November 22, 2016 

By First Class Mail 

Mr. Norman Wilder 

Tribal Chainnan, Fort Independence Indian Reservation 

P.O. Box 67 

Independence, CA 93526 

Re: Fort Independence Indian Reservation Gaming Ordinance Amendment, 

Resolution 2016-01 2 

Dear Chairman Wilder: 

This letter responds to your req uest, on behalf of the Fort Independence Indian 

Reservation, for the National Indian Gaming Commission Chairman to review and approve 

amendments to the Fort Independence Indian Reservation Gaming Ordinance. The submitted 

amendments update the language used within gaming license applications and modify the 

submission, timing, and retention requirements for materials generated by background 

investigations. 

·n1ank yolt for bringing the amendments to our attention. The amendments are approved 

as they are consistent with the requirements of the Indian Gaming Regulatory Act and the 

NIGC's regulations. ff you have any questi.ons, please feel free to contact Staff Attorney Andrew 

Mendoza at 202-632-7003. 

Jonodev 0. Chaudhuri 

Chairman 

NEW MAii.iNG AOORESS: NICC/PF.l'ARTMENf OF THE INTERIOR 161.9 C t1 e~t NW, Mail St.,;; !rl 62 1 Wa~l.io'>; ton, DC /0?.,10 f.,1 '-C<.632.7003 fc>><: )0'~ 6:P /(le;:; 

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SUBJECT: 

WHEREAS, 

WHEREAS, 

WHEREAS, 

WHEREAS, 

WHEREAS, 

WHEREAS, 

WHEREAS, 

FORT INDEPENDENCE INDIAN RESERVATION 

P.O. BOX H7 • INDEPENDENCE, CA Y3526 • (760) 878-5 I 60 • FAX (760) 878-231 1 

RESOLUTION 2016-12 

Authorization to Submit Amendments ~o the Tribal Gaming Ordinance to the Chairman of 

the National Indian Gaming Commission 

the Fort Independence Indian Reservation is a federally recognized Indian Tribe listed in 

the Federal Register as the Fort Independence Indian Community of Paiute Indians of the 

Fort Independence Reservation,, and 

the Fort Independence Reservation General Council is the Federally recognized governing 

body of the Fort lndep~ndence Indian Reservation, hereinafter referred to as the "Tribe", 

and 

the Tribe has a Tribal Gaming Ordinance that was approved by the Chairman of the 

National Indian Gami'ng Commission on January 11, 2008, and 

the Tribe has recognized the need to make amendments to the Tribal Gaming Ordinance, 

and 

the Tribe submitted two prior versions of the amended Tribal Gaming Ordinance to the 

National Indian Gaming Commission and received a number of comments and 

suggestions from the Commission's Office of General Counsel, including final comments 

on October 19, 2016; and 

the Tribe has held the discussion of the amendments at a regularly scheduled General 

Council meeting, and 

pursuant to 25 C.F.R. Part 522.3, the Tribe shall submit an amended Tribal Gaming 

Ordinance to the National Indian Gaming Commission Chairman for approval within 15 

days of the amendment, and 

NOW THEREFORE IT BE RESOLVED, that the General Council hereby approves the attached amended 

Tribal Gaming Ordinance and authorizes the Chairman of the Tribe to submit the amended Tribal Gaming 

Ordinance to the Chairman of the National Indian Gaming Commission for approval. 

Resolution 2016-12 
CERTIFICATION 

THIS IS TO CERTIFY THAT THE ABOVE RESOLUTION, 2016-12, WAS ADOPTED BY THE FORT INDEPENDE.NCE 

GENERAL COUNCIL AT A DULY CALLED MEETING OF WHICH A QUORUM WAS PRESENT, HELD ON 

NOVEMBER 2, 2016, BY A VOTE OF l9__FOR, _yi_AGAINST, & _al_ABSTENTIONS. 

THIS RESOLUTION IS HEREBY CERTIFIED AS AUTHENTIC AND HAS NOT BEEN CHANGED OR AMENDED IN 

ANYWAY. 

11/J/1" I 

Date 

11/3/J(a 

Date 

Resolution 2016-12 
Index to Fort Independence Indian Reservation Gaming Ordinance 

101. Purpose 3 

102. Definitions 3 

103. Gaming Authorized 6 

104. Ownership of Gaming 6 

105. Use of Gaming Revenue 6 

106. Tribal Class II and Class Ill 

Minimum Internal Control Standards 6 

107. Per Capita Payments 6 

108. Board of Directo.-s 7 

109. Gaming Commission 10 

11 O. Enforcement 13 

111. Ethics 16 

112. Complimentary Items 17 

113. Audit 18 

114. Environment and Public Health and Safety 18 

115. Dispute Resolution 18 

116. Facility Licenses 18 

117. Agent for Service of Process 19 

118. Compliance with Federal Law 19 

119. Repeal 19 

120. Tribal Access to Financial Information 19 

201. Licenses for Key Employees and Primary 

Management Officials 19 

202. License Application Forms 20 

203. License Fees 21 

204. Fingerprints 21 

205. Background Investigations 21 

206. Procedures for Conducting a Background Check on 

Applicants 22 

207. Eligibility Determination 23 

208. Procedures for Forwarding Reports 

for Key Employees and 

Primary Management Officials to the NIGC 22 

209. Report to the NIGC 23 

210. Granting a Gaming License 24 

211. License Suspension 25 

212. Employee Appeal Process 25 

301. Licenses for Vendors 26 

302. Submission of a Vendor License Application 26 
303. Contents of the Vendor License Application 26 

304. Vendor Background Investigation 28 

305. Vendor License Fee 28 

306. Vendor Background Investigation Report 28 

307. Exemption for Vendors Licensed by Recognized 

Regulatory Authorities 28 

308. Licenses for Non-Gaming Vendors 28 

309. Sovereign Immunity 29 

310. National Indian Gaming Commission 29 

311. Code of Ethics for the Business Committee 29 

2 
REVISED MODEL GAMING ORDINANCE 

Section 101. Purpose 

The Fort Independence Indian Reservation, also recognized by the United States under 

the name "Fort independence Indian Community of Paiute Indians of the Fort 

Independence Reservation, California" (the "Tribe"), is a federally recognized sovereign 

Indian Tribe established pmsuant to the Articles of Association of the Fort Independence 

Indian Community, as amended in 2004, exercisingjurisdiction over all lands owned by 

the United States for the benefit of the Tribe, hereby enacts this ordinance in order to 

govern Class II and Class TII gaming operations on the Tribe's Indian lands. 

Section 102. Definitions 

Unless a different meaning is clearly indicated in this Ordinance, the terms used herein 

shall have the same meaning as defined in the Indian Gaming Regulatory Act (IGRA), 25 

U.S.C. § 2701 et seq., and its regulations, 25 C.F.R. § 500 et seq. Specifically: 

(a) Board of Directors means the Tribal Gaming Board of Directors, who shall 

serve as primary management officials in overseeing the General Manager and the 

day-to-day non-regulatory aspects of the gaming operation. 

(b) Business Committee means the elected Chairman, Vice-Chairman and 

Secretary/Treasurer of the Tribe. 

( c) Class I gaming means social games solely for prizes of minimal value or 

traditional forms oflndian gaming engaged in by individuals as a part of, or in 

connection with, tribal ceremonies or celebrations. 

