Honorable Margie Mejia 

Tribal Chairperson, Lytton Band of Pomo Indians 

of the Lytton Rancheria 

1250 Coddingtown Center, Suite 1 

Santa Rosa, California 95401 

Dear Ms. Mejia: 

This letter responds to your request to review and approve the tribal gaming ordinance, 

Resolution No. 07-8-99-01, adopted on July 8, 1999, by the Lytton Band of Pomo Indians 

of the Lytton Rancheria (Rancheria). This letter constitutes such approval under the 

Indian Gaming Regulatory Act (IGRA). Such approval does not constitute approval of 

specific games. It is important to note that the gaming ordinance is approved for gaming only 

on Indian lands as defined in the IGRA. 

With the Chairman's approval of the Rancheria's gaming ordinance, the Rancheria is now 

required to conduct background investigations on its key employees and primary management 

officials. The NIGC expects to receive a completed application for each key employee and 

primary management official pursuant to 25 C.F.R. $556.5(a) and an investigative report 

on each background investigation before issuing a license to a key employee or 

primary management official pursuant to 25 C .F.R. 8556.5@). 

Thank you for submitting the ordinance of the Lytton Band of Pomo Indians of the 

Lytton Rancheria for review and approval. The MGC staff and I look forward to working 

with you and the Rancheria in implementing the IGRA. 

Sincerely yours &Od 

Montie R. Deer 

Chairman 

1441 L STREET. N.W. 9TH FLOOR WASHINGTON, D.C. 20005 TEL: 202-632-7003 FAX: 202-632-7066 
Y LYI ION RANCHERIA Lvttont3and of Porno 1nd;ans 

1 1250 Coddinrrtown Center Suite 1 Santa Rosa, California 95401 

, C- r 

A RESOLUTION AMENDING .c 

: & ENACTING GAMING CODE 

WHEREAS: The Lytton Band of Porno Indians of the Lytton Rancheria is a Sovereign 

&- 

Indian Government, recognized as such by the government of the United 

States of America; and 

WHEREAS: The Tribal Council of the Lytton Band of Pomo Indians of the Lytton 

Rancheria is empowered by the Constitution and the General Council to 

conduct the day-to-day business of the Tribe, on behalf of the Tribe; and 

WHEREAS: The Tribal Council of the Lytton Band of Pomo Indians of the Lytton 

Rancheria has decided that it would be beneficial for the Tribe to amend 

the Gaming Code originally enacted on September 19, 1998 in order to 

clarify the law and to respond to certain technical questions raised by the 

National Indian Gaming Commission; 

NOW THEREFORE BE IT RESOLVED, That the Tribal Council of the Lytton Band of 

Pomo Indians of the Lytton Rancheria hereby repeals the Gaming Code 

enacted on April 7, 1999 and now enacts the attached Gaming Code and 

hereby submits this resolution to the National Indian Gaming Commission 

for'approval and also to the Department of the Interior, Bureau of Indians 

Affairs, Central California Agency. 

CERTIFICATION 

I, the undersigned, as Chairperson of the Lytton Band of Porno Indians Lytton Rancheria 

hereby certify that at a duly called, noticed d convened meeting on of July, 1999, at 

which a quorum was pre$ent, by a vote of ? Ayes; 0 Nays; 0 Abstentions, adopted 

this resolution and said resolution has not been rescinded or amended in any way. 

y/t)q 7 

Date 

ATTEST: 

I 
LYTTON BAND OF 

POMO INDIANS 

TRIBAL GAMING CODE 

Enacted 

July 8,1999 
LYTTON BAND OF POMO INDIANS 

GAMING CODE 

DEFINITIONS 

Definitions. Unless a different meaning is set forth below, the terms used in this Code 

shall have the same meaning as defined in the Indian Gaming Regulatory Act, Public 

Law 100-497,102 Stat. 2467 (Oct. 17,1988), 25 U.S.C. 2701, et seq. ("IGRA"). 

UAvvlicant'l means any person, partnership, corporation, joint venture or other entity 

applying for, or requesting renewal of, any License described in or required by this 

Code. 

"A~plication" means a request for the issuance or renewal of a License described in or 

required by this Code. 

"Band" or "Tribe" means, and "Tribal" shall refer to, the Lytton Band of Pomo Indians. 

"Council" or "Tribal Council" means the Tribal Council of the Lytton Band of Pomo 

Indians. 

"Chairman" means the Chairman of the National Indian Gaming Commission. 

"Class I1 Gaming'' means Class 11 gaming as defined at 25 U.S.C. §2703(7)(A) and (B). 

"Class I11 Gaming" means Class 111 gaming as defined in 25 U.S.C. §2703(8). 

"Code" means this Tribal Gaming Code of the Lytton Band of Pomo Indians, as 

amended from time to time, and any Rules promulgated hereunder. 

"Comvact" means the "Tribal State Compact between the Lytton Band of Pomo Indians 

and the State of California Providing for the Conduct of Tribal Class III Gaming by the 

Lytton Band of Pomo Indiansn executed by the Governor of California and the 

Chairman of the Tribe and pursuant to the IGRA, including all renewals, amendments, 

appendices, exhibits and other attachments thereto. 

Lytton Gaming Code 

Enacted 7/8/99 

Page 1 
'Commission" means the Lytton Tribal Gaming Commission. 

"Commissioner" means an individual member of the Lytton Tribal Gaming 

Commission. 

"Fiscal Year" means the period beginning at 12:Ol am on October 1 of each year and 

ending at midnight, September 30 of the following year. 

"-" means any Class I1 Gaming or Class III Gaming activity, either individually 

or collectively, whether authorized or unauthorized. 

"Gaminn Device" means any equipment or mechanical, electromechanical or electronic 

contrivance, component or machine, used remotely or directly in connection with any 

Gaming which affects the result of a wager by determining or predicting the outcome of 

such game or the odds of winning or losing such game. The term shall be broadly 

construed to promote the purposes of this Code and shall also include any devices, 

machines, components or contrivances which do or are capable of effecting, in any way, 

the playing of any Gaming. 

''Gaming Device Suvvlier" means any Person who manufactures, sells, leases, 

distributes, ~upplies or makes modifications to, any Gaming Device of the Tribe and all 

Persons holding any direct or indirect financial interest in such Gaming Device 

Supplier. 

"Gaming Disputes Court" means the Gaming Disputes Court of the Lytton Band of 

Pomo Indians to be established pursuant to the Lytton Band of Pomo Constitution. 

"Gaminn Establishment" means any premises where Gaming is operated or conducted 

on the Tribe's Reservation, and includes all buildings, improvements, appurtenances, 

equipment and facilities used or maintained in connection with such gaming. 

"Gaming Monitor" means the entity or individual hired by and responsible to the 

Commission who is charged with conducting background investigations, monitoring 

and inspecting Gaming Operations and to whom certain related duties may be 

delegated pursuant to this Code. 

"Gaming Overation" means any business enterprise owned by the Tribe, the revenues 

of which are primarily derived from Gaming or from any Gaming Establishment. 

Lytton Gaming Code 

Enacted 7/8/99 

Page 2 
"Gross Revenue" means the total value due to any operator of any Gaming for any 

chance taken or game played, for any table fees for card playing, on account of fees 

charged for participation in any Gaming or for admittance to any Gaming 

Establishment (or any combination of the foregoing) less the total of all cash paid out as 

losses to patrons. Gross Revenue shall be stated in U.S. currency and shall be calculated 

before any deductions or allowances for prizes, pay out of winnings, costs of operation, 

taxes, labor expenses, equipment, materials used or any other expenses. In the absence 

of adequate records, Gross Revenue shall be the maximum amount that would be due 

to a Gaming operator if the particular Gaming conducted by said operator was 

conducted at maximum capacity. Gross Revenue shall not include: 

(i) Counterfeit money or tokens; 

(ii) Coins of other countries which are received in slot machines or Gaming 

Devices; or 

(iii) Cash taken in fraudulent acts perpetrated against a Licensee for which the 

Licensee is not reimbursed. 

*Key Emvloyee" means: 

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

bingo caller, 

counting room supervisor, 

chief of security, 

custodian of gaming supplies or cash, 

floor manager, 

pit boss, 

dealer, 

croupier, 

approver of credit, or 

custodian of gambling terminals or other devices operated by the 

management of any Gaming Operation, including persons with 

access to cash and accounting records for such devices; 

(b) if not otherwise included, any other person whose total cash 

compensation from employment in any Gaming Operation exceeds 

$50,000 per year; 

Lytton Gaming Code 

Enacted 7/8/99 

Page 3 
(c) if not otherulise included, the four most highly compensated persons in 

any Gaming Operation; or 

(d) any other employee of any Gaming Operation that the Commission 

designates by its Rules as a Key Employee. 

"License" means any authorization granted by the Commission, pursuant to this Code, 

to any Person which is required for such Person to perform certain acts or engage in 

certain activities. All Licenses shall be held at the will of the Commission and the 

issuance of a License shall not create a property or liberty interest in such License for 

the benefit of the Licensee. 

