereof, and the

Gaming Facility Operator has taken adeqiate measures to provide for traffic, emergency

service accessibility, food. drink and sanitary needs for patrons arid employees, security,

law enforcement and other concerns raised by the type of Gaming Activities proposed to

be undertaken in compliance with this Ordinance, the Compact and the Act;

(d) the Gaming Facility Operator has entered into a Management Contract or

has made provision for management of the facility under terms and provisions that ensure

that the Gaming Activities will be carried out in a manner consistent with the

requirements of this Ordinance, that the contracting party or parties have received

appropriate licenses issued under the provisions of this Ordinance, and that all employees

hold Gaming Employees Licenses issued under the provisions of this Ordinance; and

(e) in all other relevant respects, the Gaming Facility will be operated in a way

that is fully consistent with the provisions of this Ordinance, and that its operation will

further the interests of the Nation with respect to its operation of Gaming Activities.

Section 1103. Application for a New or Amended License~ Procedure

(a) The Gaming Facility Operator shall obtain a new or amended Gaming

Facility License before commencing operations at a new facility or commencing new

activity at a licensed facility for which an amended license is required.

(b) The Gaming Office shall prescribe the information required to be

submitted with such applications, but at a minimum, such application for licensing a new

facility shall include the following:

1. the name, specific position and job description of all

individuals to be employed as Primary Management

Officials or Key Employees at the facility;

2. job descriptions for every other position in which

individuals will be employed at the facility;

3. a detailed description of the Gaming Activities to be

engaged in at the facility, together with expected payouts to

winners;

4. a description of the internal controls, plan of organization

and all coordinate methods and measures for the

safeguarding of assets, ensuring the accuracy and reliability

of its accounting data, promoting operational efficiency and

encouraging adherence to prescribed managerial policies;

(Revised F~b,~,.arv 2003) 24
ORD.NO. 93-01

5. detailed plans for the facility, including landscaping, traffic

controls, parking, food and drink services, and other

physical aspects of the building:

6. a detailed description of how security will be maintained at

the facility, identifying the Persons, agencies or entities that

will provide such security;

7. a detailed description of how gaming proceeds will be

accounted for and disposed of on a daily basis;

8. a copy of any proposed Management Contract or other

contractual arrangement by which the activities at the

facility are to be managed;

9. a description of provisions for dealing with fire or other

potential emergencies at the facility;

10. a detailed description of how sewage and other waste

products from the facility will be handled and disposed of;

and

11. any other information relevant to the proposed operation of

the facility or requested by the Gaming Office as part of the

application.

(c) An application for an amended license to conduct new or different Gaming

Activities at a licensed location or to otherwise alter the terms or conditions of an existing

license, shall, at a minimum, include the following information:

1. any change in information previously provided in the

original license application or any previous application for

an amended license for the Gaming Facility;

2. a detailed description of the changes in the Gaming Facility

or in the activities to be carried on therein for which the

amended license is required, together with a statement of

the reasons for such change;

3. if a proposed change will require any change in the existing

Management Contract with respect to the Gaming Facility,

a copy of the proposed amendment to such contract or new

contract; and

(Rc~~sed February 2003) 25
ORD.NO. 93-0]

4. any other information relevant to the changes or new

activities requiring the amendment.

(d) In its decision to license any Gaming Facility, or to amend any existing

license to permit the conduct of new or different Gaming Activities at a licensed facility,

the Gaming Office may specify, consistent with the provisions of this Ordinance, terms or

conditions it believes necessary or appropriate to ensure the health and safety of patrons

and employees of any such facility, the integrity of the Gaming Activities carried on at

such facility, the Gaming Facility Operators ability to account for and protect its assets,

and the security of gaming proceeds. If dissatisfied with any such condition, the applicant

may request that the Gaming Office reconsider its determination. Upon such request for

reconsideration, the Gaming Office shall issue a written decision within 15 days of its

receipt of the request for reconsideration. The written decision of the Gaming Office

shall constitute final action of the Gaming Office.

Section 1104. Fees.

(a) The Gaming Facility Operator shall pay an annual fee of $600.00 per

Gaming Device in operation to the Nation in connection with the Gaming Offices

processing of applications and the issuance of Gaming Facility licenses.

(b) The Gaming Facility Operator shall pay the required annual fee in equal

quarterly installments, the first of which shall be payable within 1 5 days of receipt of

notice of approval of the Gaming Facility License. The remaining installments shall be

paid on the first day of each succeeding calendar quarter calculated at the rate imposed

under subsection (a) then in effect for the number of gaming devices in operation on the

date each quarterly installment is due.