(d) Class II gaming means: 

(1) the game of chance commonly known as bingo (whether or not 

electronic, computer, or other technologic aids are used in connection 

therewith): 

(A) which is played for prizes, including monetary prizes, with 

cards bearing numbers or other designations, 

(B) in which the holder of the card covers such numbers or 

designations when objects, similarly numbered or designated, are 

drawn or electronically determined, and 

(C) in which the game is won by the first person covering a 

previously designated arrangement of numbers or designations on 

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

3 
lotto, punch boards, tip jars, instant bingo, and other games similar 

to bingo, and 

(2) card games that: 

(A) are explicitly authorized by the laws of the State, or 

(B) are not explicitly prohibited by the laws of the State and are 

played at any location in the State, but only is such card games are 

played in conformity with those laws and regulations (if any) of 

the State regarding hours or periods of operation of such card 

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

(3) The term "Class II gaming" does not include: 

(A) any banking card games, including baccarat, chemin de fer, or 

blackjack (21 ), or 

(B) electronic or electromechanical facsimiles of any game of 

chance or slot machines of any kind. 

( e) Class III gaming means all fotms of gaming that are not class I gaming or 

class II gaming. 

(f) Commission means the Tribal Gaming Commission established to perform 

regulatory oversight and to monitor compliance with Tribal, Federal, and 

applicable State regulations. 

(g) Commissioner means a Fort Independence Gaming Commissioner. 

(h) Compact means a Tribal-State Compact concerning class III gaming 

approved by the Secretary of the Interior and published in the Federal Register 

pursuant to 25 U.S.C. § 271 O(d). 

(i) Complimentary means a service or item provided at no cost, or at a reduced 

cost, to a customer. 

(j) Directly related to means a spouse, child, parent, grandparent, grandchild, 

aunt, uncle, or first cousin. 

(k) Director means a Member of the Tribal Gaming Board of Directors. 

(l) Indian lands means: 

(1) all lands within the limits of the Tribe's reservation; 

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

the benefit of the Tribe or individual or held by the Tribe or individual 

subject to restriction by the United States against alienation and over 

4 
which the Indian Tribe exercises governmental power; and 

(3) for all lands acquired into trust for the benefit of an Indian tribe after 

October 17, 1988, the lands meet the requirements set forth in 25 U.S.C. 

§ 2719. 

(m) Indian Tribe or Tribe means the Fort Independence Indian Community. 

(n) Key Employee means: 

(I) A person who performs one or more of the following functions: 

(A) Bingo caller; 

(B) Counting room supervisor 

(C) Chief of security; 

(D) Custodian of gaming supplies or cash; 

(B) Floor manager; 

(F) Pit boss; 

(0) Dealer; 

(H) Croupier; 

(I) Approver of credit; or 

(J) Custodian of gambling devices including persons with access to 

cash and accounting records within such devices; 

(2) If not otherwise included, any other person whose total cash 

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

(3) If not otherwise included, the four most highly compensated persons in 

the gaming operation. 

(4) Any other person designated by the Tribe as a key employee. 

(o) NIGC means the National Gaming Commission. 

(p) Net Revenues means gross gaming revenues of an Indian gaming operation 

less 

( 1) Amounts paid out as, or paid for, prizes; and 

(2) Total gaming-related operating expenses, excluding management fees. 

( q) Primary Management Official means 

(1) The person (s) having management responsibility for a management 

contract; 

(2) Any person who has authority: 

5 
(A) To hire and fire employees; or 

(B) To set up working policy for the gaming operation; or 

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

management responsibility. 

(3) Any other person designated by the Tribe as a primary management 

official. 

(r) Tribal Council means the General Council of the Fort Independence Indian 

Reservation. 

Section 103. Gaming Authorized 

Class II and Class III gaming is hereby authorized. 

Section 104. Ownership of Gaming 

The Tribe shall have the sole proprietary interest in and responsibility for the conduct of 

any gaming operation authorized by this ordinance. 

Section 105. Use of Gaming Revenue 

(a) Net revenues from tribal gaming shall be used only for the following purposes: 

( 1) to fund tribal government operations and programs; 

(2) to provide for the general welfare of the Tribe and its members; 

(3) to promote tribal economic development; 

( 4) to donate to charitable organiz.ations; or 

(5) to help fund operations oflocal government agencies. 

Section 106. Tribal Class III and Class III Minimum Internal Control Standards 

The Tribe voluntarily, through this tribal gaming ordinance, shall maintain minimum 

internal control standards (MlCS) that equal or exceed those set forth in 25 C.F.R. 542 

(as in effect on October I, 2006), or, at the option of the Tribe, any new internal control 

standards issued by the NIGC. The Tribe will work with NIGC to ensure compliance 

with MICS regulations. 

Section I 07. Per Capita Payments 

(a) "Per Capita Payment" means the distribution of money or other thing of 

value to all members of the Tribe, or to identified groups of members, which is 

paid directly from the net revenues of any tribal gaming activity. 

(b) The Tribe elects to make payments to each of its members from its Revenue 

Sharing Trust Fund ("RSTF") funds, or to encumber these funds for other uses for 

the benefit of the Tribe. These funds are not derived from the Tribe's gaming 

6 
operation and are not required to have any plan to implement these as "per capita" 

payments pursuant to 25 C.F.R. Part 290. 

(c) The Tribe elects to additionally make per capita payments to tribal members 

from revenues derived from its gaming operations. The Tribe shall adopt a 

separate Revenue Allocation Plan for Gaming Revenues ("RAP") for distribution 

of these revenues. In doing so, the Tribe shall ensW'e that the Revenue Allocation 

Plan for Gaming Revenues ("RAP") shall comply with all applicable federal and 

tribal laws. No distributions shall be made until such RAP is approved by the 

Secretary oflnterior as adequate. 

Section 108. Board of Directors 

(a) In addition to the General Manager for the facility, there shall be established a 

Tribal Gaming Board of Directors which shall serve in a management oversight 

role over the General Manager and the day-to-day operations of the gaming 

operation. In the event that the Tribe enters into a management contract approved 

by the NIGC, the Board may delegate some or all duties to the approved 

management contractor. The Board of Directors shall oversee all non-regulatory 

aspects of the gaming operation. Regulation of the gaming operation shall be the 

sole responsibility of the Tribal Gaming Commission. 

(b) The Tribe recognizes the importance of an independent Tribal Gaming Board 

of Directors in maintaining a well-regulated gaming operation. The Tribal 

Gaming Board of Directors shall be and act independently from the F011 

Independence Gaming Commission and the Business Committee in all matters 

within its purview. Terms of office for the three (3) members of the Tribal 

Gaming Board of Directors shall be three (3) years. Initially, the Board Chairman 

is to serve one ( 1) year. After the one (I) year is up, the term shall be three (3) 

years. This will give overlap in management for smooth transitions as new Board 

of Directors are appointed. Board of Directors shall be subject to the same 

background requirements as key employees and primary management officials 

and must be licensed accordingly. Board of Directors shall resign by written 

notice to the General Council through the Business Committee. All Board of 

Director positions shall be filled in the following procedures: The position(s) 

shall be distributed to the General Council Members and applications shall be 

accepted from those seeking to fill the open position(s). Process shall give 

applicants a minimum of 15 days to get applications in to the Business Committee 

after date notification was sent. The open position(s) shall be filled by a vote of 

the General Council at a Regular General Council Meeting with a time period set 

as soon as possible once the application period has expired. The Business 

Committee shall conduct a background check through any qualified background 

agency on all applicants that meet the qualifications outlined in this section. The 

Business Committee shall identify the qualified candidates after the background 

checks and notify who the candidates are by placing their names on the agenda by 

the 151h of the month before the General Council Meeting where the Council will 

7 
vote for the identified candidate(s). The candidate(s) who receives the most votes 

shall be the Board of Director effective the next day at 6 a.m. Their time of 

appointment struts then. When their term has four (4) months left, the process 

will start over as described above to fill the position when the scheduled term of 

office is complete. 