"Licensee" means any Person who has been issued a valid and current License pursuant 

to the provisions of this Code. 

"Management Contract" means any contract, agreement or other document, including 

all collateral agreements, establishing a relationship between the Tribal government 

and any Person, pursuant to which such Person has managerial responsibilities in or for 

any Gaming Operation. 

"Management Entity" or "Controlling Shareholder" means: 

(a) any Person having a direct or indirect financial interest in any 

Management Contract, including those Persons who, either alone or in 

combination with a spouse, parent, child or sibling, own five (5) percent or 

more of any Management Entity's outstanding capital stock; 

(b) when a trust is a party to a Management Contract, any beneficiary or 

trustee of such trust; 

(c) when a partnership is a party to a Management Contract, any partner, 

general or limited, in such partnership; 

(d) when a corporation is a party to a Management Contract, any Person who 

is an officer or director of such corporation, or who holds five (5) percent 

or more of the issued and outstanding capital stock of such corporation 

either alone or in combination with a spouse, parent, child or sibling; or 

Lytton Gaming Code 

Enacted 7/8/99 

Page 4 
(e) with respect to any non-natural Person with an interest in a trust, 

partnership or corporation that has an interest in a Management Contract, 

all beneficiaries, trustees, partners, or directors of, and stockholders of, 

such non-natural Person holding at least five (5) percent of the 

outstanding stock either alone or in combination with a spouse, parent, 

child or sibling. 

"Management Fee" means any monies paid from Gaming revenue to any Person 

pursuant to an NIGC approved contract to operate a Gaming Establishment. Such 

term shall not include monies paid for the operating expenses of such Gaming 

Establishment. 

"Net Revenue" means Gross Revenue of any Gaming Operation minus amounts paid 

for, or paid out as prizes, winnings, and related operating expenses, excluding 

Management Fees. 

"NIGC" means the National Indian Gaming Commission. 

 overa at in^ Expense" means any expense incurred in the operation of Gaming that is 

specifically designated as an Operating Expense in any Management Contract or which 

by operation of Generally Accepted Accounting Principles, consistently applied, is so 

treated 

"Patron" means any Person who participates in Gaming, or who is physically present on 

premises wherein or whereon Gaming is conducted. 

"Person" means any association, partnership, corporation, firm, trust or other form of 

business association or entity, as well as a natural person. 

"Primarv Management Officials" means: 

(a) the Person(s) having management responsibility over all or any part of 

any Gaming Operation; 

(b) any Person who has authority; 

(i) to hire and fire employees of a Gaming Operation, 

(ii) to establish working policy for a Gaming Operation; 

Lytton Gaming Code 

Enacted 7/8/99 

Page 5 
(c) the chief financial officer or other Person who has financial management 

responsibility for any Gaming Operation; 

(d) any Person who is considered a Controlling Shareholder; 

or 

(e) any Person the Commission designated by Commission Rules as a 

Primary Management Official. 

"Reservation" means any lands, title to which is either held in trust by the United States 

for the benefit of the Lytton Band of Pomo Indians, or held by the Lytton Band of Pomo 

Indians subject to restriction against alienation by the United States and over which the 

Lytton Band of Pomo Indians exercise governmental authority whether or not the lands 

have been formally declared to be a reservation. 

"Rules" means any Rules governing the conduct of games or the control of internal 

fiscal affairs of Gaming Operations as may be promulgated by the Commission 

established pursuant to this Code. 

"Secretary" means the Secretary of the United States Department of the Interior. 

Lytton Gaming Code 

Enacted 7/8/99 

Page 6 
CHAPTER I 

PURPOSE, PUBLIC POLICY, 

APPLICABILITY AND AUTHORIZATIONS 

Section 1.01 Short Title. This Code shall be known and may be cited as the "Lytton 

Gaming Code." 

Section 1.02 Purpose. The Tribal Council of the Lytton Band of Pomo Indians, 

pursuant to authority granted in Article X and Article XIII of the Tribe's 

Constitution, enacts this Code in order to regulate all forms of Gaming on 

the Tribe's Reservation. 

Section 1.03 Public Policy. 

(a) All Gaming which is conducted within the Tribe's Reservation and 

which is otherwise authorized by law shall be regulated and 

licensed pursuant to the provisions of this Code. 

(b) The Tribal Council hereby finds, and declares it to be the public 

policy of the Tribe, that: 

Regulation of licensed Gaming is 

important in order that licensed Gaming 

is conducted honestly and that Gaming 

is free from criminal and corruptive 

elements. 

Public confidence and trust can only be 

maintained by strict regulation of all 

Persons, locations, practices, 

associations and activities related to the 

operation of licensed Gaming 

Establishments and the manufacture or 

distribution of Gaming Devices. 

All Management Entities or Controlling 

Shareholders, Primary Management 

Lytton Gaming Code 

Enacted 7/8/99 

Page 7 
Officials, Key Employees, Gaming 

Establishments and Gaming Device 

Suppliers must therefore be licensed 

and controlled to protect the public 

health, safety, morals, good order and 

general welfare of the Tribe. 

Section 1.04 Class I1 Gamina Authorized. Class II Gaming is hereby authorized to be 

conducted on lands within the Tribe's Reservation; provided, however, 

that such Class I1 Gaming shall be conducted only in accordance with the 

provisions of this Code, the Rules, the Compact, and IGRA. 

Section 1.05 Class I11 Gaming - Authorized. Class III Gaming is hereby authorized on 

lands within the Tribe's Reservation; provided, however, that Class III 

Gaming shall be conducted only in accordance with the provisions of this 

Code, the Rules, the Compact, and IGRA. 

Section 1.06 Location of Gaming. The Commission shall ensure that (i) such Gaming 

as it authorizes and licenses pursuant to this Code is conducted on lands 

within the Tribe's Reservation, and (ii) such gaming is not otherwise 

specifically prohibited by Federal law. 

Section 1.07 Ownership of Gaming. The Tribe shall have the sole proprietary interest 

in and responsibility for the conduct of any Gaming Operation authorized 

by this Code. The Tribe shall receive, at a minimum, not less than sixty 

(60) percent of the Net Revenues from any Gaming Operation. 

Section 1.08 Use of Gamina Revenue. 

(a) Net Revenues from any form of Gaming authorized under this 

Code shall be used only for the following purposes: to fund Tribal 

government operations and programs; to provide for the general 

welfare of the Tribe and its members; to promote Tribal economic 

development; to make donations to charitable organizations; or to 

help fund operations of local government agencies. 

(b) If the Tribe elects to make per capita payments to Tribal members, 

it shall authorize such payments only pursuant to a plan submitted 

to and approved by the Secretary pursuant to 25 U.S.C. §2710(b)(3). 

Lytton Gaming Code 

Enacted 7/8/99 

Page 8 
Section 1.09 Unauthorized Gaming. Any person who commits any act of 

unauthorized Gaming on the Reservation or any other Tribal land shall be 

guilty of a crime and shall be prosecuted in Tribal Court or any other 

court of competent jurisdiction. It is hereby declared that authorized 

Class 11 Gaming or Class 111 Gaming conducted on the Reservation, or on 

any other Tribal land that fully complies with the provisions of this Code, 

the Rules, the Compact and IGRA shall not be subject to any criminal 

penalties. 

Section 1.10 Conduct of Games. All Gaming shall be conducted by persons duly 

Licensed by the Commission. No Person licensed by the Commission shall 

engage in, conduct or condone any Gaming that is not conducted in 

accordance with this Code and such Rules governing the conduct of 

games as may be promulgated by the Commission under this Code. 

Section 1.11 Apvlicabilitv of Code. Unless specifically indicated otherwise, all 

provisions of this Code shall apply to both Class II Gaming and Class III 

Gaming including, but not limited to, all licensing and background 

investigation procedures. 

CHAPTER I1 

ESTABLISHMENT, 

ADMINISTRATION AND 

POWERS OF COMMISSION 

Section 2.01 Establishment of Commission. The Lytton Tribal Gaming Commission is 

hereby established. The Commission shall consist of three (3) members 

appointed by a majority vote of the Council. A Commissioner shall serve 

for six (6) years and may be removed from office prior to the end of the 

Commissioner's term only for cause and by a unanimous vote of the 

Council after a public hearing, if such hearing is requested by the 

Commissioner who is subject to removal. In order to establish an 

annually staggered Commission appointment schedule, the first 

Commission shall be appointed by the Council as follows: one (1) 

Commissioner shall serve a two (2) year term; one (1) Commissioner shall 

Lytton Gaming Code 

Enacted 7/8/99 

Page 9 
serve a four (4) year term; and one (1) Commissioner shall serve a six (6) 

year term, for their initial terms only. Thereafter, all successive terms of 

appointment for a Commissioner shall run for six (6) years. Vacancies on 

the Commission shall be filled within thirty (30) days by a majority vote 

of the Council. The Commission shall select annually, from its 

membership, a Commission Chair. 

