REGULATIONS OF THE
TOHONO O’ODHAM GAMING OFFICE

(b) Publicly Traded Company - A company that has held an initial public offering and
whose shares are now traded on a United States national market or exchange. Also called
publicly held or public company.

ENTERTAINERS - In the event the Gaming Facility Operator contracts directly with any
Entertainer for the provision of Gaming Services. the Entertainer. employees of the
Entertainer. and persons providing personal services to the Entertainer. who are paid by
the Entertainer. may be eligible for a waiver from the Gaming Office so long as:

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5.3.1 The Entertainer does not perform at the Gaming Facility Operator on more than
three days in one calendar year: and

5.3.2. The Entertainer. employees of the Entertainer. persons providing personal
services to the Entertainer. and are paid by the Entertainer. are not allowed unescorted
access to any secure areas of the Gaming Facility.

PERFORMANCES ENDING AFTER MIDNIGHT - Performances that end after
midnight. and are part of a show or series of shows that started the previous evening, will
be considered to be part of the performance from the previous evening. Performances do
not include setting up and tearing down the stage. props. or light and sound equipment. or
warm-ups and sound checks.

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PUBLICLY TRADED COMPANIES - Publicly traded companies with over $1 billion in
annual gross revenues may be eligible for a waiver by the Gaming Office so long as:

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5.1 The company is not a Manufacturer or Distributor as defined in the Gaming
Ordinance and goods. not services. are purchased from the company:

5.5.2 The goods purchased by the Gaming Facility Operator are not used in the play of
Class II and Class III gaming. including software or component parts. and are not used
for security or surveillance (other than component parts or replacement parts used for
security or surveillance);

5.5.3 The Gaming Facility Operator makes its purchases directly from the company
including via an Internet web site or from a company owned retail store):

5.5.4 The goods purchased by the Gaming Facility Operator are sold by the company in
its regular course of business and not acquired solely for resale to the Gaming Facility
Operator: and

5.5.5 No employees of the company are allowed unescorted access to any secure areas
of the Gaming Facility. as referenced in Compact Section 4(b).

5.5.6 If the purchases are computers and/or software. one-time training may be
provided directly by the company.

———_—————— —
(EFFECTIVE October 19, 2009) Page 13


REGULATIONS OF THE
TOHONO O’ODHAM GAMING OFFICE

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CONDITIONAL LICENSES - The Gaming Office may place conditions or limits on any
license it issues or has issued, including but not limited to restricting a licensee to non-
money handling positions, requiring a licensee to address court mandated obligations or
creditor responsibilities within a set time period or any other conditions the Gaming
Office deems necessary to protect the public interest in the integrity of gaming, the
orderly conduct of gaming activities, the integrity of the Gaming Facility Operator or the
assets of the Nation. Such conditions shall be in writing and issued to the licensee in
person or through certified mail to the address listed on file at the Gaming Office.

Failure to comply with the conditions or limits placed on any license may result in the
issuance of a Written Warning of Preliminary Determination of Violation. A copy of the
Notice shall be personally served on the licensee or sent to the licensee via certified mail
at the applicant’s home or business address. The licensee will have 7 calendar days to
submit a statement and any evidence regarding why a Notice of Violation should not be
entered. Upon receipt of the licensee’s statement, the Executive Director or Director’s
designee shall consider the statement and any evidence submitted by the applicant and
render a final written decision within 15 calendar days.

1.11 RESTRICTION ON REAPPLICATION - Any Person whose application has been denied
or whose license has been revoked by the Tohono O’odham Gaming Office shall not be
considered for licensing by the Gaming Office for a period of one year from the time the
final action was taken.

Section 2— SANCTIONS

1.20 PURPOSE - This Section identifies the process and procedures by which the Gaming
Office exercises its authority to impose sanctions against licensees. Terms used in this
Section shall have the same meaning as provided in the Gaming Ordinance, unless
otherwise provided.

1.21 CATEGORIES OF VIOLATIONS

1.21.1 Category I - The Gaming Office, through the Executive Director or Director’s
designee, shall issue notices of Category I violations to any licensee the Executive
Director or Director’s designee determines has violated a provision of the Ordinance,
Compact, Appendices, Tohono O’odham Nation/State of Arizona Memoranda of
Understanding concerning Gaming Activities, Minimum Internal Control Standards
(MICS) of the Nation or the Indian Gaming Regulatory Act (the “Act”) or Regulations of
the Tohono O’odham Gaming Office in such a manner that poses an immediate risk or
threat to public health, safety, or welfare, the integrity of gaming, or gaming assets.
Pursuant to Section 1.25 of Regulation 1, the Gaming Office shall also summarily
suspend the license of an individual alleged to have committed a Category I violation.
Category I violations include, but are not limited to:

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(EFFECTIVE October 19, 2009) Page 4


REGULATIONS OF THE
TOHONO O’ODHAM GAMING OFFICE

6.4

(D) | The Gaming Facility Operator shall provide the Gaming Office with written
documentation containing information in (A) —(C) above. The written information shall
include old/new bank and machine numbers. serial numbers. hold percentages. paytable
ID’s. and game type (upright/slant top reel or video). This documentation will be required
according to the time frames listed in this Regulation.