(c) The Gaming Office may by regulation prescribe such other fees as it

deems appropriate.

Section 1105. License Terms~ Renewal

Each Gaming Facility License issued by the Gaming Office shall be for a term of one

year. Such license may be renewed for subsequent one-year terms upon proper application on

forms specified by the Gaming Office.

Chapter 12: Facility Inspection; Investigations; Notice of Violation; Judicial Review.

Section 1201. Facility Inspection

~Scv~s.d Fcbru.ry 2003) 26
ORD.NO. 93-01

The Gaming Office shall, no less thai-i quarterly and at such other times as required by

applicable law, cause detailed inspections to be made of each Gaming Facility licensed under the

provisions of this Ordinance, to assure that such facility is being operated in accordance with the

terms of the license and of the provisions of this Ordinance, the Compact and the Act.

Section 1202. Investigations

(a) The Gaming Office shall investigate any reported violation of this

Ordinance, the Compact or the Act. The Gaming Office shall also investigate any

reported violation of the Compacts appendices when the Gaming Office determines that

an investigation is reasonably necessary to ensure the integrity of gaming, the protection

of persons and property, and compliance with the Compact.

(b) The Gaming Office shall make a written record of reported violations in

accordance with the requirements of Section 6(e) of the Compact. The Gaming Office

shall make reports of its investigations to the Arizona Department of Gaming in

accordance with the requirements of Section 6(g) of the Compact.

(c) The Gaming Office shall issue a written warning of its preliminary

determination of violation to any licensee alleged to have committed a violation and to

the Gaming Facility Operator. The warning shall require the licensee andlor the Gaming

Facility Operator, as appropriate, to correct the violation upon such terms and conditions

as the Gaming Office determines are necessary and proper under the provisions of this

Ordinance.

(d) If a licensee fails to correct a violation within the time set forth in a

warning issued under Section 1202(c), the licensee shall file, and the Gaming Facility

Operator may file, with the Gaming Office a written response to the warning within 7

days of receiving the warning. Following receipt of the responses, the Gaming Office

shall complete its investigation into the alleged violation. The Executive Director shall

issue a notice of violation if the Gaming Office determines that a licensee violated or is

violating the Ordinance, the Compact or the Act and has failed to correct the violation

within the time set forth in a warning issued under Section 1202(c). The Executive

Director also may issue a notice of violation if the Gaming Office determines that a

Person other than a licensee violated or is violating the Ordinance, the Compact or the

Act.

Section 1203. Notice of Violation

(a) The Gaming Office shall deliver the notice of violation to the Person the

Gaming Office is charging with a violation of this Ordinance, the Compact or the Act.

(Rev~ed February 2003) 27
ORD.NO. 93-01

The Gaming Office shall also deliver a copy of each notice of violation relating to a

Gaming Facility (including any violation alleged to have been committed by an employee,

vendor, or patron) to the Gaming Facility Operator, with any redactions necessary to

avoid disclosure of any information which the Gaming Office is obligated to keep

confidential under any applicable privacy laws, including Section 90 1(c) of this

Ordinance.

(b) A notice of violation shall contain:

1. a citation to the Ordinance, regulation, Compact provision,

minimum internal control standard, or federal law that has been or

is being violated;

2. a description of the circumstances surrounding the violation, set

forth in common and concise language;

3. notice of any action that the Gaming Office proposes must be taken

to correct the violation, if the Gaming Office determines that the

violation is capable of being corrected;

4. notice of the time frame within which any action to correct the

violation must be taken, unless the Gaming Office determines that

the violation is incapable of being corrected;

5. notice of any civil fine or other enforcement action that the Gaming

Office proposes to impose in accordance with Section 1203(e) of

the Ordinance as a result of the violation;

6. notice that a written response to the notice of violation must be

submitted to, and received by, the Gaming Office within 15 days of

the receipt of the notice of violation; and

7. notice that, if no written response to the notice of violation is

submitted to the Gaming Office within the time prescribed in

Section 1203(b)(6), the Gaming Office may issue its final decision

regarding the violation alleged in the notice and impose a civil fine

or take the enforcement action set forth in the notice without

hearing from the Person to whom the notice was issued or from the

Gaming Facility Operator.