Section 2.02 Licensing of Commissioners. Applicants for the position of 

Commissioner must meet the requirements of Chapters 4 and 5 of this 

Code and must first obtain a License from the Council prior to assuming 

office. 

(a) Failure to Meet License Reauirements or License Violations. If 

the Tribal Chair or the Council has reason to believe that a Licensed 

Commissioner fails at any time to meet the License requirements 

under this Code or that the Commissioner has violated this Code, 

the Rules, the Compact, or the IGRA or any other applicable law, 

the TRibal Chair or the Council shall direct an investigation to be 

conducted and may notice the Commissioner for a hearing before 

the Council. All investigations and hearings under this Section 

shall be conducted as provided in Chapters 5 and 6 of this Code 

and a Commissioner shall have all of the rights and obligations 

given to a Licensee or Applicant therein, except that all hearings 

shall be conducted by and before the Council. 

(b) Appeals of Council Decision. A Commissioner may appeal a 

decision of the Council to the Gaming Disputes Court and the 

procedures provided in Chapter 7 of this Code shall govern the 

appeal. 

Section 2.03 Restrictions on Commissioners. No person shall serve on the 

Commission if that: 

(a) person's other employment or responsibilities conflict or could 

potentially conflict with the duties and responsibilities of a member 

of the Commission; 

Lytton Gaming Code 

Enacted 7/8/99 

Page 10 
(b) person is an employee of the Gaming Operation or the person's 

other employment or responsibilities create an impression or 

appearance of impropriety in the fulfillment of the duties and 

responsibilities of a member of the Commission; or 

(c) person is a Judge in any Tribal Court. 

Section 2.04 No Financial Interest in Gaming. No Commissioner shall have any direct 

or indirect financial interest in any Gaming Operation. For purposes of 

this section, "indirect financial interest shall not include ownership of any 

mutual funds which holds stock in a publicly traded company, but shall 

include direct ownership of such stock. No Commissioner may accept 

gratuities or any other thing of value from any Licensee or Applicant. 

Commissioners may not gamble in any Gaming Establishment. 

Section 2.05 Compensation of Commissioners. Commissioners shall be compensated 

at a rate to be established annually by the Council. Commissioners shall 

be reimbursed for actual expenses incurred on Commission business, 

including necessary travel expenses. 

Section 2.06 Commission Meetings. - 

(a) Regular Meetings. The Commission shall meet at least once a 

month at the Commission's main office or at any other designated 

meeting place. 

(b) Special Meetin~s. Special meetings shall be convened by the 

Commission Chair as necessary to carry out the official duties of 

the Commission. Notice of each special meeting shall be given by 

the Commission Chair by telephone or mail to each Commissioner. 

Notice shall be received at least 24 hours in advance of such 

meeting and shall include the date, time and place of the proposed 

meeting. 

(c) Emergency Meetings. An emergency meeting may be called by the 

Chair of the Commission with less than 24 hours notice; provided, 

however, that the Chair of the Commission shall use best efforts to 

assure that all Commissioners are notified of such meeting, with as 

much prior notice as possible under the circumstances. 

Lytton Gaming Code 

Enacted 7/8/99 

Page 11 
(d) Meetin~s Open to the Public. All meetings of the Commission 

shall be open to the public; provided, however, that the 

Commission may, in its discretion, close any portion of any 

meeting to the public when discussing any information which the 

Commission deems confidential pursuant to the provisions of this 

Code. 

Section 2.07 Commission Offices. The Commission shall maintain an office in a 

location established by the Council. Such office shall serve as the 

Commission's main business office and shall be the site at which 

Commission records and documents are maintained and stored on a 

permanent basis. No individual except a Commissioner, or other 

authorized employee or agent of the Commission may possess a key to or 

may enter any Commission office without the permission of the 

Commission. No person may access such records except a Commissioner, 

a person duly authorized by the Commission, a Commission, or an 

attorney for the Commission. Nothing herein shall prevent Commission 

records from being maintained or stored at the offices of the Gaming 

Monitor. 

Section 2.08 Quorum. A quorum of the Commission shall consist of two (2) 

Commissioners. All decisions shall require the concurring votes of at least 

two members of the Commission, unless particular power is delegated to 

the Chairman pursuant to this Code or the Rules. 

Section 2.09 Organization of Commission. The Commission may organize itself into 

any functional division it deems necessary, and may alter such plan of 

organization as it deems expedient. 

Section 2.10 Commission Record-Keeping. The Commission or Gaming Monitor shall 

maintain complete records regarding the following: 

(a) Applications, financial statements, fingerprints, contracts, Licenses, 

suspension and cancellation notices and correspondences of all 

Applicants, including Management Entities or Controlling 

Shareholders, Key Employees, Primary Management Officials, 

Gaming Establishments and Gaming Device Suppliers; 

(b) Commission Licenses; 

Lytton Gaming Code 

Enacted 7/8/99 

Page 12 
(c) Meeting minutes from all Commission meetings; 

(d) Compact compliance; 

(e) Reports relating to customer disputes, complaints or other issues 

that affect the integrity of the Gaming Operation; 

(f) Commission budget and expenditures; 

(g) Council communications and correspondences; 

(h) Gaming Device list pursuant to Section 4.11 of this Code; and 

(i) Any other records or documents the Commission or Gaming 

Monitor deems necessary or appropriate. 

Section 2.11 Confidentialitv. The Commission shall preserve as confidential a11 

information provided by Applicants and Licensees, provided that the 

Commission may, in its discretion, advise the NIGC, or the authorized 

representatives of any federally recognized Indian tribe regarding the 

denial revocation or withdrawal of any Application or License, or of any 

disciplinary action taken regarding any License or Licensee. 

Section 2.12 Reports. The Commission shall make monthly reports to the Council 

within thirty (30) days after the end of each month. Such Reports shall 

contain the following information: 

(a) number and types of Licenses issued during the previous 30-day 

period; 

(b) information regarding License denials, suspensions or revocations; 

(c) report of any events of non-compliance, breach or violations of this 

Code, the Rules, the Compact, IGRA, License or any other law or 

regulation; provided, however, that these reports are not the 

subject of or relating to a pending investigation of the Commission 

or the Gaming Monitor, or hearing before the Commission; 

(d) a report of Commission expenditures for the prior 30-day period; 

Lytton Gaming Code 

Enacted 7/8/99 

Page 13 
(e) a summary of any Commission travel and training; 

(f) the number of and purpose for any special Commission meetin&); 

and 

(g) all other information which the Commission deems relevant in 

order to keep the Council informed and current on all Gaming 

regulatory matters. 

Nothing in this Section shall authorize or permit the Commission or 

Gaming Monitor to provide the Council with any information pertaining 

to a pending investigation of the Commission or Gaming Monitor, or 

hearing before the Commission. Except as provided in Section 2.11, all 

such information shall be kept confidential. The Commission may find 

that any willful or negligent breach of this provision presents due cause 

for removal of the person from office or employment. The Gaming 

Disputes Court shall have the authority to impose civil penalties of up to 

$5,000 (FIVE THOUSAND DOLLARS) for each violation. Claims of such 

disclosure may be presented by the Monitor, the Commission or the 

Licensee or Applicant affected, provided that any such claim shall be 

presented to the Gaming Disputes Court within 60 days of the act 

. complained of, or within 60 days the disclosure becomes known, 

whichever is later. 

Section 2.13 Budget. The Commission shall establish a budget for its operations, 

including, but not limited to, a budget for the Gaming Monitor, shall 

acquire such furnishings, equipment, supplies, stationery, books and other 

items as it deems necessary or desirable to carry out its functions, and 

incur such other expenses, within the limit of funds available to it, as it 

deems necessary. Such Commission budget shall be subject to approval 

by the Council and, once approved by the Council, shall be funded from 

the Tribe's general revenues. Within the limits of its Council approved 

budget, the Commission shall employ and fix the salaries of, or contract 

for the services of, such professional, technical and operational personnel 

and consultants as the execution of the Commission's duties may require. 

The Commission budget may, at the Council's discretion, be reviewed and 

modified by the Council every four (4) months. Any surplus remaining in 

the Commission's budget at the end of any budget year shall be refunded 

to the Council. 

Lytton Gaming Code 

Enacted 7/8/99 

Page 14 
Section 2.14 Powers. The Commission shall exercise all powers necessary to effectuate 

the purposes of this Code and all other powers provided for in this Code. 