(E) The Gaming Facility Operator may request the Gaming Office obtain a waiver for
the manufacturer’s 5 Day shipping notice requirement from ADOG for Class III devices.
However. waivers for Class I] gaming only require Gaming Office approval.

(F) The Gaming Facility Operator shall be registered with the United States Attorney
General's Office pursuant to 15 U.S.C. 1173. which is required when selling gaming
devices from the facility to another party. Registration documentation must be submitted
to the Gaming Office as proof of compliance.

LABORATORY CERTIFICATIONS - All bingo and technological aids to the game of
bingo and Class II] devices. components. and software must be approved. prior to
shipment. by a certified testing laboratory which issues a certification letter that contains
findings. conclusions and an opinion whether a gaming device. player terminal. gaming
system. component. or software complies with the provisions of the Compact and
Appendix A for Class III gaming and Tribal regulations on Class II gaming.

SHIPMENT OF SOFTWARE - Software must be shipped to arrive no later than 3 days
prior to the scheduled machine activity. All software and media of software that are
embedded in a gaming device or system must be shipped and addressed to the Tohono
O’odham Gaming Office. not the Gaming Facility Operator. All associated hardware that
does not determine the outcome of the game may be shipped and addressed to the
Gaming Facility Operator.

GAMING OFFICE SANCTIONS -

6.5.1 The Gaming Office may impose a civil sanction of up to ten thousand dollars if a
manufacturer/ vendor:

(a) fails to provide the Gaming Office the required 5 calendar day advance shipping
notice: or

(b) sells. or provides for play gaming devices. components. or software of the
Gaming Facility Operator prior to laboratory certification for use in the State of Arizona:
or

(c) knows. or reasonably should know. that the devices or software will malfunction
in any manner that affects game play or accuracy of the device meters: or

(EFFECTIVE October 19, 2009) Page 17


REGULATIONS OF THE
TOHONO O’ODHAM GAMING OFFICE

TOHONO O’ODHAM DEPARTMENT OF PUBLIC SAFETY - Authorized personnel
of the Tohono O’odham Police and Fire Departments, when acting in an official capacity,
shall have access to the Nation’s Gaming Facilities. When the Nation’s police officers or
fire fighters enter a secure area, they shall be accompanied by the Executive Director,
Assistant Director, Chief Inspector, Inspector Supervisor, or an Inspector of the Gaming

Office. In life threatening or emergency situations such access shall be immediate and
unrestricted.

WEARING GAMING OFFICE ISSUED BADGES - Each licensee, and all authorized
vendors accessing non-public areas must wear a Gaming Office issued badge when they
are present at the Gaming Facility in the course of their work. During non-working
hours, licensees must have their badge in their possession when they are in the public
areas of a casino and must wear their badge if they go into non-public areas. Licensees
may escort non-employees who have a legitimate business reason to be in non-public or
secured areas and are approved by the Gaming Office to have such escorted access.

PROVIDING UNAUTHORIZED ACCESS TO ANY INDIVIDUAL - Each licensee
shall use his or her own badge to enter or exit areas that require electronic card access
and have card readers. Licensees shall not utilize their own badge to provide access to
any individual (“piggy backing”) who does not have a valid license on his or her person.
Licensees who are regular employees of the Gaming Enterprise may escort into secured
areas authorized employees identified in the Gaming Facility Operator’s internal controls
as individuals permitted escorted access to a designated area.

PART 3 - NOTIFICATION

34

3:3.

PURPOSE - This regulation identifies the process and procedure by which the Gaming
Facility Operator shall make required reports to the Gaming Office. Terms used in this
Part shall have the same meaning as provided in the Gaming Ordinance, unless otherwise
provided.

TIMELY NOTIFICATION TO THE GAMING OFFICE - The Gaming Facility Operator
shall timely report to the Chief Inspector, Inspector Supervisor, or a Gaming Inspector
any reportable matter in the manner provided in this Part. For purposes of this regulation,
timely notification means reporting to the Chief Inspector, Inspector Supervisor, or
Inspector no later than 15 minutes after a supervisory employee becomes aware of a
reportable activity pursuant to this Part. Reporting shall be conducted in person, by radio
with acknowledgement by the individual receiving the report, or by telephone, but may
not be by voice mail messaging, answering machine messaging, e-mail, or fax.

DUTY TO REPORT - Each licensee of the Gaming Facility Operator has a duty to report

to his or her department supervisor any of the following activities of which the licensee
becomes aware:

(EFFECTIVE October 19, 2009) Page 9


REGULATIONS OF THE
TOHONO O’ODHAM GAMING OFFICE

1,23

be corrected. The Notice shall comply with Section 1203(b) of the Gaming Ordinance.
The licensee may appeal the final decision of the Gaming Office pursuant to Section
1204 of the Gaming Ordinance.

RESPONSE TO WARNING - Following receipt of the response(s), or if no response(s)

1.24

is received within seven (7) calendar days after service of the warning, the Executive
Director or Director’s designee shall issue a Notice of Violation if the Gaming Office
determines after completing its investigation into the alleged violation, that a licensee
violated or is violating the Ordinance, Compact, Appendices, Regulations or the Act and
has failed to correct the violation within the time set forth in the Warning under the
terms and conditions listed in the Warning letter, unless the Gaming Office determines
there is good cause not to issue such Violation.