(c) The Person(s) to whom a notice of violation is issued and the Gaming

Facility Operator each may submit a written response to the Gaming Office together with

any additional written information the Gaming Office should consider. A Person desiring

to submit a written response and any supporting documentation must do so within 15

days after receiving notice of the alleged violation. The Gaming Office shall issue a

(Rev~scd February 2003) 28
ORD.N0. 93-01

written decision within 15 days after receiving all written responses or, if no party

submits a written response in a timely maimer, within fifteen days after the deadline for

the submission of written responses. The written decision shall constitute final action of

the Gaming Office with respect to any notice of violation. Except as provided in Section

1203(d), the Gaming Office shall take no action to enforce a notice of violation until it

issues its written decision.

(d) Notwithstanding the requirements of Section 1202(c), if the Gaming

Office determines that the Ordinance, the Compact, or the Act have been violated and the

continued licensing of, or conduct by, a Person constitutes an immediate and substantial

threat to: the public health, safety or welfare; the integrity of Gaming Activities; the

integrity of the Gaming Facility Operator; the Gaming Facility Operators ability to

account for and protect its assets; or to the security of gaming proceeds, the Gaming

Office may:

1. summarily suspend any license issued under this Ordinance;

2. summarily eject any Person who has violated the Ordinance, the

Compact, or the Act from a Gaming Facility or the surrounding

premises controlled by the Gaming Facility Operator, using such

force as may be reasonably necessary under the circumstances;

3. summarily seize the proceeds of any Gaming Activities not

conducted by the Gaming Facility Operator;

4. summarily seize, remove, or impound any equipment, supplies,

business records, books of account, or any and all other financial

records or documents pertaining to the business operations of a

Gaming Facility (regardless of where those records or documents

may be located). If the Gaming Office seizes, removes, or

impounds any business records, books of account, or other

financial records or documents of the Gaming Facility Operator, it

shall provide the Gaming Facility Operator with a copy of any such

items upon receiving a written request for copies from the Gaming

Facility Operator; or

5. upon consultation with the Nations Attorney General, initiate in

the Judicial Court of the Tohono Oodham Nation a civil action or

criminal complaint to enforce the Ordinance, the Compact, or the

Act, which action may include a request for an order permitting the

Gaming Office to seize a Gaming Facility or to seize the proceeds

from Gaming Activities.

(e) After the Gaming Office renders a decision in accordance with Section

1203(c), if the Gaming Office has determined that the Ordinance, the Compact, or the Act

(Revised February 2003) 29
ORD.NO. 93-01

have been violated, it may take one or more of the following actions, as may be

appropriate under the circumstances:

1. require remedial action to correct the violation and/or prevent

future violations;

2. suspend or revoke the license of the Person to whom the notice of

violation was directed;

3. assess a civil penalty in accordance with the provisions of this

Ordinance; or

4. upon consultation with the Nations Attorney General, initiate in

the Judicial Court of the Tohono Oodham Nation a civil action or

criminal complaint to enforce the Ordinance, the Compact, or the

Act, which action may include a request for an order permitting the

Gaming Office to seize a Gaming Facility or to seize the proceeds

from Gaming Activities.

Section 1204. Judicial Review

(a) Any Person who has been issued a notice of violation by the Executive

Director of the Gaming Office and who has submitted a written response to the Gaming

Office in compliance with the provisions of Section 1203(c) of this Chapter may apply to

the Judicial Court of the Tohono Oodham Nation for review of the Gaming Offices

written decision regarding the alleged violation. If the Gaming Facility Operator submits

a written response to the Gaming Office in compliance with the provisions of Section

1203(c), it also may apply to the Judicial Court of the Tohono Oodham Nation for review

of the Gaming Offices written decision regarding the alleged violation.

(b) Any applicant for a license under this Ordinance, any Person licensed

pursuant to this Ordinance, and any patron of a Gaming Operation aggrieved by a final

action of the Gaming Office may apply to the Judicial Court of the Tohono Oodham

Nation for review of the final action of the Gaming Office.

(c) Any Person desiring to appeal a final decision of the Gaming Office must

file an application for judicial review within 60 days after receiving notice from the

Gaming Office of its final decision.

(d) A Person aggrieved by a summary action taken by the Gaming Office

under Section 1203(d) may seek an interlocutory review of the Gaming Offices action by

filing an application for judicial review. The application for judicial review must be filed

within 15 days after receiving notice of the Gaming Offices action.