In all decisions, the Commission shall act to promote and ensure the 

integrity, security, honesty and fairness of the operation and 

administration of all Gaming. The Commission shall have the power to: 

promulgate Rules pursuant to this Code, for the operation of 

games and the control of internal fiscal affairs of Gaming 

Operations and the conduct of all business before the 

Commission; 

grant, conditionally grant or deny any application for License; 

limit, cancel, revoke, terminate, condition, modify, suspend, or 

restrict any License 

make findings of suitability or unsuitability; 

impose civil penalties of up to $5,000 (FIVE THOUSAND 

DOLLARS) or sanctions for each violation of this Code or the Rules 

upon any Applicant or Licensee; 

require the Licensee or Applicant to make restitution for the actual 

or consequential damages of any violation of this Code or the 

Rules; 

conduct, or cause to be conducted, background investigations on all 

Applicants and Licensees; 

hold administrative licensing hearings under this Code; 

bring or respond to actions pursuant to this Code or the Rules 

before the Gaming Disputes Court. 

Section 2.15 Promulnation of gamin^ Rules. The Commission may promulgate Rules 

governing the conduct of all games authorized by the Compact or IGRA, 

including Rules governing all equipment, (e.g. lottery terminals, 

computers computer programs, chips, cards, pull tabs, pull tab 

dispensers), used in such games. The Rules of each authorized game 

offered shall be posted in a conspicuous location in every licensed Gaming 

Establishment. 

Section 2.16 Promulvation of Auditinn and Internal Control Rules. The Commission 

may promulgate Rules governing the control of internal fiscal affairs of 

Gaming Operations as provided in Chapter 8 of this Code. 

Lytton Gaming Code 

Enacted 7/8/99 

Page 15 
CHAPTER 111 

GAMING MONITOR 

Section 3.01 Avvointrnent of Gaming - Monitor. Subject to approval by the 

Council, the Commission shall hire a Gaming Monitor who shall be 

responsible for the day to day monitoring of Gaming on the Tribe's 

Rese~vation and to whom the Commission may delegate any of its 

duties under this Code except for: 

(a) the conduct of hearings, the decision of matters at issue at 

such hearing, the issuance, denial, limitation, supervision or 

revocation of Licenses; 

(b) the imposition of fines and the setting of the Gaming Monitor's 

duties and compensation. 

The Commission shall take such action as it deems necessary and 

appropriate to satisfy itself as to the qualifications of the Gaming 

Monitor before appointing the Gaming Monitor and shall oversee the 

Gaming Monitor's activities on an ongoing basis. Preference will be 

given to Gaming Monitor applicants with experience in legal, gaming 

and/or accounting matters. No Person who has been convicted of a 

felony of any kind or any misdemeanor which is gaming related or 

involves, fraud, misrepresentation or bribery may serve as a Gaming 

Monitor. Other than the interest that may be held by virtue of Tribal 

membership, the restraints on financial interest in any Gaming 

Operation set forth in Section 2.04 of this Code shall also apply to the 

.Gaming Monitor. 

Section 3.02 Gamina Monitor's Contract. The Gaming Monitor shall be hired on a 

contract basis for a period of at least one year. The terms of the 

Gaming Monitor's employment contract including, but not limited to, 

compensation and benefits, shall be negotiated with the Commission 

and approved by the Council. 

Ly tton Gaming Code 

Enacted 7/8/99 

Page 16 
Section 3.03 Termination of Gaminn Monitor. The Gaming Monitor's 

employment contract shall terminate immediately, and without the 

necessity of a vote or finding by the Council or the Commission, upon 

the Gaming Monitor's conviction in any court of competent 

jurisdiction, including the Tribal Court, for a felony of any kind or any 

misdemeanor which is gaming related or involves, fraud, 

misrepresentation or bribery or for any breach or failure to perform 

the duties of the Gaming Monitor. If the Commission, the Council or 

any court determines that the Gaming Monitor has violated, or assisted 

in violations of, any part of this Code, the Commission or the Council 

(by a majority vote of a quorum) may immediately terminate the 

Gaming Monitor's employment contract. 

Section 3.04 Duties of the Gaminn Monitor The Gaming Monitor shall, subject to 

the approval of the Commission, perform all duties, exercise all 

powers, assume and discharge all responsibilities, and carry out and 

effect all purposes of this Code and the Compact, subject to the 

restrictions contained in Section 3.01. In all decisions, the Gaming 

Monitor shall act to promote and ensure integrity, security, honesty, 

and fairness of the operation and administration of all Gaming. The 

duties of the Gaming Monitor shall include, but are not limited to: 

(a) corresponding with the NIGC and taking necessary actions to 

ensure continuing compliance with the rules and regulations of the 

NIGC. Specifically, the Gaming Monitor shall confirm that an 

annual outside audit of authorized Gaming is performed within the 

time required by IGRA, and will provide a copy of such outside 

audit to the NIGC in a timely manner; 

(b) conducting, or ensuring that adequate and confidential background 

investigations are conducted, on all Management Entities or 

Controlling Shareholders, Gaming Device Suppliers, and Primary 

Management Officials and Key Employees of any Gaming 

Operation, and that oversight of such Persons is conducted on an 

ongoing basis; 

(c) ensuring that all applications and background investigations called 

for by this Code are properly completed and that no Person is 

Lytton Gaming Code 

Enacted 7/8/99 

Page 17 
employed in any Gaming Operation if that Person's prior activities, 

criminal record, reputation, habits or associations pose a threat to 

the public interest or to the effective regulation of Gaming, or 

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

practices and methods and activities in the conduct of Gaming. 

Pursuant to Section 5.08(b), the Gaming Monitor shall ensure that 

the NIGC receives the results of any background checks conducted 

on Primary Management Officials and Key Employees of any 

Gaming Operations; 

(d) reviewing all records, documents or other evidence and 

information necessary and pertinent to the enforcement of any 

provision of this Code, the Rules, the Compact, or IGRA; 

(e) recommending to the Commission whether a License should be 

granted, denied, revoked or canceled and whether sanctions should 

be imposed on any Person pursuant to the provisions of this Code; 

and 

(f) performing any and all other duties as may be required by the 

Compact, this Code, the Commission, the Rules, or IGRA, subject to 

the restrictions contained in Section 3.01. 

Section 3.05 Rinht of Inspection. The Gaming Monitor and the Commission have 

the authority to: 

(a) inspect and examine all premises wherein Gaming is conducted, or 

Gaming Devices or equipment are manufactured, sold or 

distributed; and 

(b) inspect all equipment and supplies in, upon or about any Gaming 

Establishment, and/or inspect any premises, equipment or supplies 

wherever located, which may be or have been used in connection 

with Gaming. 

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CHAPTER IV 

LICENSES, APPLICATIONS 

AND LICENSE PROCEDURES 

Section 4.01 Gaming License Reauired. The Commission is hereby authorized to 

issue all Licenses for the conduct of all Gaming authorized under this 

Code or any other License related to Gaming which the Commission 

may, by Rule require. 

(a) Persons. The following Persons must obtain Licenses as 

a precondition to employment in or management of any 

Gaming Operation: 

(1) any Management Entity or Controlling 

Shareholder. Any Person deemed a Controlling 

Shareholder must comply with the same licensing 

requirements as if such Person were a Primary 

Management Official; however, if any Controlling 

Shareholder is a non-natural person, such 

Controlling Shareholder shall be subject to 

Management Entity licensing procedures; 

(2) all Primary Management Officials; 

(3) all Key Employees; 

(4) all Gaming Device Suppliers. Any Person deemed 

a Gaming Device Supplier must comply with the 

same licensing requirements as if such Person 

were a Primary Management Official; however, if 

any Gaming Device Supplier is a non-natural 

person, such Gaming Device Supplier shall be 

subject to Management Entity licensing 

procedures; and 

Lytton Gaming Code 

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(4) any other employee or class of employees as 

determined by Commission Rules. 

(b) Gaming Establishments. Each place, facility, or location 

where Gaming is conducted must obtain a separate 

License from the Commission. 

Section 4.02 Standard for License. Licenses issued hereunder shall be issued 

according to requirements at least as stringent as those set forth at 25 

C.F.R parts 556 and 558, and any amendments thereto, and also 

according to requirements at least as stringent as those set forth in the 

Compact. 

Section 4.03 Avvlication for License. 

(a) No License shall be issued under this Code except upon a 

sworn Application filed with the Commission or Gaming 

Monitor, in such form as may be prescribed by the 

Commission or Gaming Monitor, containing a full and 

complete showing, at a minimum, of the following: 

(1) satisfactory proof that the Applicant is of good 

character and reputation, and is financially 

responsible; 

(2) if applicable, a complete description of the 

premises at which Gaming will be conducted; 

(3) agreement by the Applicant to abide by all 

conditions of the License, this Code, the Rules, the 

Compact and IGRA; 

(4) a separately sworn statement that the Applicant 

has never been convicted of, or entered a plea of 

guilty or no contest to, any of the following 

criminal offenses, 

a. any felony, other than a felony conviction 

for an offense under b, c, or d, within the 

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preceding ten (10) years; provided, 

however, that this record limitation to the 

preceding ten (10) years shall not apply to 

any Applicant which is a Management 

Entity or Controlling Shareholder, 

b. any gaming-rela ted offense, 

c. fraud or misrepresentation in any context, 

or 

d. a violation of any provision of this Code, 

the Rules, or any other Code or rules of the 

Tribe or any state agency regulating or 

prohibiting gaming; and 

(5) the Applicant's fulfillment of all applicable 

requirements of IGRA, all provisions of this Code, 

including, but not limited to, those in Chapter 5, 

and the Compact. 