EFFECTS OF FAILURE TO CORRECT A VIOLATION LISTED IN A WRITTEN

1.25

WARNING OF PRELIMINARY DETERMINATION OF VIOLATION - If a licensee
fails to correct any violation listed in a Written Warning of Preliminary Violation under
the terms and conditions provided in the letter, or if the violation cannot be corrected, the
licensee shall file a written response to the warning within 15 calendar days of receiving
the warning. The Gaming Facility Operator may separately file a written response, but
shall do so within the same period. Failure to correct a violation or submit a statement
why such violation cannot be corrected may result in the issuance of a Notice of
Violation.

SUMMARY SUSPENSION OF A GAMING LICENSE -

Notwithstanding any other provision in these regulations, the Gaming Office, through the
Director or the Director’s designee, may summarily suspend the license of any
individual:

(1) who has gained such license through fraud, or if information becomes available to the
Gaming Office which would have resulted in the denial of an initial application for a
license; or

(2) if the applicant is determined to be unsuitable under the provisions of 1.5.5 above; or

(3) if continued licensing of a licensee constitutes an immediate and substantial threat to
the public health, safety or welfare; or

(4) if continued licensing constitutes an immediate and substantial threat to the integrity
of Gaming Activities; or

(5) if continued licensing constitutes an immediate and substantial threat to the integrity
of the Gaming Facility Operator; or

(EFFECTIVE October 19, 2009) ; ; 7 7 Page 6


REGULATIONS OF THE
TOHONO O’ODHAM GAMING OFFICE

Theft or attempted theft;

Intentional damage to property or attempted intentional damage to
property;

Assault or threat of assault;

Intentional obstruction of lawful authority;

Fraudulent manipulation or alteration of official documents or business
records; or

The conducting of unlawful Gaming Activities by a licensee within or
without the exterior boundaries of the Nation.

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1.21.2 Sanctions for Category I Infractions - If the Gaming Office determines, after
completing its investigation into the alleged violation, that a licensee has committed a
Category I violation, the Gaming Office shall summarily suspend the licensee’s gaming
license in accordance with Section 1.25, followed by issuance of a Written Warning of
Preliminary Determination of Violation.

1.21.3 Category II - The Gaming Office, through the Executive Director or the
Director’s designee, may issue notices of Category II Violations to any licensee the
Executive Director or Director’s designee determines has violated a provision of the
Ordinance, Compact, Appendices, Tohono O’odham Nation/State of Arizona
Memoranda of Understanding concerning Gaming Activities, MICS, the Act or
Regulations of the Tohono O’odham Gaming Office, in such a manner that does not pose
an immediate risk or threat to public health, safety, or welfare, but which may call into
question the orderly conduct of, or integrity of the Nation’s Gaming Activities if not
timely remedied.

1.21.4 Sanctions for Category II - Sanctions will normally be dealt with in a progressive
manner to compel compliance with regulatory requirements. First infractions of
Category II violations are generally addressed by means of a warning letter. Second
infractions of the same type within 90 days may result in a second warning letter. A third
infraction of the same type within 90 days will generally result in a license suspension for
a time period determined by the Executive Director or Director’s designee of the Gaming
Office. The record of the suspension shall remain in the Person’s file. A fourth offense
of a similar nature within 90 days may result in revocation of the Person’s gaming license
at the discretion of the Executive Director or Director’s designee.

NOTICE - The Gaming Office shall issue, either in person or by certified mail to the
address currently on file with the Gaming Office, a Written Warning of its Preliminary
Determination of Violation, its denial of a gaming license, a conditional license, a
suspension or revocation of a gaming license or notification of a Compact, Appendix,
Ordinance, Regulation or MICS violation to any licensee alleged to have committed such
a violation. A copy shall be served on the Gaming Facility Operator within 24 hours
unless there are extenuating circumstances preventing such service. The Warning shall
notify the licensee and/or Gaming Facility Operator if applicable, of the infraction and
the terms on which it can be corrected, or if the action cannot be corrected, why it cannot

(EFFECTIVE October 19, 2009) Page 5


REGULATIONS OF THE
TOHONO O’ODHAM GAMING OFFICE

(d) fails to immediately notify the Gaming Office in writing of the discovery of any
probable malfunction that affects game play or the accuracy of the device meters.
components. or software approved for use in the State of Arizona: or

(e) sells. or provides for installation software that is determined to be revoked by a
certified laboratory. to the Gaming Facility Operator: or

(f) fails to provide the correct software as described in the manufacturer notification:
or

(g) sends software directly to the Gaming Facility Operator instead of to the Gaming
Office.

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The Executive Director of the Gaming Office shall issue a written warning of its
preliminary determination of violation to any licensee. Gaming Facility Operator, or
manufacturer/vendor alleged to have committed a violation of this Regulation.

6.5.3 Warnings are dealt with in a progressive manner to compel compliance with
regulatory requirements.

6.5.4 The Gaming Office may impose a civil sanction of up to ten thousand dollars if
the Gaming Facility Operator: (a) fails to provide timely notifications as required
concerning gaming machine installs or movements. or (b) performs any machine install.
removal. transfer. or modification/conversion without having made the required
notifications to the Gaming Office.