The minimum requirements for consideration and appointment as a member of the Tribal 

Gaming Board of Directors are as follows: 

Any of the following shall qualify the applicant: 

(1) Degree in Business Administration, accounting, Marketing or an 

equivalent field. 

(2) Minimum of two (2) years experience in business management. 

(3) Knowledge of Federal Indian Law, Indian Gaming Regulatory Act and 

related statutes and regulations. 

(4) Shall be a Fort Independence Tribal Member of voting age. 

No person shall be eligible for consideration by the Business Committee for the 

following: 

( 1) No convictions of moral turpitude within 10 years. 

(2) No convictions of a Felony. 

(3) Is an employee of the Gaming Operation. 

(4) ls a Business Committee Member. 

(5) Ts a Gaming Commissioner. 

(6) Failure to pass the Background Check and failure to pass the Drug test 

disqualifies the candidate for one year from applying again. 

(c) The Board of Directors shall perform the following duties: 

(1) Monitor and oversee the day-to-day operations of the gaming facility, 

whether managed by a tribal employee or by an approved management 

contractor; 

(2) Inspect and examine on a periodic basis all books, records, and papers 

of the gaming facility; 

(3) Set hours of operation for the gaming facility; 

( 4) Set wager limits; 

(5) Develop marketing plans; 

(6) Oversee the interview, selection, and training of employees of the 

gaming operation; 

(7) Establish employee policies, rates of pay, and hours of work; 

(8) Adopt an annual operating budget, subject to Tribal Cowicil approval; 

(9) Enter into contracts on behalf of the gaming facility, subject to Tribal 

Council approval and NI GC review; 

(10) Hold hearings on employee complaints, in compliance with 

8 
procedures established in the gaming ordinance and other Tribal gaming 

regulations or persmmel policies; and 

(11) Any other duties necessary to monitor and oversee the gaming 

operation. 

(12) Establish an independent P.O. Box address separate from the Tribe. 

(13) Two (2) members shall be present to establish a quorum. 

(d) The Fort Independence Reservation Business Committee and Tribal Council 

recognize the importance of an independent Tribal Gaming Board of Directors in 

maintaining a well-managed gaming operation. 

(e) To avoid potential conflicts of interest between the operation and regulation of 

the facility, the Tribe hereby finds that, at a minimum: 

(1) Members of the Board of Directors are prohibited from gambling in 

the facility; and 

(2) Members of the board of Directors are prohibited from conducting 

personal financial transaction in the gaming facility; and 

(3) Members of the Board of Directors are prohibited from accepting 

complimentary items from the gaming operation other than food and 

beverage items. 

(f) Members of the Board of Directors may be removed from office by the Tribal 

Council prior to the expiration of their respective terms only for neglect of duty, 

misconduct, malfeasance, or other acts that would render the Director unqualified 

for his/her position. When the Tribal Council believes that a removal is 

appropriate, it shall so notify the Director(s) and hold a hearing on the matter. 

The Tribal Council may opt to preliminarily remove the Director pending the 

hearing. At the bearing the Director may provide evidence rebutting the grounds 

for his/her removal. A vote of the Tribal Council on the validity of the 

preliminary removal shall be final and not subject to further appeal. A finding by 

the Tribal Council that the preliminary removal was wrongful shall entitle the 

affected Director to compensation for expenses incurred in appealing the 

wrongful removal, and shall entitle the Director to any pay withheld. 

(g) Members of the Tribal Gaming Board of Directors shall be compensated at a 

level determined by the General Council 

(h) Board of Directors shall elect among themselves a Chairman, Vice-Chairman 

and Member at Large. 

(i) The Board of Directors shall keep a written record of all of its meetings. 

9 
Section 109. Gaming Commission 

(a) The Tribe hereby establishes a Tribal Gaming Commission whose duty it is to 

regulate tribal gaming operations. The Tribal Gaming Commission shall consist 

of three members. There shall be among them a Chairperson, Vice-Chairperson, 

and at least one additional Commissioner. 

(b) The purpose of the Tribal Gaming Commission is regulatory, not managerial. 

The Commission will conduct oversight to ensure compliance with Tribal, 

Federal, and, if applicable, State laws and regulations. The Commission will 

serve as the licensing authority for individuals employed in the gaming operation 

and will administer background investigations as part of the licensing process. 

The Commission will also have a role in monitoring compliance with the internal 

controls for the gaming operation and in tracking revenues. In order to carry out 

its regulatory duties, the Commission shall have unrestricted access to all areas of 

the gaming operation and to all records. The Commission shall have authority to 

take enforcement actions, including suspension or revocation of an individual 

gaming license when appropriate. 

(c) The Tribe recognizes the importance of an independent Tribal Gaming 

Conunission in maintaining a well-regulated gaming operation. The Commission 

shall be and act independently and autonomously from the Tribal Council in all 

matters within its purview. No prior or subsequent review by the Tribal Council 

of any actions of the Commission shall be required or permitted except as 

otherwise explicitly provided in this Ordinance. 

(d) To avoid potential conflicts of interest between the operation and regulation of 

the gaming facility, the Tribe hereby finds that, at a minimum: 

(1) Members of the Gaming Commission arc prohibited from gambling in 

the facility; and 

(2) Members of the Gaming Commission are prohibited from conducting 

personal financial transaction in the gaming facility; and 

(3) Members of the Gaming Commission are prohibited. from accepting 

complimentary items from the gaming operation, excepting food and 

beverages valued at under fifty dollars. 

(e) The Tribe recognizes the importance of an independent Tribal Gaming 

Commission in maintaining a well-regulated gaming operation. The Tribal 

Gaming Commission shall be and act independently from the Fort Jndependence 

Board of Directors and Business Committee in all matters within its purview. 

Terms of the office for the three (3) members of the Tribal Gaming 

C0mmissioners shall be three (3) years. Initially, the Chairman is to serve one 

( 1) year. After the one ( 1) year is up, the term shall be three (3) years. This will 

give overlap in management for smooth transitions as new Gaming 

Commissioners are appointed. Gaming Commissioners shall be subject to the 

10 
same background requirements as key employees and primary management 

officials and must be licensed accordingly. Gaming Commissioner positions shall 

be filled in the following procedures: The position shall be distributed to the 

General Council Members and applications shall be accepted from those seeking 

to fill the open position(s). Process shall give applicants a minimum of 15 days to 

get applications in to the Business Committee after the date the notification was 

sent. The open position(s) shall be filled by a vote of the General Council at a 

Regular General Council Meeting as soon as possible once the application period 

has expired. The Business Committee shall conduct a backgrolUld check through 

any qualified background agency on all applicants that meet the qualifications 

outlined in this section. The Business Committee shall identify the qualified 

candidates after the background checks and notify who the candidates are by 

placing their names on the agenda by the l 51h of the month before the General 

Council Meeting where the Council will vote for the identified candidate(s). The 

candidate( s) who receive the most votes shall be the Gaming Commissioner 

effective the next day at 6 a.m. Their time of appointment starts then. When their 

term has four (4) months left, the process will start over as described above to fill 

the position(s) when the scheduled terrn(s) of office is complete. 