(b) No License shall be issued to any Applicant who is 

determined by the Commission to be a Person whose 

prior activities, criminal record, reputation, habits or 

associations pose a threat to the public interest or to the 

effective regulation and control of Gaming, or create or 

enhance the dangers of unsuitable, unfair, or illegal 

practices, methods, or activities in the operation of 

Gaming or the carrying on of the business and financial 

arrangements incidental thereto. 

(c) The issuance of Licenses shall also be subject to the 

provisions of Chapter 5 of this Code regarding 

background investigations. 

(d) The following notices shall be placed on the application 

form for a Key Employee, Management Entity, Primary 

Management Official or Gaming Device Supplier before 

such form is completed by an Applicant: 

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(a) "In compliance with the Privacy Act of 1974, the 

following information is provided: Solicitation of 

the information on this form is authorized by 

Chapter 25 U.S.C. 2701 et seq. The purpose of the 

requested information is to determine the 

eligibility of individuals to be employed in a 

gaming operation. The information will be used 

by the Commission, the State of California, and/or 

the National Indian Gaming Commission 

members and staff who have need for the 

information in the performance of their official 

duties. The information may be disclosed to 

appropriate Federal, 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 National Indian 

Gaming Commission in connection with the hiring 

or firing of an employee, the issuance or 

revocation of a gaming License, or investigations 

of activities while associated with a tribe or a 

gaming operation. Failure to consent to the 

disclosures indicated in this notice will result in a 

tribe's being unable to hire you in a Primary 

Management Official or Key Employee position. 

The disclosure of your Social Security 

Number (SSN) is voluntary. However, failure to 

supply a SSN may result in errors in processing 

your application." 

(b) "A false statement on any part of your application 

may be grounds for not hiring you, or for firing 

you after you begin work. Also, you may be 

punished by fine or imprisonment. (U.S. Code, 

title 18, Section 1001)." 

Lytton Gaming Code 

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Section 4.04 Reauired Avvlication Forms. 

(a) Each individual applying for a License, whether as a 

Primary Management Official or Key Employee, and any 

person who is subject to a background investigation in 

connection with an entity application for a License, shall 

be required to complete the following forms: 

(1) Application for Gaming License by Individual, if 

applicable; 

(2) Personal History Record, with attached Personal 

Financial Questionnaire, including Statement of 

Assets and Statement of Liabilities; 

(3) Two Complete Fingerprint Cards; 

(4) Request to Release Information - Individual; and 

(5) Release of All Claims - Individual. 

(b) Each individual in subsection (a) of this Section applying 

for a License renewal shall supplement the Personal 

History Record and shall also be required to complete the 

following forms: 

(1) Application for Gaming License by Individual, if 

applicable; 

(2) Request to Release Information - Individual; and 

(3) Release of All claims -Individual. 

(c) Each entity, including a Management Entity and Gaming 

Device Supplier, applying for a License must complete 

the following forms: 

(1) Application for Gaming License by Entity; 

Lytton Gaming Code 

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(2) Request to Release Information - Entity; and 

(3) Release of All Claims - Entity. 

(d) The Commission or Gaming Monitor may request any 

additional forms or information from an Applicant as it 

deems necessary or appropriate. 

(e) Pursuant to the Compact, upon request of the State of 

California, the Commission shall forward the Applicant's 

Personal History Record and all background information 

compiled by the Commission and Gaming Monitor to the 

State. 

Section 4.05 Fingerprint Cards Reauired. All Applicants for a License are 

required to submit fingerprint cards. The California State Police are 

hereby identified as the law enforcement agency with law enforcement 

authority to take fingerprints. Pursuant to 25 C.F.R. §522.2(h), the 

Commission or the Gaming Monitor shall forward an Applicant's 

fingerprint card to the Federal Bureau of Investigation National 

Criminal Information Center. The Commission or the Gaming 

Monitor may submit an Applicant's fingerprint card to any additional 

tribal, local or state criminal history check system or center as the 

Commission or the Gaming Monitor deem necessary or appropriate. 

Reports obtained from such fingerprint processing shall be 

incorporated into the Applicant's personnel file. 

Section 4.06 Withdrawal of Avvlication. An Application may not be withdrawn 

without the permission of the Commission. An Applicant may request 

to withdraw an Application by submitting to the Commission a 

written request for withdrawal. The Commission shall retain the right, 

in its sole discretion, to grant or deny a request for withdrawal. 

Section 4.07 Continuing Dutv to Provide Information. Applicants and Licensees 

shall have a continuing duty to provide any materials, assistance or 

other information required by the Commission or the Gaming 

Monitor, and to fully cooperate in any investigation conducted by or 

on behalf of the Commission or the Gaming Monitor. If any 

information provided on the Application changes or becomes 

Lytton Gaming Code 

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Page 24 
inaccurate in any way, the Applicant or Licensee shall promptly notify 

the Commission or Gaming Monitor of such changes or inaccuracies. 

Section 4.08 Term of License; License Fees; Parameters of License. 

(a) Licenses, except Provisional Licenses, shall be for a term 

of one year, and shall expire on the anniversary of the 

effective date of such License(s). 

(b) In order for the Tribe to recover the costs of complying 

with federal, Tribal, and state regulatory processes 

applicable to Class II Gaming and Class 111 Gaming the 

costs for maintaining the Commission and the Gaming 

Monitor shall, to the maximum extent practical, be 

supported by fees paid by Applicants and Licensees. 

Application and License fees shall be required: 

(1) in accordance with a fee schedule to be established 

by the Commission, annually from each party, 

other than the Tribe, to a Management Contract; 

(2) in accordance with a fee schedule to be established 

by the Commission from any Person(s) required to 

obtain a License; 

(3) in addition to the License fees imposed pursuant 

to subsection (b)(l) and (2) of this Section, the 

Commission may impose such fees on Applicants 

and Licensees as are reasonably related to costs of 

enforcement, including investigations and 

proceedings before the Commission, and which 

will in the aggregate be sufficient to enable the 

Tribe and the Commission to recover its 

reasonable costs of enforcing this Code. Such 

costs may be estimated by the Commission and 

imposed prior to a final Commission action 

regarding a particular Licensee or Applicant. If the 

sum collected exceeds the actual costs of the 

Lytton Gaming Code 

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Page 25 
matter, the excess shall be returned to the 

Applicant or Licensee. 

Violations of any provision of this Code or the Rules, or relevant 

License provision(s), by a Licensee shall be deemed contrary to the 

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

Tribe and the inhabitants of the Reservation, and shall be deemed 

grounds for refusing to grant or renew a License, suspension or 

revocation of a License. Acceptance of a License, or renewal thereof by 

a Licensee, constitutes an agreement on the part of the Licensee to be 

bound by the provisions of this Code and the Rules as they are now, or 

as they may hereafter be amended or restated, and to cooperate fully 

with the Gaming Monitor and the Commission. It is the responsibility 

of the Licensee to remain informed of the contents of this Code, the 

Rules and all other applicable regulations, amendments, provisions, 

and conditions. 

Section 4.09 Conditions of License. All Licensees shall comply with such 

reasonable conditions as may be fixed by the Commission, including 

but not limited to the following conditions: 

(a) Facility Licensees-- 

(1) the Licensee shall at all times maintain an orderly, 

clean and neat Gaming Establishment, both inside 

and outside the premises of the Gaming 

Establishment; 

(2) the Gaming Establishment shall be subject to 

patrol by the Tribe's security and law enforcement 

personnel and, when authorized, local and state 

law enforcement, and the Licensee shall cooperate 

at all times with such security and law 

enforcement officials; 

(3) the Gaming Establishment shall be open to 

inspection by authorized Tribal officials at all 

times during business hours; 

Lytton Gaming Code 

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(4) there shall be no discrimination in any Gaming 

Operations by reason of race, color, sex or creed; 

provided, however, that nothing herein shall 

prevent the Licensee from granting preferences to 

Native Americans as perinitted by law; and 

(b) Persons, Management Entities and Gaming Device 

Suppliers licensed by the Comrr~ission shall comply with 

such conditions of the License a:; the Commission, in its 

reasonable discretion, may require. 

Section 4.10 Facilitv License. The Commission may issue an annual Facility 

License to a Gaming Establishment, if the Garning Establishment: 

(a) is a sound physical structure with adequate and safe 

plumbing, electrical, heating, cooling and ventilation 

systems in place and operational; 

(b) has been inspected and approved for safety by a building 

and fire inspector designated by the Commission; 

(c) is adequate in all respects to accommodate the Gaming 

intended to be carried out within the structure; 

(d) is equipped with security and si~rveillance equipment 

meeting or exceeding provisions set forth in the TribalState Compact and the Code; 

(e) meets all requirements of applicable federal, tribal and 

state law; and 

(f) has paid all applicable License fees and costs. 