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(EFFECTIVE October 19, 2009) Page 18



REGULATIONS OF THE
TOHONO O’ODHAM GAMING OFFICE

by the Gaming Facility Operator if the Gaming Office determines that licensee or patron
constitutes an immediate threat to the public health, safety or welfare.

PART 2 - ACCESSIBILITY TO NON-PUBLIC AREAS OF THE GAMING
ENTERPRISE

2.1 | PURPOSE - This regulation identifies the process and procedure by which access to any
and all areas of a Gaming Facility shall be conducted. Terms used in this Part shall have
the same meaning as provided in the Gaming Ordinance, unless otherwise provided.

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ELECTRONIC CARD READER ACCESS - The Executive Director, Assistant Director,
Chief Inspector, Inspector Supervisors, Inspectors, Inspector Projects Manager, and
Inspector Project Assistants shall have their electronic door access cards programmed
such that they have access to any and all doors equipped with a card access reader in
each Gaming Facility and associated offices at all times. In the case of a system
malfunction in which programming is lost, the highest ranking Security Department
supervisor on duty shall notify the Chief Inspector, Inspector Supervisor, or an Inspector
no later than 15 minutes after a malfunction is discovered. At the time the system comes
back up, the highest ranking Security Department supervisor on duty, or a specified
designee, shall notify the Chief Inspector, or an Inspector Supervisor, that the system is
functional.

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KEYED ACCESS - Whenever the Executive Director, Assistant Director, Chief
Inspector, or an Inspector Supervisor need access through a keyed door that is not
equipped with an electronic card reader, the individual may request the grand master or
other appropriate key which will provide access from personnel at the designated security
post or electronic key system. If the requested key is stored at a designated security post,
the security officer on duty shall provide the key immediately on demand. Once the
authorized Gaming Office staff has taken possession of the grand master key, that
individual will notify the Security Officer of his or her destination and wait for a security
officer escort. If the grand master or other appropriate key is obtained from an electronic
key system, the authorized Gaming Office staff individual will also notify a Security
Officer of his or her destination and wait for a Security Officer escort. In emergency
situations, the authorized Gaming Office staff is not required to wait for a security officer
escort.

2.4 FAILURE TO COMPLY - Intentional modifications to programming which result in
reduced access by authorized Gaming Office personnel without appropriate notification,
intentional delays in notification involving programming loss due to system failure,
attempts to verbally or physically deny access, or failure to provide an appropriate key
immediately on demand shall be treated as Category 1 violations.

(EFFECTIVE October 19, 2009) Page 8


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December 17, 2009 NG comN\?

Ora Campillio, Executive Director
Tohono O’odham Gaming Office
P.O. Box 22887

Tueson, AZ 85734-2887

Fax: (520) 648-4159

RE: Gaming Office amended regulations, approval

Dear Executive Director Campillo:

On October 26, 2009, the National Indian Gaming Commission (NIGC) received
the Tohono O’odham Nation Gaming Office’s amended regulations adopted on October
19, 2009. This final rule includes six parts; Part 1 explains the policies and procedures
for processing applications for, issuing. limiting, revoking, and suspending gaming
licenses; Part 2 provides the processes and procedures for access to all areas of the tribal
gaming facility; Part 3 provides procedures for the gaming operation to provide various
notifications to the Gaming Office; Part 4 is reserved; Part 5 provides the policies and
procedures for waiving the requirement for certain vendors to have a gaming license; and
Part 6 provides the policies and procedures to be followed by gaming device
manufacturers and gaming-related on-line systems vendors.

This letter constitutes approval of the final rule. Nothing therein conflicts with
IGRA’s requirements or the NIGC’s regulations.

Thank you, and if you have any questions, please feel free to contact Staff Attorney
Heather McMillan Nakai at (202) 632-7003.

Sincerely,

George T. Skibine
Acting Chairman

NATIONAL HEADQUARTERS 1441 L St. NW, Suite

(00, Washington, DC 20005 Tel: 202.632.7003 Fax: 202.632.7066 WWW.NIGC.cov

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


REGULATIONS OF THE

TOHONO

O’ODHAM GAMING OFFICE

gift certificates: (viii) any building materials the value of which exceeds $25.00: or (ix)
any other Gaming Facility Operator property exceeding $25.00 in value.

3.3.8 Miscellaneous Reporting Requirements - Licensees in the following departments

have a duty to report to the licensees department supervisor any of the following
additional reporting duties:

A. Security

B. Surveillance

C. Slot Department

D. Table Games

E. Food and Beverage

F, Accounting

Security Department licensees shall report any incident in
which Security Department personnel use physical force or
detain a patron or licensee or any individual is injured on
casino property.

Surveillance Department licensees shall report any intended
movement of cameras 7 calendar days in advance of the
proposed move and must obtain Gaming Office approval
and provide a modified plan prior to implementing any
such changes. Surveillance department licensees shall
report any loss of camera coverage and any camera or
recording malfunctions via written report on a daily basis.
Surveillance licensees shall immediately report the
presence of any felon or individual. made aware of or
becomes known to them. who a reasonable surveillance
licensee believes to be a threat to gaming activities or the
public.