The minimum requirements for consideration and appointment as a member of the Tribal 

Gaming Commission are as follows: 

Any of the following shall qualify the applicant: 

(1) Degree in Business Administration, Accounting, Marketing or an 

equivalent field. 

(2) Minimum of 2 years of experience in business management. 

(3) Knowledge of Federal Indian Law, Indian Gaming Regulatory Act and 

related statutes and regulations. 

No Person shall be eligible for consideration by the Business Committee for the 

following: 

(I) No convictions of moral turpitude within I 0 years. 

(2) No convictions of a Felony. 

(3) Is an employee of the Gaming Operations. 

(4) ls a Business Committee Member. 

(5) ls a Board of Director. 

(6) Failure to pass the Background Check and failure to pass the Drug test 

disqualifies the candidate for one year from applying again. 

(£) The Tribal Gaming Commission shall: 

( 1) Conduct or cause background investigations to be conducted on, at a 

minimum, primary management officials and key employees; 

(2) Review and approve all investigative work conducted; 

11 
(3) Report results of background investigations to the NIGC; 

( 4) Obtain and process fingerprints, or designate a law enforcement 

agency to obtain and process fingerprints; 

(5) Make licensing suitability determinations, which shall be signed by the 

Chai1man of the Gaming Commission; 

(6) Issue gaming licenses to management officials and employees of the 

operation, consistent with the suitability determination; 

(7) Establish standards for licensing Tribal gaming operations; 

(8) Issue facility gaming licenses to Tribal gaming operations; 

(9) Inspect, examine and monitor all gaming activities, and have 

immediate access to review, inspect, examine, photocopy and audit all 

records of the gaming establishment; 

(10) Ensure compliance with all Tribal, State, and Federal laws, rules, and 

regulations regarding Indian gaming; 

(11) Investigate any suspicion of wrongdoing associated with any gaming 

activities; 

(12) Hold hearings on patron complaints, in compliance with procedures 

established in the gaming ordinance and other Tribal gaming regulations; 

( 13) Comply with any and all reporting requirements under the IGRA, 

Tribal- State compact to which the Tribe is a party, and any other 

applicable w~ 

(14) Promulgate and issue regulations necessary to comply with applicable 

internal control standards; 

( 15) Promulgate and issue regulations on the levying of fees and/or taxes 

associated with gaming license applications; 

(16) Promulgate and issue regulations on the levying of fines and/or 

suspension or revocation of gaming licenses for violations of this 

Ordinance, or any other Tribal, Federal, or State, if applicable, gaming 

regulations; and 

(17) Establish a list of persons not allowed to game in Tribal gaming 

facilities in order to maintain the integrity of the gaming; 

(18) Establish a list of persons who have voluntarily askt!tl lo be excluded 

from Tribal gaming facility and creale regulations for enforcing this 

exclusion; 

(19) Provide referrals and information to the appropriate law enforcement 

officials when such information indicates a violation of Tribal, Federal, or 

State statutes, ordinances, or resolutions; 

(20) Create a list of regulatory authorities that conduct vendor background 

investigations and licensing which the Commission recognizes as 

trustworthy; 

(2 1) Draft regulations exempting vendors from the licensing and/or 

background investigation requirements if they have received a license 

from a recognized regulatory authority; 

(22) Perform such other duties the Commission deems appropriate for the 

proper regulation of the Tribal gaming operation; 

12 
(23) Promulgate such regulations and guidelines as it deems appropriate to 

implement the provisions of this Ordinance. 

(g) The Gaming Commission shall ensure that all records and info1mation 

obtained as a result of an employee background investigation shall remain 

confidential and shall not be disclosed to persons who are not directly involved in 

the licensing and employment processes. Information obtained during the course 

of an employee background investigation shall be disclosed to members of 

management, hwnan resource personnel or others employed by the tribal gaming 

operation on a need-to-know basis for actions taken in their official capacities. 

This Section does not apply to requests for such information or records from any 

Tribal, Federal or State law enforcement or regulatory agency, or for the use of 

such information or records by the Commission and staff in the performance of 

their official duties. 

(h) The independence of the Tribal Gaming Commission is essential to a wellregulated gaming operation. For that reason, Commissioners may only be 

removed from office by the Fort Independence Tribal Council prior to the 

expiration of their respective terms for neglect of duty, misconduct, malfeasance, 

or other acts that would render a commissioner unqualified for his/her position. 

Any allegations of neglect of duty, misconduct, malfeasance, or other acts that 

would render him or her unqualified for his/her position must be substantiated by 

a preponderance of the evidence. Commissioners will be given an opportunity to 

provide evidence rebutting the evidence for their proposed removal before the 

removal is considered. A vote of the Fort Independence Tribal Council on the 

validity of the removal shall be final and not subject to further appeal. A 

wrongful removal shall entitle the affected Commissioner to compensation for 

expenses incurred in an appeal and any pay withheld. 

(i) A majority of the Commission shall constitute a quorum. The concurrence of a 

majority of th~ mt:mbers appointed to the Commission shall be required for any 

final determination by the Commission. The Commission may act in its official 

capacity even if there are vacancies on the Commission. 

G) Tribal Gaming Commissioners shall be compensated at a level determined by 

the General Council. 

(k) The Commission shall keep a written record of all its meetings. 

Section 110. Enforcement 

(a) Jurisdiction: Except as provided in this Ordinance or the Compact, the Tribal 

Gaming Commission shall have jurisdiction over all violations of this Ordinance. 

13 
(b) Compliance with Federal Standards for Tribal Gaming Facility Audits: The 

Tribe and the Tribal Gaming Conunission shall conduct annual financial audits 

and "Agreed-Upon Procedure" audits of its gaming operations and submit such 

audits to the NIGC. The NIGC, in conducting such audits, may use its standard 

audit procedures and the worksheets/checklists set forth in 25 C.F.R. Part 542. 

The Tribe and the Tribal Gaming Commission will work with NIGC to develop a 

process for reporting requirements and addressing any non-compliance issues (if 

any) that may arise in the audit process. 

(c) Prohibited Acts: In addition to other civil and criminal offenses provided for 

in this Ordinance, the following acts are prohibited by any Person and subject any 

violator to the civil or criminal penalties specified herein: 

( l) Participating in any Gaming which is not authorized by this Ordinance. 

(2) Knowingly making a false statement in connection with any Contract 

to participate in any Gaming Activity. 

(3) Attempting to bribe any Person participating in any Gaming Activity. 

(4) Offering or accepting a loan, financing or other thing of value between 

a member of the Board of Commissioners or employee of the Tribal 

Gaming Commission and any Person participating in any Gaming 

Activity. 

(5) Promoting or participating in any illegal Gaming Activity. 

(6) Failing to keep sufficient books and records to substantiate receipts, 

disbursements and expenses incurred or paid from any Gaming Activity 

authorized pursuant to this Ordinance. 