(Rcviscd Fthruary 2003) 30
ORD.NO. 93-01

(e) The reviewing court shall decide all relevant questions of law presented,

interpret constitutional and statutory provisions, and determine the basis for the action of

the Gaming Office. The reviewing court shall uphold the action of the Gaming Office

unless the court determines that the Gaming Offices action was:

1. Arbitrary. capricious, an abuse of discretion, or otherwise not in

accordance with law;

2. Contrary to constitutional right, power, privilege, or immunity;

3. In excess of statutory jurisdiction, authority, or limitations, or in

violation of statutory right;

4. Without observance of procedure required by law; or

5. Unsupported by substantial evidence.

Chapter 13: Gaming Operation.

Section 1301. Scope of Permissible Gaming The Gaming Facility Operator may

conduct only those Gaming Activities which may lawfully be carried on by the Nation under

applicable provisions of federal law including, but not limited to, the Act, subject to any

limitations which may be imposed by the Compact and this Ordinance.

Section 1302. Hours. Days, Other Standards Consistent with the provisions of the

Compact, the Gaming Office may by regulation establish the permissible hours and days of

operation of Gaming Activities. The regulations may authorize the Gaming Facility Operator to

operate Gaming Facilities and conduct Gaming Activities twenty-four hours a day, seven days a

week. The Gaming Office also may, by regulation, establish other standards of operation for

such Gaming Facilities, as the Gaming Office deems appropriate.

Section 1303. Employee and Player Age Limit Effective June 1, 2003, individuals

under 21 years of age shall not play or place any wager, directly or indirectly, in any Gaming

Activities. Prior to Jui~e 1, 2003, individuals under 18 years of age shall not play or place any

wager, directly or indirectly, in any Gaming Activities. The Gaming Facility Operator shall take

reasonable steps to prevent underage individuals from playing or placing wagers in Gaming

Activities. Neither the Gaming Office nor the Gaming Facility Operator shall employ any

individual under 18 years of age. The Gaming Facility Operator shall not permit any individual

under 21 years of age to serve alcoholic beverages at any Gaming Facility, unless otherwise

permitted under State law. The Gaming Office may by regulation establish measures by which

the Gaming Facility Operator shall enforce the provisions of this section.

Section 1304. Management: Security

(Rcv~scd Fcbrua~ 2003) 3 1
ORD.NO. 93-01

(a) The Gaming Facility Operator shall have the responsibility for the on-site

operation, management and security of each Gaming Facility, and shall comply with all

requirements of this Ordinance, the Compact and the Act. The Gaming Facility Operator

shall adopt reasonable procedures, consistent with this Ordinance, the Compact and the

Act, designed to provide for the following: the physical safety of its employees; the

physical safety of patrons in each Gaming Facility; the physical safeguarding of, and

accountability for, assets transported to and from each Gaming Facility and each cashiers

cage department; and the protection of the patrons and the Gaming Facility Operators

property from illegal activity. The Gaming Facility Operator shall adopt reasonable

procedures, consistent with Section 3(v)(2) of the Compact, to advise individuals who

inquire about the self-exclusion procedures established by the State. The Gaming Facility

Operator shall, consistent with Section 3(v)(2) of the Compact: remove all self-excluded

persons from all mailing lists and revoke any slot or players cards; take reasonable steps

to ensure that cage personnel check a persons identification against the Arizona

Department of Gamings list of self-excluded persons before allowing the person to cash

a check or complete a credit card cash advance transaction; take reasonable steps to

identify self-excluded persons who may be in a Gaming Facility and, once identified,

promptly escort the self-excluded person from the Gaming Facility; and not pay any

hand-paid jackpot to a person who is on the Tribal or State self-exclusion list. Any

jackpot won by a person on the self-exclusion list shall be donated by the Gaming Facility

Operator to an Arizona-based non-profit charitable organization.

(b) The Gaming Facility Operator may temporarily or permanently ban

individuals from the Nations Gaming Facilities and the surrounding premises controlled

by the Gaming Facility Operator for such reasons as the Gaming Facility Operator shall

determine appropriate. The Gaming Facility Operator may detain individuals briefly for

purposes of obtaining identification from the individuals in connection with the issuance

of a banning notice and may detain individuals who may be involved in illegal activities,

for purposes of notifying and summoning appropriate law enforcement authorities. If the

Gaming Facility Operator requests that an individual leave a Gaming Facility or the

surrounding premises for any reason and the individual refuses to do so, the Gaming

Facility Operator may eject the individual using such force as may be necessary under the

circumstances or request the Tohono Oodham Police Department to remove the

individual.