Slot Departmen. licensees. or the Manager on Duty, shall
report any jackpot of $10.000 or more on a gaming device
and shall suspend patron play or testing on that gaming
device until the arrival of an authorized representative of
the Gaming Office.

Table Games licensees shall report any payout of $10,000
or more on a blackjack game or poker hand. and any
progressive jackpot won.

Food and Beverage Department licensees shall report any
violation or suspected violation of applicable liquor laws,
and any violation or suspected violation of food and
beverage handling standards as outlined in United States
Public Health Service requirements.

Accounting Department licensees shall report any violation
or suspected violation of the Compact, Ordinance, or MICS
regardless of whether he or she believes prior reporting has
occurred.

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(EFFECTIVE October 19, 2009)

Page 11


REGULATIONS OF THE
TOHONO O’ODHAM GAMING OFFICE

3.3.1 Criminal Activity - Licensees shall report all criminal activity occurring on the
property of the Gaming Facility Operator regardless of availability of camera coverage or
corroborating evidence. For purposes of this part, criminal activity includes any conduct
a reasonable licensee would believe to be a crime or suspected crime including violations
of Nation, State, or Federal law.

3.3.2 Unusual Occurrence - Licensees shall report all unusual occurrences, including
but not limited to: (i) death or serious injury of a patron or employee; (ii) any incident in
which a significant loss has occurred including but not limited to any situation, human
caused or natural, that threatens casino operations or jeopardizes the health, safety or
welfare of patrons or employees; (iii) any technical failure or human error that could
impact the outcome of a game; (v) any time that any law enforcement or an emergency
medical agency is called by the Gaming Facility Operator to respond to an incident on
any Gaming Facility Operator property; (iv) any other activity of a suspicious or unusual
nature that could affect the integrity of gaming; or (vi) any loss of communication
between the slot accounting system and the floor lasting more than 15 minutes.

3.3.3 Violation or Suspected Violation of the Compact, Appendices, Ordinance.
Minimum Internal Control Standards, Regulations or IGRA - Licensees shall report all
activities or suspected activities that a reasonable licensee would believe or suspect to be:
(i) a violation of the Compact, Appendices, Ordinance, MICS, Regulations, or the Act, or
(ii) could result in a violation of the Compact, Ordinance, MICS, Regulations or the Act.

3.3.4 Patron Disputes - Licensees shall report all disputes over payment of alleged
winnings that equal or exceed $500.00 between patrons and the Gaming Facility
Operator. For purposes of this Part, a patron dispute includes any claim by a patron that
the Gaming Facility Operator, or any of its agents or employees, refuses to pay winnings,
prizes or a jackpot that equals or exceeds $500.00.

3.3.5 Overage or Shortage - Licensees shall report any overage or shortage of $100.00
or more or any suspicious overage or shortage of any amount in any bank, or portable
bank handled by a licensee.

3.3.6 Forced Balancing - Licensees shall report any voiding of a transaction a
reasonable licensee would believe was made for the purpose of forcing the balance of any
register or point of sale in the cage, restaurants, gift shop, box offices, and hotel or
entertainment center of the Gaming Facility Operator. This includes but is not limited to
incidents of licensees adding their own funds to a bank to balance the bank or reduce a
variance, or licensees voiding a legitimate transaction to prevent a variance.

3.3.7 Discrepancies in Inventory - Employees shall report the following discrepancies
in inventory, including, but not limited to: (i) bingo or keno products and paper; (ii)
playing cards; (iii ) tokens or cheques used in the play of any game; (iv) slot machine
parts; (v) any type of office equipment and materials; (vi) food and beverage, including
alcohol, products the value of which exceeds $25.00; (vii) any inventoried coupons or

(EFFECTIVE October 19, 2009) Page 10


REGULATIONS OF THE
TOHONO O’ODHAM GAMING OFFICE

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(6) if continued licensing constitutes an immediate and substantial threat to the Gaming
Facility Operator’s ability to account for and protect its assets; or

(7) if continued licensing constitutes an immediate and substantial threat to the security
of gaming proceeds.

The Gaming Office shall serve written notice either in person or by certified mail to the
address on file at the Gaming Office. A licensee, whose license has been summarily
suspended, for any reason, may apply for interlocutory review of the Gaming Office’s
action within 15 calendar days of receiving notice of the Gaming Office’s action pursuant
to Section 1204 of the Gaming Ordinance. The application for interlocutory review must
be filed in the Judicial Court of the Tohono O’odham Nation.

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1.26 Due Process - The licensee 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. This must be
done within 15 calendar days after receiving the Notice of Violation.

1.26.1 The Gaming Office shall issue a written decision concerning the Notice of
Violation within 15 calendar days after receiving all written responses, or if no party
submits a written response in a timely manner, within fifteen days after the deadline for
the submission of written responses.

1.26.2 The written response of the Gaming Office shall constitute a final action of the
Gaming Office. The Gaming Office shall not take action to enforce a Notice of Violation
until it has issued a written decision unless summary action is warranted to protect the
public health, safety or welfare; the integrity of Gaming Activities; the integrity of the
Gaming Facility Operator; the Gaming Facility Operator’s ability to account for and
protect its assets; or to the security of gaming proceeds. Any licensee desiring to appeal a
final decision of the Gaming Office must file an application for judicial review within 60
days of receiving notice from the Gaming Office of its final decision.