(7) Falsifying any books or records that relate to any transaction connected 

with any Gaming Activity pursuant to this Ordinance. 

(8) Conducting or participating in any Gaming Activity, which results in 

Cheating. 

(9) Allowing participation in Gaming Activity by or with an intoxicated or 

disorderly Player. 

(l 0) Allowing or pruticipating in th~ sal~ of liquor when such sale is 

prohibited by TribaJ law. 

( 11 ) Accepting consideration other than money, or chips for participation 

in any Gaming Activity. 

(12) Using bogus or coWlterfeit chips or Charitable Gaming Tickets, or to 

substitute or use any cards, Charitable Gaming Tickets or Gaming 

equipment that has been marked or tampered with. 

( 13) Employing or possessing any Cheating device or to facilitate 

Cheating in any Gaming Activity. 

(14) Willfully using any fraudulent scheme or technique to change the 

odds of any Game of Chance. 

( 15) Soliciting, directly or indirectly, or using inside information on the 

nature or status of any Gaming Activity for the benefit of an individual. 

(16) Tampering with a Gaming Device, attempting to conspire to 

manipulate the outcome or the payoff of a Gaming Device, or otherwise 

14 
unlawfully tampering with or interfering with the proper functioning of the 

machine. 

(17) Alter or counterfeiting a Gaming license. 

(18) Aiding, abetting, or conspiring with another Person knowingly or 

knowingly to cause any Person to violate any provision of this Ordinance 

or any rules and regulations adopted hereunder. 

( 19) Operating, using or making available to the public any illegal Gaming 

Device, apparatus, material or equipment. 

(20) Selling, holding out for sale or transporting into or out of the 

jurisdiction of the Tribe any illegal Gaming Device, apparatus, material or 

equipment. 

(21) Assisting or allowing a Person who is under the age of Eighteen ( 18) 

to participate in a Gaming activity. 

(22) Possessing any illegal narcotics or controlled substances on any 

licensed Gaming site. 

(23) Stealing or attempting to steal funds or other items of value from any 

Gaming Facility or from the Tribal Gaming Commission. 

(24) Employing any Person at a licensed Gaming Facility whom the 

Licensee knows has been convicted of a Gaming crime or a crime of 

fraud. 

(d) Criminal Violation: Any Indian who violates or fails to comply with any 

provision of this Ordinance, or who fails or neglects to comply with any order, 

decision of the Tribal Gaming Commission, shall be charged and given due 

process pursuant to this Ordinance and the Gaming Regulations adopted by the 

Tribal Gaming Commission pursuant to this Ordinance. If such Indian is found to 

be guilty of a crime, he may be required to pay a fine not to exceed Five 

Thousand Dollars ($5,000). Each day during which any such violation or failure 

to comply continues shall constitute a separate violation of this Ordinance. 

(e) Civil Violation: Any non-Indian who violates or fails to comply with any 

provision of this Ordinance, or who fails or neglects to comply with any final 

order of the Tribal Gaming Commission, shall be charged and given due process 

pursuant to this Ordinance, and the Gaming Regulations adopted by the Tribal 

Gaming Commission pursuant to this Ordinance. lf the non-Indian is found 

liable, he may pay a civil fine not to exceed Five Thousand Dollars ($5,000) for 

each violation thereof. Each day during which any such violation or failure to 

comply continues shall constitute a separate violation of this Ordinance. The 

amount of any such civil fine may be recovered in a civil action in an appropriate 

court of civil jurisdiction. 

(f) Cumulative Fines: All civil fines accruing under this Ordinance shall be 

cumulative and a suit for the recovery of one fine shall not bar or affect the 

recovery of any other fine, or judgment, penalty, forfeiture or damages, nor bar 

the power of the Tribal Court to punish for contempt, nor bar any criminal 

15 
prosecution against any officer, director, agent, or employee of any Licensee, or 

any other Person. 

(g) Purpose of Civil Penalties: The civil fines imposed under this Ordinance are 

intended to be remedial and not punitive and are designed to compensate the 

Tribe for the damage done to the peace, security, economy and general welfare of 

the Tribe and the Rancheria, and to compensate the Tribe for costs incurred by the 

Tribe in enforcing this Ordinance. The civil fines under this Ordinance are also 

intended to encourage all people into complying with this Ordinance and Tribal 

Gaming Commission regulations and not to punish such people for violation of 

such laws and regulations. 

(h) Civil Action for Penalties: In enforcing the civil infraction provisions of this 

Ordinance, the Tribal Gaming Commission shall proceed, in the name of the 

Tribe, against a Person for violation of such provision by civil complaint in any 

court of competent jurisdiction, or, if applicable, only in such other forums as the 

Tribe has agreed to by Contract. The Tribal Gaming Commission in such action 

shall have the burden of showing, by the preponderance of the evidence, that such 

Person violated the applicable provision of this Ordinance. 

(i) Seizure and Forfeiture of Property: Property utilized in violation of this 

Ordinance shall be subject to seizure and forfeiture by order of the Board of 

Commissioners pursuant to such procedures and rules as the Board of 

Commissioners shall promulgate. 

(j) Reporting of Offenders: The Tribal Gaming Commission, upon final 

conviction of any Person under this subsection, shall report the name of the 

Person convicted to the Tribal Council, State Gaming Board and NIGC. 

Section 111. Ethics 

(a) The Tribe recognizes that the duties of the Gaming Board of Directors an<l lhe 

Tribal Gaming Commission include making important decisions on highly 

sensitive issues. As e~ the Tribe has determined that the Board of Directors and 

the Gaming Commission shall be held to extremely high ethical standards. Prior 

to taking their positions on the Board and the Commission (Members), the 

Members shall agree to be bound by the following principles: 

(1) Members shall not hold financial interests that conflict with the 

conscientious performance of their duties as managers and regulators. 

(2) Members shall not engage in financial transactions using nonpublic 

information or allow the improper use of such information by others on 

their behalf to further any private interest. 

(3) Members shall not solicit or accept any gift or other item of monetary 

value, including complimentary items or services (see Section 112, 

below), from any person or entity seeking official action or inaction from, 

16 
doing business with, or conducting activities regulated by the member's 

organization, or whose interests may be substantially affected by the 

performance or nonperformance of the Members' duties. 

( 4) Members shall make no unauthorized commitments or promises of any 

kind purporting to bind the Tribe. 

(5) Members shall not use their positions for private gain. 

(6) Members shall act impartially, in accordance with all relevant Tribal, 

Federal, and State laws (where applicable), and shall not give preferential 

treatment to any private organization or individual, including to any 

persons related to Members. 

(7) Members shall ensure that Tribal property and gaming assets shall be 

properly segregated and safeguarded, and that such property and assets 

shall not be used for unauthorized activities. 

(8) Per Capita distributions, if any, are not considered financial interests 

that would conflict with the conscientious performance of duty by a 

manager or regulator. 

(9) Members shall not engage in outside employment or activities, 

including seeking or negotiating for future employment, which conflict 

with their official duties and responsibilities. 

(10) Members shall disclose waste, fraud, abuse, and conuption to 

appropriate authorities. 

(11) Members shall endeavor to avoid any actions creating the appearance 

that they are violating the law or the ethical standards listed herein. 