(c) The Gaming Facility Operator shall pay to the Arizona Department of

Gaming the Nations regulatory costs and tribal contributions required under Section 12

of the Compact, in accordance with the directives of the Legislative Council.

(d) The Gaming Facility Operator shall designate an agent for service of any

official determination, order or notice of the Commission.

Section 1305. internal Controls

(Re~~~d Febr~~ary 2003) 32
ORD.NO. 93-01

(a) The Gaming Office shall by regulation establish minimum standards of

internal control applicable to the Gaming Facility Operator and the Gaming Facilities that

provide a level of control that equal or exceed the standards required by the Act and the

Compact to provide reasonable assurance that the following objectives will be

maintained:

1. Assets are safeguarded and accountability over assets is

maintained;

2. Liabilities are properly recorded and contingent liabilities are

properly disclosed;

3. Financial records including records relating to revenues, expenses,

assets, liabilities, and equity/fund balances are accurate and

reliable;

4. Transactions are performed in accordance with the general or

specific authorization of the Gaming Facility Operators

management;

5. Access to assets is permitted only in accordance with the specific

authorization of the Gaming Facility Operators management;

6. Recorded accountability for assets is compared with actual assets at

frequent intervals and appropriate action is taken with respect to

any discrepancies; and

7. Functions, duties and responsibilities are appropriately segregated

and performed in accordance with sound practices by qualified

personnel.

(b) The Gaming Facility Operator shall operate each Gaming Facility pursuant

to a written internal control system in accordance with the requirements of Section 11 of

the Compact. The Gaming Facility Operator shall adopt policies and procedures and a

plan of organization to implement the minimum internal control standards established by

the Gaming Office. The Gaming Office shall ensure that the Gaming Facility Operators

policies and procedures are consistent with the approved minimum internal control

standards prior to implementation of the policies and procedures by the Gaming Facility

Operator. The policies and procedures shall include a detailed system for counting cash

receipts at least daily, and shall be appropriate to the types of Gaming Activities carried

on at each Gaming Facility and the physical characteristics of the systems used for

collecting cash. The plan of organization shall provide appropriate segregation of

functional responsibilities and shall require sound practices to be followed in the

performance of those duties by competent and qualified personnel. The plan of

organization shall be diagrammatic and narrative describing the interrelationship of

(Rev,sed February 2003) 33
ORD.NO. 93-01

functions and the division of responsibilities upon which the system of internal control

relative to gaming operations is based.

(c) The Gaming Facility Operator shall provide the Gaming Office with

copies of its policies and procedures and plan of organization and any proposed changes

before implementation. Within 7 days after submission by the Gaming Facility Operator,

the Gaming Office shall issue a letter approving the policies and procedures and a plan of

organization or any approved changes unless the policies and procedures and plan of

organization or any proposed changes (or any part thereof) are inconsistent with the

minimum internal control standards. If the policies and procedures and plan of

organization or any proposed changes (or any part thereof) are inconsistent with

minimum internal control standards, the Gaming Office shall issue a letter of disapproval,

which shall set forth the inconsistencies in detail.

(d) The minimum internal control standards may be modified by the Gaming

Office in the maimer set forth in Section 404, or in the maimer set forth below. The

Gaming Office shall inform ADOG in writing of any changes to the Nations minimum

internal control standards.

1. The Gaming Office may propose modifications to the minimum

internal control standards by providing written notice of the

proposed changes to the Gaming Facility Operator and the date the

Gaming Office proposes to have the changes be effective. The

Gaming Facility Operator shall submit any comments on the

proposed changes to the minimum internal control standards to the

Gaming Office within thirty (30) days after receiving notice of the

proposed changes from the Gaming Office. The Gaming Office

shall not issue a final regulation modifying the minimum internal

control standards until it has reviewed and considered the Gaming

Facility Operators comments. The Gaming Offices decision to

modify any minimum internal control standards shall constitute

final action of the Gaming Office.

2. The Gaming Facility Operator may propose changes to the

minimum internal control standards by providing written notice of

the proposed changes to the Gaming Office and the date the

Gaming Facility Operator proposes to have the changes be

effective. The Gaming Office shall review the proposed changes

within 30 days after receiving them from the Gaming Facility

Operator and shall notify the Gaming Facility Operator in writing

whether it approves or does not approve of the proposed changes.