1.27 METHOD OF SERVICE - A Written Warning of Preliminary Determination of
Violation, denial of a gaming license, a conditional license, a suspension or revocation of
a gaming license or notification of (Compact, Appendices, Ordinance, Regulation, MICS
or Act) violation may be served in person or by certified mail to the licensee’s address on
file at the Gaming Office. A copy shall be delivered 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 the
Ordinance.

1.28 USE OF FORCE - The Gaming Office may use such force as may be necessary under the
circumstances to summarily eject any licensee or patron who has violated the Ordinance,
the Compact, or the Act, from a Gaming Facility or the surrounding premises controlled

(EFFECTIVE October 19, 2009) Page 7


ho

REGULATIONS OF THE
TOHONO O’ODHAM GAMING OFFICE

1.6.2 The applicant has previously had a license denied, suspended or revoked by the
Gaming Office or by a gaming regulatory body of another jurisdiction;

1.6.3 The applicant has had a finding of delinquency, notice, or lien filed against him or
her for non-payment of federal, state, or local taxes and/or regulatory fees, federal student
loans, or child support payments; or

1.6.4 The Gaming Office determines the licensing of an individual will constitute a
danger to gaming, the Enterprise, or the public interest.

1.6.5 has entered into a plea agreement, misdemeanor compromise, diversion program
or entered a plea of no contest concerning passing bad checks or other financial criminal
activity; or

1.6.6 _ has refused to cooperate with a lawful investigation by the Gaming Office when
such agency is engaged in the investigation of crimes relating to gaming, official
corruption, gangs, organized crime activity or violation of the MICS, Ordinance,
Compact or applicable Federal, Tribal, State or local law.

FINDING OF NON-SUITABILITY - If after receiving a complete application, the
Gaming Office makes a determination that an individual does not meet the standards for
suitability for a Gaming License or deems the applicant unsuitable for license renewal,
the Gaming Office shall prepare a “Preliminary Finding of Non-Suitability for
Licensing.” A copy of the Preliminary Finding shall be personally served on the
applicant or licensee or sent to the applicant via certified mail at the applicant’s home or
business address. The applicant will have 7 calendar days to submit a statement
regarding why a final finding of non-suitability should not be entered. Upon receipt of
the applicant’s or Licensee’s statement, the Executive Director or Director’s designee
shall consider the statement and any evidence submitted by the applicant and render a
decision within 15 calendar days. If the Executive Director or Director’s designee
determines the individual should not be licensed, a formal denial letter will be issued and
this will constitute the final decision of the Gaming Office. The applicant or licensee
shall have the right to appeal the decision pursuant to Section 1204(b) of the Gaming
Ordinance.

CONTINUING DISCLOSURE - Each licensee shall disclose, in writing, to the Gaming
Office within 48 hours (or two calendar days) of the occurrence, or upon the receipt of,
any citation, charge against or arrest made of the licensee, or any plea entered into by the
licensee regarding any offense or conviction thereof, excluding minor traffic violations,
in any jurisdiction. Failure to comply with this requirement may lead to suspension or
revocation of the licensee’s gaming license.

CHANGE OF ADDRESS - Any applicant or licensee must report, in writing, to the
Gaming Office any change of address and/or telephone number within 5 calendar days of
such change.

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(EFFECTIVE October 19, 2009) Page 3


REGULATIONS OF THE
TOHONO O’ODHAM GAMING OFFICE

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5.7

PROCEDURES FOR A WAIVER REQUEST -

5.6.1 The Gaming Office must receive a request from the Gaming Facility Operator
identifying the proposed Vendor. and describing how the Vendor is qualified for a
waiver. The Gaming Office must receive the waiver request at least thirty-five (35)
calendar days prior to the Vendor providing goods or services in excess of $10,000 in any
single month.

5.6.2 A draft contract must be sent to the Gaming Office. for review of Compact
compliance. not later than fifteen (15) calendar days prior to signing the final contract
between the Vendor. and the Gaming Facility Operator.

5.6.3 The waiver request must include: (i) the name of the proposed Vendor: (ii) a
description of the Vendor. and the reason why they qualify for a waiver: (iii) a
representative's name. phone number. fax number. address. e-mail address. and position
with the company will be required: (iv) the department requesting the waiver, and the
name of a contact person: and (v) a request that the Gaming Office issue the Vendor a
waiver.

5.6.4 A copy of the final signed contract must be sent to the Gaming Office to be
included in the file.

WAIVER APPROVAL/DENIAL -

5.7.1 Before the Gaming Facility Operator purchases goods or services from a Vendor
in excess of $10,000 in any single month. the Gaming Facility Operator must receive
written confirmation from the Gaming Office that the vendor currently holds a valid

waiver.

5.7.2 Within thirty (30) calendar days of receiving a request for a waiver from the
Gaming Facility Operator the Gaming Office will verify the following:

(a) For a Company: (i) name of the company: (ii) that the company is publicly traded
on a United States national market or exchange: (iii) that the company has one billion in
annual gross revenues: and (iv) the company’s business product.