(12) Members shall disclose any real or apparent financial or personal 

conflicts. If there is a real conflict or the appearance of one, the member 

shall not take part in any decision related to the conflict. 

Section 112. Complimentary Items 

(a) The use of complimentary items shall be governed by regulations established 

by the Tribal Gaming Commission. 

(b) No Key Employee, Primary Management Official, Tribal Council member, 

member of the Gaming Board of Directors or Tribal Gaming Commission, or any 

person directly related to or sharing a residence with the persons, shall be 

authorized to receive complimentary items other than food and beverages valued 

at under five dollars, or, if at a public event held at the gaming facility, the free 

food and beverages offered to the general public. 

( c) Complimentary Items shall be included in the annual budget for the gaming 

operation, with maximum limits specified, and shall be subject to approval by the 

Tribal Council. 

17 
Section 113. Audit 

(a) The Tribe shall cause an annual outside independent audit of gaming 

operations to be conducted, and shalJ submit the resulting audit reports to the 

National Indian Gaming Commission. 

(b) All gaming related contracts that result in the purchase of supplies, services, or 

concessions in excess of $25,000.00 annually, except contracts for professional 

legal and accounting services, shall be specifically included within the scope of 

the audit that is described in subsection (a) above. 

Section 114. Environment and Public Health and Safety 

(a) Gaming facilities shall be constructed, maintained and operated in a manner 

that adequately protects the environment and the public health and safety; 

(b) The Fort Independence Tribal Council shall adopt standards that assure 

adequate protection of the environment and the public health and safety. 

Section 115. Patron Dispute Resolutions 

Patrons who have complaints against the gaming establishment shall have as their sole 

remedy the right to file a petition for relief with the Tribal Gaming Commission. 

Complaints shall be submitted in writing, and at the discretion of the Commission, the 

petitioner may be allowed to present evidence. The Gaming Commission shall hold a 

hearing within 30 days of receipt of petitioner's complaint. Petitioner may have counsel 

present at such hearing. The Commission shall render a decision in a timely fashion and 

all such decisions will be final when issued. Any patron complaint must be submitted to 

the Commission within thirty (30) days of the incident giving rise to the complaint. All 

claims by patrons shall be limited to a maximum recovery of $500.00 per occurrence, and 

a cumulative limit of$1,500.00 per patron in any twelve (12) month period, except 

disputes relating to a patron's entitlement to a game prize, which shall be limited to the 

amount of such prize. The Commission's decision shall constitute the complainant's final 

remedy. 

Section 116. Facility Licenses 

(a) The Tribal Gaming Commission shall issue a separate license to each place, 

facility, or location on Indian lands where Class II and/or Class III gaming is 

conducted under this ordinance. 

(b) The Tribal Gaming Commission shall issue a separate license to each place, 

facility, or location on Indian lands where Class II and/or Class III gaming is 

conducted under this ordinance once every 3 years The Tribal Gaming 

Commission shall specify the form, conditions and content for the application for 

such licenses, which shall be submitted by the chief management official of the 

18 
facility, and the initial application shall include a legal description of the lands 

whereon the facility is located, and a certification that said premises constitute 

"Indian lands" as specified in the Indian Gaming Regulatory Act, and shall 

identify the environmental, health, and public safety standards with which the 

facility must comply, and a certification that the facility is in compliance 

therewith each subsequent application for the renewal of such facility license shall 

identify any changes or additions to said legal description and applicable 

environmental, health and safety standards, and include current certifications of 

compliance therewith. The Tribal Gaming Commission shall only issue such 

licenses if the applications include the required information and certifications and 

such further conditions as the Tribal Gaming Commission shall have specified. 

Section 117. Agent for Service of Process 

The Tribe hereby designates the Tribal Chairman as agent for service of process, who 

may be contacted at: 

P.O. Box 67 

Independence, CA 93526 

Section 118. Compliance with Federal Law 

The Tribe will comply with all applicable federal law, including the Bank Secrecy Act, 

31 U.S.C. § 5311 et seq. 

Section 119. Repealed 

To the extent that they are inconsistent with this ordinance, all prior gaming ordinances 

are hereby repealed. 

Section 120. Tribal Access to Financial Information 

A copy of the Tribal gaming operation annual audit will be made available for review, 

upon request by any tribal member to: 

The Business Committee of the 

Fort Independence Indian Community of the Paiute Indians of 

Fort Independence, California 

P.O. Box67 

Independence, CA 93526 

Section 201. Licenses for Key Employees and Primary Management Officials 

The Tribe shall ensure that the policies and procedures set out in this section are 

implemented with respect to key employees and primary management officials employed 

at any gaming enterprise operated on Indian lands. The Tribe will issue licenses and 

19 
perfonn background investigations on such key employees and primary management 

officials according to requirements at least as stringent as 25 C.F.R. Parts 556 and 558. 

Section 202. License Application Forms 

(a) The following notice shall be placed on the application fonn for a key 

employee or a primary management official: 

Tn compliance with the Privacy Act of 1974, the following infonnation is 

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

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

detennine the eligibility of individuals to be granted a gaming license. The 

information will be used by the Tribal gaming regulatory authorities and by 

the National Indian Gaming Commission members and staff who have 

need for the infonnation in the performance of their official duties. The 

information may be disclosed by the Tribe or the NIGC to appropriate 

Federal, Tribal, State, local, or foreign law enforcement and regulatory 

agencies when relevant to civil, criminal or regulatory investigations or 

prosecutions or when pursuant to a requirement by a tribe or the NIGC in 

connection with the issuance, denial, or revocation of a gaming license, or 

investigations of activities while associated with a tribe or a gaming 

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

result in a tribe being unable to license you for a primary management 

official or key employee position. 

The disclosure of your Social Security Number (SSN) is voluntary. 

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

application. 

(b) The following additional notice shall be placed on the application fonn for a 

key employee or a primary official before it is filled out by an applicant: 

A false statement on any part of your application may be grounds for 

denying a license or the suspension or revocation of a license. Also, you 

may be punished by fine or imprisonment. (U.S. Code, Title 18, section 

1001) 

(c) The Commission shall notify in writing existing key employees and primary 

management officials who have not completed an application containing the 

notices set forth above that they shall either: 

(I) Complete a new application form that contains both the Privacy Act 

and false statement notices; or 

(2) Sign a statement that contains the Privacy Act and false statement 

notices and consent to the routine uses described in that notice. 

20 
Section 203. License Fees 

The Tribe may charge a license fee, to be set by the Tribal Gaming Commission, to cover 

its expenses in investigating and licensing Key Employees and Primary Management 

Officials of the gaming operation. 

Sedion 204. Fingerprints 

Each applicant for a Key Employee or Primary Management Official shall be required to 

have fingerprints taken as part of the application procedure. Fingerprints shall be taken by 

Inyo County Sheriff's Department or the Fort Independence Gaming Commission. 

Fingerprints will then be forwarded to the NIGC for processing through the FBI and 

NCIC to determine the applicant's criminal history, if any. 

Section 205. Background Investigations 

(a) The Tribal Gaming Commission is responsible for conducting background 

investigations and suitability dete1minations. 