Section 4.11 Certification of Gaming Devices. All Gaming Devices purchased, 

leased or otherwise acquired by the Tribe must meet the technical 

equipment standards of the Compact. The Commission or Gaming 

Monitor shall maintain a complete list of all Gaming Devices (whether 

or not such devices are in use) located at any Gaming Establishment. 

Lytton Gaming Code 

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Section 4.12 Provisional License The Commission may issue Provisional Licenses 

pending the satisfactory completion of all background investigations 

and other requirements of this Code, IGRA, or the Compact, and, if 

applicable, pending expiration of the thirty (30) day NIGC review 

period provided for at 25 C.F.R part 558. If such background 

investigations are not satisfactorily completed, a Provisional License 

shall have no further force or effect. In no event shall a Provisional 

License be valid for greater than ninety (90) days. 

Section 4.13 Provisional Emvlovment pen din^ - Issuance of License and During 

Temporarv License Period. As provided in Section 4.12, Primary 

Management Officials and Key Employees may be employed in 

Gaming Operations prior to the issuance of a License hereunder and 

during the period that a License shall be effective on a provisional 

basis, but such employment shall be provisional only and subject to the 

requirements of this Section. Employment may begin prior to issuance 

of a License only if the Commission, or such other Tribal agency or 

official as may be authorized by the Council, has made a preliminary 

finding of eligibility for employment in Gaming Operations, which 

shall require a preliminary determination that the Primary 

Management Official or Key Employee in question is not a person 

whose prior activities, criminal record or reputation, habits or 

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

regulation and control of Gaming, or create or enhance the dangers of 

unsuitable, unfair, or illegal practices, methods, or activities in the 

operation of Gaming or the carrying on of the business and financial 

arrangements incidental thereto. Provisional employment shall be 

terminated upon the occurrence of any of the following: 

(a) denial of a relevant License by the Commission; 

(b) unsatisfactory completion of a background investigation 

or NIGC review resulting in nullification of a provisional 

License, as described in Section 5.10; or 

(c) to the extent required under 25 C.F.R part 558 and, at the 

end of thirty (30) days after the starting date of 

provisional employment, if at the end of such period no 

License has been issued hereunder or if a License issued 

Lytton Gaming Code 

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hereunder remains effective only on a provisional basis, 

as provided in Section 4.12; provided, however, that 

provisional employees terminated for the reason 

described in this subsection shall be qualified for 

reemployment upon the satisfactory completion of 

background investigations and NIGC reviews. 

Section 4.14 Assi~nment or Transfer. No License issued under this Code may be 

assigned or transferred unless the proposed assignee or transferee 

would independently be qualified to hold the License proposed to be 

assigned or transferred and the Commission approves of such 

assignment or transfer. 

CHAPTER V 

BACKGROUND INVESTIGATIONS AND 

LICENSE DECISIONS 

Section 5.01 Required Background Investigations. Background investigations 

shall be conducted by the Gaming Monitor, or other agent retained by 

the Commission, under the supervision and direction of the 

Commission, on all Persons specified in Section 4.01 of this Code. 

Section 5.02 Standards for Background Investigations. All background 

investigations shall be conducted to ensure that Gaming Operations 

shall not employ or contract with persons whose prior activities, or 

reputation, habits and associations pose a threat to the public interest 

or to the effective regulation of Gaming, or create or enhance the 

dangers of unsuitable, unfair or illegal practices and methods and 

activities in the conduct of such Gaming. Such investigations shall be 

conducted according to requirements at least as stringent as those set 

forth at 25 C.F.R. parts 556 and 558, the Compact, and this Chapter 5. 

Background investigations shall be conducted in a manner which takes 

all reasonable steps to ensure the confidentiality of the information 

generated by the investigation as well as that submitted by the 

Lytton Gaming Code 

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Applicants. Any willful or careless breach of this requirement may 

result in penalties as provided by Section 2.12 of this Code. Both the 

Commission and the Gaming Disputes Court shall have jurisdiction to 

hear and decide upon any such claims, but the jurisdiction of the 

Gaming Disputes Court shall be limited to those matters which have 

first been decided by the Commission, or which involve charges 

against a Commissioner or the Gaming Monitor, which cases shall not 

be within the jurisdiction of the Commission. 

Section 5.03 Information Reauired for Background Investi~ations. 

(a) Each Person subject to a background investigation under 

Section 5.01 of this Code shall be required to provide, subject to 

the Privacy Act of 1974, at a minimum, and in such form as 

designated in Section 4.04, or as may be prescribed by the 

Commission or the Gaming Monitor, all of the following 

information: 

(1) full name, other names used, social security number(s), 

birth date, place of birth, citizenship, gender, all 

languages (spoken or written); 

(2) currently and for the previous 10 years, all business and 

employment positions held, ownership interests in those 

businesses, business and residence addresses, and 

driver's license numbers; 

(3) the names and current addresses of at least three (3) 

personal references, including one personal reference 

who was acquainted with the Applicant during each 

period of residence listed under subsection (a)(2) of this 

Section; 

(4) current business and residence telephone numbers; 

(5) a description of any existing and previous business 

relationships with any Native American Indian tribe, 

including but not limited to a description of the amount 

and type of ownership interest in those businesses; 

Lytton Gaming Code 

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Page 30 
(6) a description of any existing and previous business 

relationships with gaming, including but not limited to a 

description of the amount and type of ownership interest 

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 any gaming or gambling, 

whether or not such license or permit was granted; 

(8) for each felony for which there is an ongoing prosecution 

or conviction, the charge, the name and address of the 

court involved, and the date and disposition, if any; 

(9) for each misdemeanor conviction or ongoing 

misdemeanor prosecution (excluding minor traffic 

violations), within ten (10) years of the date of the 

application, the name and address of the court involved 

and the date and disposition; 

(10) for each criminal charge (excluding misdemeanor traffic 

charges, but including any DWI, reckless or careless 

driving charges), whether or not there is a conviction, if 

such criminal charge is within ten (10) years of the date 

of the application and is not otherwise listed, the type of 

criminal charge, the name and address of the court 

involved and the date and disposition of such charge; 

(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 current photograph; 

(13) any other information the Commission deems relevant; 

and 

Lytton Gaming Code 

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(14) fingerprints consistent with the provisions of Section 

4.05. 

Background investigations conducted by the Gaming Monitor 

or Commission must be sufficient to make the determination 

described in Section 5.08(a). In conducting a background 

investigation, the Gaming Monitor, or the Commission or its 

agents, shall make every reasonable effort to maintain the 

confidentiality of the identity of each Person interviewed in the 

course of the investigation. Willful or careless violations of this 

requirement are subject to penalties as provided by Section 2.12 

of this Code. 

Section 5.04 Recommendation of Gaming Monitor. Upon completion of the 

investigation, the Gaming Monitor shall recommend to the 

Commission that the Commission either (i) grant a License to the 

Applicant, or (2) notice the Applicant for a hearing under Chapter 6 of 

this Code. The Commission may notice the Applicant for a hearing at 

any time during the investigation. 

Section 5.05 Issuance of License. The Commission, either upon recommendation 

. of the Gaming Monitor, or after a hearing conducted under Chapter 6 

of this Code, may, subject to the requirements of Section 5.09, issue a 

License only after it has determined that the following minimum 

requirements have been met: 

(a) the Applicant has fully completed all required Application 

forms and has provided the Commission or Gaming Monitor 

with all other information that the Commission or Gaming 

Monitor has requested; 

(b) the Applicant meets all of the licensing requirements of this 

Code; 

(c) the Applicant meets all of the licensing requirements and 

criteria contained in the Compact, including, but not limited to, 

the criteria contained in Section 4(D); 

Lytton Gaming Code 

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(d) the Commission has reviewed the Applicant's criminal history 

record and deems the Applicant's criminal history to be 

satisfactory to hold a License; and 

(e) all applicable License fees and costs have been paid. 

No License shall be issued to any Applicant who is determined by the 

Commission to be a Person whose prior activities, criminal record, 

reputation, habits or associations pose a threat to the public interest or 

to the effective regulation and control of Gaming, or create or enhance 

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

activities in the operation of Gaming or the carrying on of the business 

and financial arrangements incidental thereto. 

Section 5.06 Denial of a License Avvlication. The Commission, after a hearing 

conducted pursuant to Chapter 6 of this Code, may deny an Applicant 

a License only after it has determined that the minimum requirements 

contained in Section 5.05 have not been met by the Applicant or the 

Applicant's Application, or if the Commission determines that the 

Applicant is a Person whose prior activities, criminal record, 

reputation, habits or associations pose a threat to the public interest or 

to the effective regulation and control of Gaming, or create or enhance 

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

activities in the operation of Gaming or the carrying on of the business 

and financial arrangements incidental thereto. 