If the Gaming Office approves the proposed changes, its notice of

approval shall set forth the date on which the proposed changes

will become effective. The Gaming Offices decision to approve or

(Rc~iscd Fthr,,arv 2003) 34
ORD.NO. 93-01

disapprove any proposed changes shall constitute final action of the

Gaming Office.

(e) The Gaming Facility Operator shall provide written notice to the Gaming

Office identifying all bank accounts maintained by the Gaming Facility Operator by bank

and account number and identifying by name all individuals with authority to sign on

each account. The Gaming Facility Operator shall provide written notice to the Gaming

Office of any changes to this information within five business days of any changes.

Section 1306. Notification The Gaming Facility Operator shall promptly notify the

Gaming Office of any non-compliance with the minimum internal control standards, the

Ordinance, the Compact or the Act or any other matters adversely affecting the integrity of

Gaming Activities or the integrity of the Gaming Facility Operator. The Gaming Facility

Operator shall promptly notify the Gaming Office of any employee termination and the reason

for the termination.

Section 1307. Annual Independent Audit

(a) The Gaming Facility Operator shall prepare financial statements for its

operations in accordance with generally accepted accounting principles on a regular basis

and shall provide the Gaming Office with copies of those financial statements.

(b) Within 110 days after the end of each fiscal year, the Gaming Facility

Operator shall provide the Gaming Office with an audit of its financial statements for the

prior year, along with any reports or management letter(s) the accountant has prepared.

The audit shall be conducted by an independent certified public accountant in accordance

with generally accepted auditing standards. Either the firm or all independent certified

public accountants engaged to do audits pursuant to this Section shall be licensed by the

Arizona State Board of Accountancy. The audit shall be prepared at the Gaming Facility

Operators expense. The auditor shall prepare an audit report expressing an unqualified or

qualified opinion on the financial statements or, if appropriate, disclaim an opinion on the

financial statements taken as a whole. The examination and audit shall disclose whether

the accounts, records, internal controls, and accounting procedures of the Gaming Facility

Operator are in compliance with the Act. The audit shall comply with the requirements

of Section 12(g) of the Compact; it shall audit and report the Nations Class III Net Win.

It shall also include or be supplemented with an attestation by the auditor that Class III

Net Win is accurately reported consistent with the terms of Compact Appendix I.

(c) All gaming related contracts that result in purchases of supplies, services,

or concessions in an amount exceeding $25,000 in any year (except contracts for

professional legal or accounting services) shall be specifically included within the scope

of the audit conducted under this section.

(Revised Febr~~ar~ 2003) 35
ORD.NO. 93-01

(d) To facilitate the completio:.i of such audits, the Gaming Facility Operator

shall make and maintain complete, accurate. and legible records of all transactions

pertaining to any Gaming Activities and any other revenue producing activities conducted

by the Gaining Facility Operator at or in conjunction with any Gaming Facility. The

Gaming Facility Operator shall maintain its financial records in accordance with generally

accepted accounting principals and shall keep those records in a form suitable for audit

under the standards of the American Institute of Certified Public Accountants. The

Gaming Facility Operator shall maintain the records, as well as all original entry

transaction records, until the later of five years from the date on which they are made or

the term of record retention required by the Compact. The records shall be maintained at

a Gaming Facility or in other locations approved by the Gaming Office.

(e) The Gaming Facility Operator shall maintain:

1. Accurate, complete, legible and permanent records of all

transactions pertaining to the Gaming Operation in a manner

suitable for audit under the standards of the American Institute of

Certified Public Accountants;

2. General accounting records using a double entry system of

accounting with transactions recorded on a basis consistent with

Generally Accepted Accounting Principles;

3. Detailed supporting and subsidiary records;

4. Detailed records identifying revenues, expenses, assets, liabilities

and fund balances or equity for the Gaming Operation;

5. All records required by the internal control system including, but

not limited to, those relating to any Gaming Activity authorized by

this Compact;

6. Journal entries for the Gaming Operation;

7. Detailed records sufficient to accurately reflect gross income and

expenses relating to its operations on a monthly and year-to-date

basis;

8. Detailed records of any reviews or audits, whether internal or

otherwise, performed in addition to the annual audit required in

this Section, including, but not limited to, management advisory

letters, agreed upon procedure reviews, notices of non-compliance

and reports on the internal control system; and

(R~v~scd Fthruarv 2003) 36
ORD.NO. 93-01

9. Records of any proposed or adjusting entries made by an

independent certified public accountant.