(b) The Tribal Gaming Commission shall request from each primary management 

official and from each key employee all of the following information: 

(1) Full name, other names used (oral or written), social security 

number( s ), birth date, place of birth, citizenship, gender, all languages 

(spoken or written); 

(2) Currently and for the previous 5 years: business and employment 

positions held, ownership interests in those businesses, business and 

residence addresses, and drivers license numbers; 

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

including one personal reference who was acquainted with the applicant 

during each period of residence listed under paragraph (b )(2) of this 

section; 

(4) Current business and resid~nce telephone numbers, and all cell phone 

numbers; 

(5) A description of any existing and previous business relationships with 

other Indian Tribes, including ownership interests in those businesses; 

(6) A description of any existing and previous business relationships with 

the gaming industry generally, including ownership interests in those 

businesses; 

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

which the person has filed an application for a license or permit related to 

gaming, whether or not such license or permit was granted; 

(8) For each felony, crime of moral turpitude, theft related offense for 

which there was an ongoing prosecution or a conviction at any time, the 

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

disposition if any; 

(9) For each misdemeanor conviction or ongoing misdemeanor 

21 
prosecution (excluding minor traffic violations), and/or bank.mptcy filed 

within I 0 years of the date of the application, the name and address of the 

court involved and the date and disposition, if any; 

(I 0) For each criminal charge (excluding minor traffic charges), whether 

or not there is a conviction, if such criminal charge is within 10 years of 

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

paragraph (b )(8) or (b )(9) of this section, the criminal charge, the name 

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

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

which the person has filed an application for an occupational license or 

permit, whether or not such license or permit was granted; 

(12) A photograph taken within the last year; 

(13) Fingerprints obtained in accordance with Section 204; and 

(14) Any other information the Tribe deems relevant. 

(c) When a primary management official or key employee is employed by the 

Tribe, a complete application file, containing all the information listed in Section 

205(b ), shall be maintained. 

Section 206. Procedures for Conducting a Background Check on Applicants 

(a) As part of its review procedure, the Commission or its agent shall employ or 

engage a private investigator to conduct a background investigation on each 

applicant sufficient to allow the Gaming Commission to make an eligibility 

dete1mination under section 207 below. The investigator sha11: 

(1) Verify the applicant's identity through items such as a social security 

card, drivers license, birth certificate, or passport; 

(2) Contact each personal and business reference provided in the License 

Application, when possible; 

(3) Obtain a personal credit check; 

(4) Conduct a civil history check; 

(5) Conduct a criminal history check via the submission of the applicant's 

fingerprints to the NIGC, and further obtain information from the 

appropriate court regarding past felony and/or misdemeanor convictions 

and criminal charges within the last ten years; 

(6) Inquire into any previous or existing business relationships with the 

gaming industry and Indian tribes by contacting the entities or tribes; 

(7) Verify the applicant's history and status with any licensing agency by 

contacting the agency; and 

(8) Take other appropriate steps to verify the accuracy of the information, 

focusing on problem areas noted. 

(b) The investigator shall create an investigative report noting the steps taken, 

information gained, potential problem areas, and disqualifying information. 

22 
(c) The Gaming Commission and its investigator shall promise to keep 

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

investigation and sh.all not be disclosed to any persons who are not directly 

involved in the licensing and employment processes, other than disclosure as 

required under Federal, Tribal, or State law. 

Section 207. Eligibility Determination 

(a) Before a license is issued to a primary management official or key employee, 

the Tribal Gaming Commission shall review a person's prior activities, criminal 

record, if any, and reputation, habits and associations and make a finding 

concerning the eligibility of a key employee or primary management official for a 

gaming license. 

(b) lfthe Tribal Gaming Commission determines that licensing of the person 

poses a threat to the public interest or to the effective regulation of gaming, or 

creates or enhances dangers of unsuitable, unfair, or illegal practices and methods 

and activities in the conduct of gaming or has any convictions listed in Section 

108 (b), the tribal gaming operation shall not license that person in a key 

employee or primary management official position. 

Section 208. Procedures for Fonvarding Reports for Key Employees and Primary 

Management Officials to the National Indian Gaming Commission 

(a) When a key employee or primary management official is employed to work at 

a gaming operation authorized by this ordinance, the Commission shall conduct a 

background investigation, forward the repo11 to the NIGC pursuant to section 209, 

and make an eligibility determination pursuant to section 207. 

(b) The gaming operation shall not employ as a key employee or primary 

management official a person who does not have a license after 90 days. 

Section 209. Report to the National Indian Gaming Commission 

(a) Before issuing a license to a primary management official or key employee, 

the Tribal Gaming Commission shall prepare an investigative report on each 

background investigation and notice of results for the National Indian Gaming 

Commission. 

(1) An investigative report shall include all of the following: 

(A) Steps taken in conducting a background investigation; 

(R) Results obtained; 

(C) Conclusions reached; and 

(D) The bases for those conclusions. 

23 
(2) The notice of results shall include: 

(A) The applicant's name, date of birth, and social security 

number; 

(B) The date on which the applicant began, or will begin, working 

as a primary management official or key employee; 

(C) A summary of the information presented in the investigative 

report, including: 

(i) licenses that have previously been denied; 

(ii) gaming licenses that have been revoked, even if 

subsequently reinstated; 

(iii) every known criminal charge brought against the 

applicant within the last I 0 years of the date of the 

application; and 

(iv) every felony offense of which the applicant has been 

convicted or any ongoing prosecution; and 

(D) A copy of the eligibility determination made in accordance 

with Section 207. 

(b) The Commission shall forward the notice of results to the National Indian 

Gaming Commission within 60 days after an employee begins work and before a 

license is issued. 

( c) If a license is not issued to an applicant, the Tribal Gaming Commission: 

(l) Shall notify the NIGC; and 

(2) Shall forward copies of its eligibility determination and notice of 

results to the NIGC for inclusion in the Indian Gaming Individuals 

Records System. 

(d) With respect to all employees, and in particular key employees and primary 

management officials, the Tribal Gaming Commission shall retain applications for 

licensing, investigative reports and eligibility determinations for inspection by the 

Chairman of the NIGC or his or her designee for no less than three (3) years from 

the date of termination of employment. 

Section 2 t 0. Granting a Gaming License 

(a) All primary management officials and key employees of the gaming operation 

must have a gaming license issued by the Tribe. 

(b) A license may be issued by the Tribal Gaming Commission to a primary 

management official or key employee applicant after submitting the notice of 

results of the applicant's background investigation of the NIGC as required by 

Section 209. 

24 
(c) The Tribal Gaming Commission must reconsider a license application for a 

primary management official or key employee if it receives a statement of 

itemized objections to issuing such a license from the NIGC, and those objections 

are received within 30 days of the NIGC receiving a notice of results of the 

applicant's background investigation. The Tribal Gaming Commission shall take 

the NIGC's objections into account when reconsidering a license application. If 

the Tribe has issued the license before receiving the Commission's statement of 

objections, notice and hearing shall be provided to the licensee as provided by 25 

C.F.R. § 558.4. 

(d) The Tribe shall make the final decision whether to issue a license to such 

applicant and shall provide notice oflicense issuance to the NIGC within 30 days 

of issuance. 

Section 211. License Suspension 

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

receives from the National Indian Gaming Commission reliable information 

indicating that a key employee or a primary management official is not eligible 

for employment, the Tribal Gaming Commission shall suspend such license and 

shall notify in writing the licensee of the suspension and the proposed revocation. 