(b) For an Entertainer: (i) name of the Entertainer: (ii) the Entertainer will not
perform on more than three (3) days in a calendar year: and (iii) written confirmation that
the Entertainer. employees of the Entertainer. persons providing personal services to the
Entertainer. and are paid by the Entertainer. are not allowed unescorted access to any
secure areas of the Gaming Facility.

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(EFFECTIVE October 19, 2009) Page 14


REGULATIONS OF THE
TOHONO O’ODHAM GAMING OFFICE

PART 6 - GAMING DEVICE MANUFACTURERS/ GAMING RELATED ON-LINE
SYSTEMS VENDOR NOTIFICATION REQUIREMENTS

6.1

PURPOSE - This regulation identifies the process and procedures by which Gaming
Device Manufacturers/Vendors and the Gaming Facility Operator shall make required
notifications to the Gaming Office. Terms used in this Part shall have the same meaning
as provided in the Gaming Ordinance. unless otherwise provided.

TIMELY NOTIFICATION TO THE GAMING OFFICE

6.2.1 Manufacturers -

(A) — Gaming Device Manufacturers/Vendors shall give the Gaming Office 5 calendar
days advance written notice of any shipment of bingo or technological aids to the game
of bingo or Class III gaming devices. components, or software to be sent to any gaming
facility on the Tohono O’odham Nation. The notice: (1) shall be addressed to the Gaming
Office Executive Director: (2) be sent via fax: and (3) follow time calculation
requirements specified in Section 21 of the Tribal/State Compact. This requirement also
applies to Manufacturers/Vendors of On-Line Monitoring and Control Systems (MCS).

(B) The Gaming Device Manufacturers/Vendors shall be in compliance with Sections
15 U.S.C. 1173 and 15 U.S.C. 1174. of the Johnson Act. which requires the
Manufacturers/Vendors to register and label Gaming Devices sold.

6.2.2 Gaming Facility Operator -

(A) | The Gaming Facility Operator shall provide the Gaming Office 30 calendar day’s
written notification of their intent to install. re-install. modify. or convert gaming devices
prior to placing such gaming devices in use. A conversion and/or modification means a
change or alteration in an approved gaming device that affects the manner or mode of
play or the percentage paid by the gaming device. including a change in control or
graphics programs.

(B) The Gaming Facility Operator shall provide the Gaming Office 5 calendar day's
written notification of its intent to remove any gaming device off the gaming floor for the
purpose of taking it out of play. The notice will identify date of removal. machine serial
number. machine number. game name. and destination.

(C) The Gaming Facility Operator must provide the Gaming Office 24 hour written
notification of their intent to transfer gaming devices for the purpose of keeping it in play
within the facility or other facility owned by the Nation. The notice will identify date of
transfer. machine serial number. machine numbers. game names. and destination.

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(EFFECTIVE October 19, 2009) Page 16



REGULATIONS OF THE
TOHONO O’ODHAM GAMING OFFICE

PART 1 - LICENSING

Section 1 —- LICENSING

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PURPOSE - This regulation identifies the process and procedures by which the Gaming
Office shall exercise its authority to process applications and issue, limit, revoke, or
suspend gaming licenses. Terms used in this Section shall have the same meaning as
provided in the Gaming Ordinance, unless otherwise provided.

LICENSE - An applicant for a gaming license or renewal of a license is seeking the
granting of a privilege. The issuance of a gaming license by the Gaming Office does
NOT create or imply a right of employment or continued employment.

DISCLOSURE OF INFORMATION - An application for a gaming license may be

denied for failure to provide all information and documentation requested by the Gaming
Office.

FEES - The Gaming Office may establish a schedule of fees for investigations, to be paid
by the applicant or licensee, for the purpose of paying for the administrative costs
associated with issuing licenses. These fees may vary depending on the type of
application and the complexity of the investigation or costs of the Gaming Office in
reviewing and processing applications. A current schedule of fees shall be made
available to any applicant or licensee and the Gaming Facility Operator upon request. The
Gaming Office shall transmit all licensing fees collected to the Treasurer of the Tohono
O’odham Nation.

DENIAL OF A GAMING LICENSE - The Gaming Office, through the Executive
Director or Director’s designee, shall deny an application for a gaming license if the
applicant:

(a) Individuals

1.5.1 fails to prove by clear and convincing evidence that he or she is qualified for a
license in accordance with the provisions of the Gaming Ordinance or the Tribal/State
Compact; or

1.5.2 _ has felony charges at the time he/she applies for an initial license or renewal of a
gaming license, or has any charges for gaming related offenses or crimes related to theft,
violence or fraud; or

1.5.3 has been convicted of any felony or gaming offense, or has entered into a
diversion program in lieu of felony charges; or

(EFFECTIVE October 19, 2009) Page 1


eunttiyy TOHONO O’ODHAM NATION
Rey 2 GAMING OFFICE

P.O.Box 22887
} ‘Tucson, Arizona 8. 2887
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phone (520) 648-4100
~~ ao Fax (520) 648-4159
IG OF

Final Rule

The purpose of this Notice is to inform the public that the Regulations of the Tohono O’odham
Gaming Office are approved by the Executive Director of the Tohono O’odham Gaming Office.
The Tohono O’odham Gaming Office submitted proposed regulations in accordance with
Section 404(b) of the Ordinance for the Regulation of Gaming Activities within the Tohono
O’odham Nation on March 20, 2009. The Gaming Office received and reviewed all comments
from the public and the Tohono O’odham Gaming Enterprise. The Gaming Office took these

comments under advisement and accepted some comments and proposed changes and rejected
others.