Section 5.07 Cancellation or Susvension. Licensees and Applicants shall be legally 

responsible for any violation of this Code, any relevant License 

provisions, the Rules, the Compact or IGRA. Any License issued 

hereunder may be canceled, limited, revoked, suspended, terminated 

or modified by the Commission, after a hearing as provided in Chapter 

6, for the breach of any of the provisions of the License, this Code, or 

Rules. In addition: 

(a) unless otherwise stated in this Code or the Rules, a 

Licensee's attorney has the right to be present and to 

participate in any proceeding concerning the 

cancellation, limitation, revocation, suspension, 

termination or modification of a License; 

Lytton Gaming Code 

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Page 33 
(b) a License may be summarily suspended, without a prior 

hearing, only upon notice to that effect from the NIGC; 

and 

(c) all decisions of the Commission regarding the 

cancellation, limitation, revocation, suspension, 

termination or modification of Licenses shall be final, 

unless appealed as provided in Section 2.13 of this Code. 

No Gaming shall be conducted by the Licensee after 

cancellation, even during the pendency of an appeal. 

Section 5.08 Eligibilitv Determination and Procedures for Forwardinp; 

Avvlications and Reports for Kev Emvlovees and Primarv 

Management Officials to the National Indian Gaming Commission. 

(a) The Commission shall review an Applicant's prior activities, 

criminal record, reputation, habits and associations to make a 

finding concerning the eligibility of a Key Employee or 

Primary Management Official for employment in a Gaming 

Operation. If the Commission determines that employment 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, the Gaming Operation shall 

not employ that Person. 

(b) When a Key Employee or Primary Management Official 

commences work at a Gaming Operation, the Gaming Monitor 

shall within a reasonable period of time forward to the NIGC a 

completed application for employment for such Key Employee 

or Primary Management Official, and shall conduct all 

necessary background investigations. The Commission shall 

make the eligibility determination referred to in subsection (a) 

of this Section. 

(c) A report shall be submitted to the NIGC within sixty (60) days 

after a Key Employee or Primary Management Official 

commences work at a Gaming Operation or within sixty (60) 

Lytton Gaming Code 

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Page 34 
days of the approval of this Code by the Chairman. Such report 

shall, at a minimum, include all of the following: 

(1) steps taken in conducting the background investigation; 

(2) results obtained; 

(3) conclusions reached by the Commission; 

(4) the Commission's basis for those conclusions; and 

(5) a copy of the eligibility determination made pursuant to 

Section 5.08(a). 

(d) No Gaming Operation shall continue to employ as a Key 

Employee or Primary Management Official any Person who 

does not have a License within ninety (90) days of commencing 

work at a Gaming Operation. 

(e) If a License is not issued to an Applicant, the Commission: 

(i) shall notify the NIGC; and 

(ii) may forward copies of its eligibility determination and 

any relevant report regarding a background 

investigation of the Applicant to the NIGC for inclusion 

in the Indian Gaming Individuals Records System. 

(f) With respect to Key Employees and Primary Management 

Officials, applications for employment and reports of 

background investigations shall be retained by the Gaming 

Monitor for inspection by the Chairman or his designee for no 

less than three (3) years from the date of termination of 

employment of each Key Employee or Primary Management 

Official. 

Lytton Gaming Code 

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Section 5.09 Granting - a Gaming License. 

(a) If, within a thirty (30) day period after the NIGC receives all 

required Applications and reports, the NIGC notifies the Tribe 

that it has no objection to the issuance of a License pursuant to a 

License Application filed by a Key Employee or a Primary 

Management Official, the Commission may issue a License to 

such Applicant. 

(b) The Commission shall respond in a timely manner to requests 

for additional information from the Chairman concerning Key 

Employees or Primary Management Officials who are the 

subject of any report filed with the NIGC by the Commission. 

Any such request by the Chairman shall suspend the thirty (30) 

day period referred to in this Section until the Chairman 

receives the additional information requested. 

(c) If, within a thirty (30) day period after the NIGC receives all 

required applications and reports, the NIGC provides the Tribe 

with a statement itemizing objections to the issuance of a 

License to a Key Employee or to a Primary Management 

Official for whom the Commission has submitted an application 

and all required reports to the NIGC, the Commission shall 

reconsider the application, taking into account the itemized by 

the objections of the NIGC. The Commission shall make the 

final decision whether to issue a License to such Applicant. 

Section 5.10 License Revocation and Suspension Following Receipt of 

Information from NIGC. 

(a) If, after the issuance of a License, the Tribe receives information 

from the NIGC indicating that a Management Entity or 

Controlling Shareholder, Key Employee, or Primary 

Management Official is not eligible for employment under 

Section 4.02 of this Code, the Commission shall suspend such 

License, shall notify the Licensee in writing of such suspension 

and the potential revocation of the Licensee's License, and shall 

conduct a hearing in accordance with the Rules regarding the 

proposed License revocation. 

Lytton Gaming Code 

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(b) After a hearing, the Commission shall revoke or reinstate a 

License suspended pursuant to subsection (a) of this Section. 

The Commission shall notify the NIGC of its decision. A 

decision of the Commission to revoke a License after the 

hearing called for by subsection (a) of this Section shall be final 

and there shall be no appeal. A Management Entity whose 

License has been revoked or suspended pursuant to this Section 

may not operate a Gaming Operation. 

Section 5.11 Notice of Licensing - Actions. The Commission shall post public 

notices of all actions taken in regard to Licenses and License 

Applications in a prominent place in the Tribe's offices and in affected 

Gaming Establishments and may publish such notices in a newspaper 

serving the community in which the affected Gaming Establishments 

are located. 

CHAPTER VI 

RULES OF PROCEDURE 

FOR HEARINGS 

Section 6.01 Scove of Rules of Procedure. All License hearings, enforcement 

hearings and exclusion hearings conducted pursuant to this Code shall 

be governed by this Chapter. 

Section 6.02 Hearings. 

(a) The Commission shall afford an Applicant an opportunity for a 

hearing prior to any final action by the Commission on a Application, 

other than an unconditional grant of a License. 

(b) The Commission shall afford a Licensee the opportunity for a hearing 

prior to taking final action resulting in the revocation of the License or 

the imposition of any penalties which the Commission is authorized to 

impose pursuant to these Rules and the Code. 

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(c) Nothing in this Section shall limit the Commission's authority to 

summarily suspend or revoke a License without a hearing pursuant to 

Section 5.07(b) of this Code. 

Section 6.03 Notice of Hearing;. 

(a) The Commission shall post notice of any hearing in a prominent, 

noticeable place in the Tribe's Executive Office at least seven (7) days 

prior to the hearing, and shall also publish notice of any hearing at 

least seven (7) days prior to the hearing in a tribal newspaper, or if a 

tribal newspaper is not currently in publication, in such other local 

newspaper serving the local community. The day the notice is posted 

or published shall be considered a full day's notice under this Section. 

The notice shall state the date, time and place of the hearing. 

(b) The Commission shall also provide written notice to the Applicant or 

Licensee of the hearing at least seven (7) days prior to the date set for 

the hearing. The day the Applicant or Licensee receives the notice 

shall be considered a full day's notice under this Section. The notice 

shall be sent by registered or certified mail, or may be personally 

served upon the Applicant or Licensee. The notice shall state the date, 

time and place of the hearing. The notice shall also contain an 

indication of the action(s) being considered by the Commission, 

including, but not limited to: 

(1) whether the Commission is holding the hearing for the purpose 

of obtaining further information from the Applicant; 

(2) whether the Commission will be considering the grant or denial 

of the License Application; 

(3) whether the Commission will be examining any alleged 

violations of the Code, the Compact, the IGRA, the conditions 

of any License issued by the Commission, any order by the 

Commission, or any other applicable laws, regulations or 

agreements; or 

(4) whether any other sanctions or penalties will be considered. 

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The notice shall also contain a short, plain statement of the reasons the 

Commission determines the hearing is necessary. 

Section 6.04 Ex Parte Communications. 

(a) No ex parte communication relative to the action(s) being considered 

by the Commission, or a threat or offer of reward shall be made, before 

a decision is rendered, to any member of the Commission by or on 

behalf of the Applicant or Licensee, or any legal representative or 

counsel of the Applicant or Licensee. 

(b) Nothing in this Section shall prohibit the Applicant, Licensee or its 

authorized agent from communicating with the Commission's legal 

counsel, its investigators or other authorized agents. 

(c) Any member of the Commission who receives an ex parte 

communication shall immediately report such communication to the 

Commission's legal counsel. 