(f) The Gaming Facility Operator shall use a uniform chart of accounts and

accounting classifications to assure consistent and effective disclosure of financial

information and shall submit to the Gaming Office a copy of any changes to its chart of

accounts.

(g) The Gaming Office, when it deems necessary, may request additional

information regarding the Gaming Facility Operators financial statements, its audits, or

both from the Gaming Facility Operator. The Gaming Office also may require the

Gaming Facility Operator to have its independent accountant provide such information to

the Gaming Office. If the Gaming Facility Operator receives any written communications

from its independent accountant regarding internal control matters, the Gaming Facility

Operator shall provide copies of those communications to the Gaming Office within

thirty days after receiving the communications.

(h) The Gaming Office shall provide copies of the Gaming Facility Operators

annual reports and management letters setting forth the results of the annual audit to the

Commission within 120 days after the end of each fiscal year for the Gaming Facility

Operator and to the State in accordance with the requirements of the Compact. The

Gaming Office shall cooperate with the Commission and the State with respect to any

additional information the Commission or the State may request.

Section 1308. Public Disclosure of Payoffs The Gaming Facility Operator shall display

at all times in each Gaming Facility a schedule of payoff information for all Gaming Activities

conducted in the Gaming Facility. The Gaming Facility Operator shall post the information in a

location accessible to patrons and in a manner clearly visible to patrons. The Gaming Facility

Operator shall regularly update the posted information to reflect any changes in Gaming

Activities or in payoffs.

Section 1309. Patron Disputes

(a) Refusal to Pay Winnings. Whenever the Gaming Facility Operator refuses

payment of alleged winnings to a patron or there is otherwise a dispute with a patron

regarding that patrons wins or losses from Gaming Activity, and the Gaming Facility

Operator and the patron are unable to resolve the dispute to the satisfaction of the patron:

1. If the dispute involves five hundred dollars ($500) or more, the

Gaming Facility Operator shall immediately notify the Gaming

Office and shall inform the patron of his or her right to file a

complaint with the Gaming Office requesting that it investigate.

(Revised February 2003) 3 7
ORD.NO. 93-01

2. If the dispute iavolves less than five hundred dollars ($500), the

Gaming Facility Operator shall inform the patron of his or her right

to file a complaint with the Gaming Office requesting that it

investigate.

(b) Complaint. If a patron files a complaint with the Gaming Office alleging

that the Gaming Facility Operator has failed to pay wilmings owed to the patron, the

Gaming Office shall promptly provide a copy of the complaint to the Gaming Facility

Operator. Within 15 days after notifying the Gaming Office of a patron dispute or within

15 days after receiving from the Gaming Office a copy of a complaint filed by a patron,

whichever is later, the Gaming Facility Operator shall file with the Gaming Office a

written statement setting forth its position regarding the dispute. The Gaming Office

shall cause a full investigation to be made of the patrons allegations and the Gaming

Facility Operators response, and shall determine whether the patrons complaint is valid,

whether the patron is entitled to any relief, and if so, the relief to which the patron is

entitled.

(c) Notice to Patrons. The Gaming Office shall mail written notice by

certified niail, return receipt requested, to the Gaming Facility Operator and the patron of

its decision resolving the dispute within 30 days after the date that the Gaming Office is

notified of a dispute by the Gaming Facility Operator or a request to conduct an

investigation from the patron, whichever is later.

(d Effective Date of Decision. The decision of the Gaming Office is effective

on the date it is received by the aggrieved party as reflected on the return receipt.

(e) Review of Decision. Within 30 days after the date of receipt of the written

decision, the aggrieved party may file a petition with the Gaming Office requesting a

review of the decision. The Gaming Office may set a hearing on the matter or may make

a decision based on the record previously developed and other documentation provided to

it by the patron and the Gaming Facility Operator. The Gaming Office shall then issue a

written decision within 60 days of the filing of the petition and mail it to the parties by

certified mail, return receipt requested. This written decision of the Gaming Office shall

be the final decision of the Gaming Office, subject to the provision for judicial review in

Section 1204(c).

Section 1310. Play by Employees No Primary Management Official, Key Employee,

member of the board of directors of the Gaming Facility Operator, or Management Contractor,

and no employee of the Gaming Office, shall play or place any wager, directly or indirectly, in

any Gaming Activities. The Gaming Facility Operator shall take reasonable steps to prevent such

individuals from playing or placing wagers in Gaming Activities.