The Regulations of the Tohono O’odham Gaming Office become effective upon being officially
filed with the Secretary of the Legislative Counsel, the Office of the Chairperson and the Office
of the Attorney General, but no earlier than October 19, 2009.

If you have any further questions, please contact the Tohono O’odham Gaming Office at
520-648-4100.


REGULATIONS OF THE
TOHONO O’ODHAM GAMING OFFICE

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PROCEDURE FOR REPORTING - The licensee shall notify the supervisor on duty for
his or her department at the time the reportable activity is discovered or observed. The
on-duty department supervisor shall be responsible for notifying the Gaming Office

pursuant to Section 3.2 above.

RETALIATION FOR REPORTING OR COOPERATING WITH A GAMING OFFICE
INVESTIGATION - No supervisory or management licensee may take retaliatory action
against a Gaming Facility Operator licensee for making a report as required in these
Regulations or for cooperating with a Gaming Office investigation.

FAILURE TO COMPLY - Failure of a licensee of the Gaming Facility Operator to
comply with the reporting requirements of this Part may result in sanctions against the
licensee. A department supervisor. who intentionally withholds timely notification to the
Gaming Office resulting in the obstruction of an investigation. whether criminal in nature
or regulatory. shall have committed a Category 1 violation and may be subject to
summary license suspension. A non-supervisory licensee of the Gaming Facility Operator
who does not report a matter under this section to his or her supervisor shall have
committed a Category 1 violation if the individual knew or should have known the matter
was reportable under this Part. The Gaming Facility Operator shall determine the manner
in which a non-supervisory licensee shall communicate a reportable matter to a
supervisor.

PART 4— INFORMATION TECHNOLOGY [RESERVED]

PART 5— WAIVERS

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PURPOSE - The Gaming Office has the authority to waive the requirement for a license
pursuant to Section 7 of the Gaming Ordinance (Ord. No. 93-01. Rev. May 2007). This
Regulation identifies the process for applying for and obtaining a waiver. The waiver
shall be used strictly for Entertainers and Publicly Traded Companies (collectively
~Vendors”) that provide Gaming Services and meet specific criteria as listed in this
Regulation. Terms used in this Part shall have the same meaning as provided in the
Gaming Ordinance. unless otherwise provided.

DEFINITIONS -

(a) Entertainer - An individual or group with whom the Gaming Facility Operator
contracts to hold a public performance such as singing. dancing. comedy or other
amusement.

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(EFFECTIVE October 19, 2009) Page 12



REGULATIONS OF THE
TOHONO O’ODHAM GAMING OFFICE

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5.7.3 The Gaming Office may deny the request for failure to provide the requested
information within the time allotted or for failure to meet the requirements outlined
herein.

5.7.4 Upon review of the Vendors’ information. the Gaming Office will issue a written
response to the Gaming Facility Operator approving or denying the waiver request. If the
waiver is denied. the Gaming Office will state the basis for its denial. This will constitute
the final decision of the Gaming Office for purposes of appealing the Gaming Office’s
decision. The applicant may appeal the decision of the Gaming Office pursuant to
Section 1204 of the Gaming Ordinance.

7.5 An annual list of the Vendors. currently holding a waiver. on file with the Gaming
Office will be sent to the Gaming Facility Operator's Purchasing Department.

TIME PERIOD

5.8.1 During the term of the waiver. if a Vendor no longer meets the requirements as
outlined herein. the Gaming Office will rescind the waiver. The Gaming Office will
provide written notice to the Gaming Facility Operator. in person or by certified mail,
that the Vendor no longer meets the requirements for a waiver and that such waiver has
been rescinded. The Gaming Facility Operator may appeal the decision of the Gaming
Office pursuant to Section 1204 of the Gaming Ordinance.

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.8.2 The waiver may be renewed every two (2) years. unless rescinded earlier by the

aming Office.

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.8.3 Prior to the expiration of the waiver. the Gaming Facility Operator shall submit a
renewal request for any Vendor it wishes to continue a business relationship with.

5.8.4 Ifthe Vendor's waiver is revoked or denied. the Vendor will be required to be
licensed and/or certified through the regular licensing process to provide goods or
services in excess of $10.000 in any single month. with the Gaming Facility Operator.

REVOCATION OF WAIVER - The Gaming Office will remain the sole authority to
issue or rescind a waiver.

SANCTIONS - The Gaming Office may sanction a Vendor who holds a waiver.
including. but not limited to. issuing a fine. summarily suspending a waiver. or any other
sanction it deems necessary to ensure the integrity of gaming. protect the integrity of the
Gaming Facility Operator. or protect the assets of the Nation.

(EFFECTIVE October 19, 2009) Page 15