(b) The Tribal Gaming Commission shall notify the licensee of a time and a place 

for a hearing on the proposed revocation of a license, regardless of the basis for 

the revocation. 

( c) After a revocation hearing, the Tribal Gaming Commission shall decide to 

revoke or to reinstate a gaming license. The Commission shall notify the NIGC 

within 45 days of receiving notice from the NIGC pursuant to paragraph (a) of 

this section. 

( d) A right to hearing shall vest only upon receipt of a license granted under an 

ordinance approved by the NIGC Chair. 

Section 212. Employee Appeal Process 

(a) All employee disputes shall be documented and handled by the appropriate 

supervisor. If the dispute is not resolved, then the following shall take place: 

( 1) The employee shall ask for a determination from the Board of 

Directors to satisfy this dispute. If the outcome is unsatisfactory to the 

employee, then they shall refer to Section 212 (a) (2). 

(2) After exhausting the preceding remedies from the Board of Directors, 

the employee shall ask for a determination from the Business 

Committee to satisfy the dispute. If the outcome is unsatisfactory to 

the employee, then they shall refer to Section 212 (a) (3). 

25 
(3) After exhausting the preceding remedies from the Business 

Committee, the employee shall ask for a determination from the 

General Council to satisfy the dispute. The General Council shall have 

the final say as to the disposition of this dispute. 

Section 301. Licenses for Vendors 

(a) Vendors of gaming services or supplies with a value of $25,000 or more 

annually must have a vendor license from the Tribal Gaming Commission in 

order to transact business with the Tribal gaming operation. Contracts for 

professional legal and accounting services are excluded from this section. 

(b) Gaming vendors are vendors who provide gaming supplies and services, 

including cash-related services. 

(c) Non-gaming vendors provide services that do not have the ability to impact 

the integrity of the Tribal gaming operations, such as media advertising, facility 

maintenance workers, linen and laundry services, and food and beverage 

suppliers. The Tribal Gaming Commission shall create a regulation detaillng 

which vendors fall into this category and shall maintain a register of the nongaming vendors that it licenses. The regulation may exempt from licensing 

requirements non-gaming vendors who: l) are a Tribal, Local, State, or Federal 

government agencies; 2) are regulated by the State of California or the Tribe; or 

3) will provide goods of insubstantial or insignificant amounts or quantities if the 

Tribal Gaming Commission determines that licensing of the vendor is not 

necessary to protect the public interest. 

Section 302. Submission of a Vendor License Application 

In order to obtain a gaming vendor license, the business must complete a vendor 

application and submit to background checks of itself and its principals. Principals of a 

business include its officers, directors, management, owners, partners, non-institutional 

stockholders that either own I 0% or more of the stock or are the 10 largest stockholders, 

and the on-site supervisor or manager under the agreement with the Tribe, if applicable. 

Section 303. Contents of the Vendor License Application 

(a) Applications for gaming vendor licenses must include the following: 

(1) Name of business, business address, business phone, federal tax ID 

number (or SSN if a sole proprietorship), main oflice address if different 

from business address, any other names the applicant has done business 

under, type of service applicant will provide; 

(2) Whether the applicant is a partnership, corporation, limited liability 

company, sole proprietorship, or other entity; 

(3) If the applicant is a corporation, the state of incorporation, and the 

26 
qualification to do business in the State of California if the gaming 

operation is in a different State than the State of incorporation. 

( 4) Trade name, other names ever used, names of any wholly owned 

subsidiaries or other businesses owned by the vendor or its principals; 

(5) General description of the business and its activities; 

(6) Whether the applicant will be investing in or loaning money to the 

gaming operation and, if so, how much; 

(7) A description of any existing and previous business relationships with 

the gaming industry generally, including ownership interests in those 

businesses; 

(8) A list ofindian tribes with which the vendor has an existing or 

previous business relationship, including ownership, financial, or 

management interests in non-gaming activities or, if the vendor does 

extensive business with tribes, then a list of the top ten (10) tribes; 

(9) Names, addresses, and phone numbers of three business references 

with whom the company had regularly done business for the last five 

years; 

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

which the business has filed an application for a license or permit related 

to gaming, whether or not such license or permit was granted ; 

(11) If the business has ever had a license revoked for any reason, the 

circumstances involved; 

( 12) A list of lawsuits to which the business has been a defendant, 

including the name and address of the court involved, and the date and 

disposition if any; 

(13) List the business' funding sources and any liabilities of $50,000 or 

more. 

( 14) A list of the principals of the business, their social security numbers, 

addresses and telephone numbers, title, and percentage of ownership in the 

company; and 

(15) Any further information the Tribe deems relevant. 

(b) The following notice shall be placed on the application form for a vendor and 

its principals: 

Inclusion of false or misleading infonnation in the vendor application may 

be grounds for denial or revocation of the Tribe's vendor license. 

( c) A vendor may submit a copy of a recent license application to another 

jurisdiction if it contains the information listed above. The vendor will be required 

to submit in writing any changes in the information since the other license 

27 
application was filed and any information requested by the Tribe not contained in 

the other application. 

Section 304. Vendor Background Investigation 

The Tribal Gaming Commission shall employ or otherwise engage a private investigator 

complete an investigation of the gaming vendor. This investigation shall contain, at a 

minimwn, the following steps: 

(a) Verify of the business' incorporation status and qualification to do business in 

the State where the gaming operation is located; 

(b) Obtain a business credit report, if available, and conduct a Better Business 

Bureau check on the vendor; 

(c) Conduct a check of the business' credit history; 

(d) Call each of the references listed in the vendor application; and 

(e) Conduct an investigation of the principals of the business, including a criminal 

histocy check, a credit report, and interviews with the personal references listed. 

Section 305. Vendor License Fee 

The Tribe may charge a license fee, to be set by the Tribal Gaming Commission, to cover 

its expenses in investigating and licensing vendors of the gaming operation. 

Section 306. Vendor Background Investigation Report 

The private investigator shall complete an investigative report covering each of the steps 

taken in the background investigation of the gaming vendor and its principals and present 

it to the Tribal Gaming Commission. 

Section 307. Exemption for Vendors Licensed by Recognized Regulatory Authorities 

All federally or state regulated banks are exempt from the requirements of obtaining a 

license under this Ordinance. The Tribal Gaming Commission may adopt regulations 

naming specific licensing authorities that it recognizes and may authorize exemptions to 

the vendor licensing process for vendors which have received a license from one of the 

named regulatory authorities. 

Section 308. Licenses for Non-Gaming Vendors 

For non-gaming vendors, the Tribal Gaming Commission is authorized to create a less 

stringent vendor licensing process, including a due diligence check rather than a full 

background investigation as laid out in Section 304. The Gaming Commission may 

investigate such vendors when appropriate and may conduct audits in addition to 

monitoring Tribal purchases. 

28 
J 

Section 309. Sovereign Immunity 

Nothing contained in this Ordinance is intended to nor does in anyway limit, alter, 

restrict, or waive the Tribe's sovereign immunity from unconsented suit or action. 

Section 310. National Indian Gaming Commission Approval 

The NIGC shall approve this amended ordinance after it has been approved and passed 

by the Fort Independence General Council by Resolution 

Section 311. Code of Ethics for Business Committee 

The Fort Independence Business Committee is prohibited from Gambling and conducting 

personal financial transaction within the Gaming establishment. 

29