Section 1311. Financial Services at Gaming Facilities The Gaming Facility Operator is

prohibited from:

(Rcv~s~d February 2003) 38
ORD.NO. 93-01

(a) Locating an automatic teller machine (ATM) adjacent to, or in close

proximity to, any Gaming Device;

(b) Locating in a Gaming Facility an ATM that accepts electronic benefit

transfer cards issued pursuant to a state or federal program that is intended to provide for

needy families or individuals;

(c) Accepting checks or other non-cash items issued pursuant to a state or

federal program that is intended to provide for needy families or individuals; and

(d) Extending credit to any patron of a Gaming Facility for Gaming Activities.

Section 1312. Advertising Guidelines In accordance with the requirements of Section

3(x)(3) of the Compact, the Gaming Facility Operator shall adopt and shall comply with

guidelines for the advertising and marketing of Gaming Activities that are no less stringent than

those contained in the American Gaming Associations general advertising guidelines.

Chapter 14. Violations and Remedies.

Section 1401. Violations It shall be a violation of this Ordinance for any Person to:

(a) conduct or operate any Gaming Activities within the Nation except as

provided in this Ordinance;

(h) receive, distribute, apply or direct any property, funds, proceeds or other

asset of any Gaming Activities to the benefit of any individual or other Person except as

authorized by this Ordinance or by any duly enacted Resolution of the Legislative

Council;

(c) tamper with any equipment used in the conduct of Gaming Activities with

the intent to cause any Person to win or lose any wager other than in accordance with the

publicly announced rules of such Gaming Activities;

(d) do any other act in connection with the conduct of any Gaming Activities

with the intent to affect the outcome of any wager other than in accordance with the

publicly announced rules of such Gaming Activities;

(e) participate as a player in any Gaming Activities if such individual is

prohibited under Section 1303 or Section 1309 from participating in such Gaming

Activities;

(1) participate as a player in any Gaming Activities while such individual is

listed as an individual barred from the Nation~s Gaming Facilities as provided in Section

403(i);

(Revised February 2003) 39
ORDNO. 93-01

(g) to conduct Gaming Activities within the Nation without complying with

the terms and conditions of the Ordinance, the Compact. or the Act;

(h) to intentionally misrcprese:at a material fact to the Gaming Office or

intentionally falsify any business records of the Gaming Facility Operator or report

required by this Ordinance, the Compact or the Act; and

(i) to fail to comply with any other provision of this Ordinance.

Section 1402. Civil Penalties Any Person who violates any provision of this Ordinance,

the Compact, or the Act is subject to civil penalties, including exclusion from any Gaming

Facility, exclusion from the Nation if the Person is a not an enrolled member of the Nation, or a

civil fine of not more than $10,000.00 for each such violation.

Section 1403. Civil Remedies The Gaming Office may in the name of the Nation bring

any civil action in the courts of the Nation to enforce the provisions of this Ordinance, the

Compact, or the Act or to enjoin or otherwise prevent any violation of this Ordinance, the

Compact, or the Act occurring within the territorial jurisdiction of the Nation.

Chapter 15: Transition Provisions.

Section 1501. Existing Games Lawful Subject to the provisions of the Compact and

notwithstanding any other provision of this Ordinance, any Gaming Facilities otherwise legally

situated within the Nation, and Gaming Activities carried on at such facilities as of the date on

which this Ordinance becomes effective, shall be lawful until the day that is 120 days after the

date on which applications for licenses of such facilities and personnel are due to be submitted to

the Gaming Office established hereunder; provided, that the Gaming Office may, upon

application by the Gaming Facility Operator, extend such period to permit proper processing of

any duly filed application.

Section 1502. Repeal of Prior Ordinances and Resolutions Upon enactment of this

Ordinance, Ordinance 12-82 (referred to as the Bingo Ordinance), as amended by Resolutions

06-85 and 92-006, and any other Resolutions or Ordinances of the Nation which are inconsistent

with this Ordinance, are hereby repealed. Resolution 92-007 (Amending Chapter 15 of the

Nations Criminal Code) shall be amended consistent with the provisions of this Ordinance.

Chapter 16. Amendments.

Section 1601. Amendments This Ordinance may be amended by action of the

Legislative Council.

(Re~,sed Fthn~ry 2003) 40