(d) For purposes of this Section only, the action(s) being considered by the 

Commission shall be those matters identified in the written notice as 

provided in Section 6.03(b) of this Code, as well as any other matters 

that are actually considered by the Commission during a hearing. All 

matters identified in the written notice shall be subject to the 

prohibition against ex parte communications. All matters not 

identified in the written notice that are considered by the Commission 

during a hearing become subject to the prohibition against ex parte 

communications as soon as they are discussed during the hearing. 

(e) The Commission shall have the power to impose any sanction 

pursuant to this Chapter upon its determination that an Applicant or 

Licensee has made an ex parte communication in violation of this 

Section. 

Section 6.05 Appearance through Counsel. 

(a) Parties to all hearings governed by this Chapter may appear 

personally or through an attorney, except that a party must personally 

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attend any hearing on the merits unless his attendance has been 

waived, in writing, by the Commission. 

(b) When a party has appeared through an attorney, service of all notices, 

motions, orders, decisions and other papers shall thereafter be made 

upon the attorney, unless the party requests otherwise in writing. 

(c) When a party is represented by an attorney, the attorney shall sign all 

motions, notices, requests, and other papers on behalf of the party, 

including a request for subpoenas. 

(d) Upon the establishment of the Lytton Band of Pomo Indians Bar, any 

attorney appearing before the Commission must be duly admitted and 

licensed by the Lytton Band of Pomo Indians Bar to practice law on the 

Tribe's Reservation or before this Commission. 

Section 6.06 Discoverv Procedures for Enforcement Hearings. 

(a) The Commission's legal counsel and the Licensee shall exchange a list 

of persons that each party intends to call as witnesses no later than five 

(5) business days before a scheduled enforcement hearing. The day the 

list is received shall be considered a full day's notice under this 

Section. Each witness shall be identified by name, if known, position, 

and business address. If no business address is available, a home 

address for the witness shall be provided. Any witness not identified 

in accordance with this Section may be prohibited from testifying at a 

hearing in the Commissionls discretion. 

(b) The Commission's legal counsel and the Licensee shall exchange a 

copy of all documents or tangible things that they intend to offer as 

. evidence in support of the party's case in chief. This exchange shall be 

made to the opposing party no later than five (5) business days before 

a scheduled enforcement hearing. The day the documents are received 

shall be considered a full day's notice under this Section. Failure to 

make available any document or tangible thing in accordance with this 

section may, in the Commission's discretion, be grounds to deny the 

admission into evidence of such document or tangible thing. 

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Section 6.07 Confidential Materials. 

(a) Prior to making any documents available to the Commission's legal 

counsel or designated agent, the Applicant or Licensee may designate 

any document it believes to contain confidential information as 

"Subject to a Confidentiality Claimn by so marking the document prior 

to providing a copy of the document to the Commission's legal 

counsel. 

(b) No document provided to the Commission's legal counsel or 

designated agent which has been marked in accordance with 

Paragraph 1 above, and no non-public information contained within 

the document, shall be made a part of the public record of the 

Commission proceedings or otherwise disclosed by the Commission to 

any person other than its authorized agents (or except as may be 

required under any applicable law, rule, regulation, court or 

administrative order, or the Compact), without first providing the 

Applicant or Licensee with the opportunity to seek a ruling by the 

Commission that the document or non-public information contained 

therein should not be made public. The request for such a ruling and 

any discussions relating to the document shall be heard and ruled 

upon by the Commission in an Executive Session meeting. If the 

request for such a ruling is made during a public hearing session, the 

hearing session shall be adjourned and the Commission shall conduct 

an Executive Session meeting in order to hear and rule upon the 

applicant's or respondent's request. The Applicant or Licensee may 

present to the Commission in Executive Session written and oral 

argument regarding the confidentiality claim, along with any facts the 

Applicant or Licensee believes to be relevant to such argument. 

(c) Prior to producing any documents, the Applicant may designate any 

document it believes to contain confidential information as "Subject to 

a Confidentiality Claim" by so marking the document prior to 

providing a copy of the document to the Commission or its authorized 

agents. 

(d) No document provided to the Commission which has been marked in 

accordance with Paragraph (c) above,and no non-public information 

contained within the document, shall be made a part of the public 

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record of the Commission proceedings on the Application or otherwise 

disclosed by the Commission to any person other than its authorized 

agents (or except as may be required under any laws, Rules, court or 

administrative order, or the Compact, without first providing the 

Applicant with the opportunity to seek a ruling by the Commission 

that the document and/or non-public information contained therein 

should not be made public. The request for such a ruling and any 

discussions relating to the document shall be heard and ruled upon by 

the Commission in executive session. If the request for such a ruling is 

made during a public hearing session relating to the Application, the 

hearing session shall be adjourned and the Commission shall conduct 

an Executive Session meeting in order to hear and rule upon the 

Applicant's request. The Applicant may present to the Commission in 

Executive Session written and oral argument regarding the 

confidentiality claim, along with any facts the Applicant believes to be 

relevant to such argument. 

(e) In determining whether a document marked in accordance with 

subsection (c) above should be made part of the public record of the 

Commission proceedings on the Application, the Commission will 

balance the Applicant's claimed confidentiality concerns against the 

materiality of the information to the Application, the public's right to 

be made aware of the information, and the Commission's need to make 

the information part of the public record in order to remain fully 

accountable for the licensing decision. In making this determination, 

the Commission shall consider all facts and circumstances relevant to 

making a proper ruling. 

(f) In the event that the Commission rules during executive session that 

the document in question and/or information contained therein 

should be made part of the public record of the Commission's 

proceedings on the Application, the document and/or information 

contained therein will be made part of the public record unless the 

Applicant withdraws the document from the Commission's 

possession. In the event the Applicant chooses to withdraw the 

document from the Commission's possession, the Commission will 

then weigh the withdrawal along with the other evidence in making its 

determination on the Application. Withdrawal of documents from the 

application process shall be looked upon by the Commission with 

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disfavor, and, depending on the facts and circumstances, the 

Commission may deem the withdrawal of any document to be 

sufficient cause in and of itself for denial of the License. 

(g) In the event that the Commission rules during Executive Session that 

the document and/or information contained therein should not be 

made part of the public record, the document shall be designated 

"Confidential" and will not be made part of the public record. The 

Commission may consider the document and information contained 

therein b camera in making its determination on the Application. 

(h) At the conclusion of the Commission proceedings on the License 

application, the Commission will return to the Applicant all 

documents marked as "Subject to a Confidentiality Claim" pursuant to 

Paragraph (c) above that were not (i) made part of the public record of 

the gaming License application or (ii) designated as "Confidential" and 

considered by the Commission & camera. 

Section 6.08 Subpoenas. 

(a) The Commission has the power and discretion to issue subpoenas and 

to impose such reasonable penalties for noncompliance. 

(b) Subpoenas may be issued only to compel any person to appear at the 

hearing on the merits of the case, to give oral testimony, or to produce 

documents or other tangible things. 

Section 6.09 Hearing Procedures. 

(a) The Chair of the Commission shall preside over all hearings, and shall 

call the proceedings to order, control the presentation of evidence, the 

appearance of witnesses, and the order of the proceedings. 

(b) The Commission may require any person, including, but not limited 

to, any Applicant or Licensee, or any agent, employee or 

representative of any Applicant or Licensee, to appear and testify 

before it with regard to any matter within its jurisdiction at such time 

and place as it may designate. Such testimony shall be under oath and 

may include any matters which the Commission deems relevant to the 

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discharge of the Commission's official duties. Testimony shall be 

recorded by a duly certified court reporter and may be used by the 

Commission as evidence in any proceeding or matter before the 

Commission. Failure to appear and testify fully at the time and place 

designated shall result in sanctions. Failure to appear may constitute 

grounds for: 

(1) the refusal to grant a License to the person summoned, and /or 

that person's principal, or employer; 

(2) the revocation or suspension of a License held by the person 

summoned, and/or that person's principal, or employer; or 

(3) the inference that the testimony of the person summoned 

would have been adverse to that person and/or that person's 

principal or employer. 

(c) Any party to the hearing may call and examine witnesses. The 

Commission shall exercise its discretion to limit the testimony of 

witnesses where that testimony is argumentative or repetitive. 

(d) The Commission shall have the authority to eject from the hearings 

any person who is disruptive, disorderly, or who shows a lack of 

proper respect for the Commission or the nature of the proceedings. 

(e) Persons shall be permitted to speak only when recognized by the 

Chair. 

(f) Any member of the Commission may ask questions of witnesses, and 

may request or allow additional evidence at any time. 

(g) Any party to the hearing may conduct cross-examinations reasonably 

required for a full and true disclosure of the facts. 

fh) All hearings held under this Code shall be open to the public. 

i) The Commission, in its discretion, has the power to sequester 

witnesses. 

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Section 6.10 Evidence 

(a) In hearings governed by this Chapter, the Commission shall not be 

bound by technical rules relating to evidence and witnesses. The 

Commission shall admit all testimony having reasonable probative 

value, but shall exclude immaterial, irrelevant or unduly repetitious 

testimony. The Commission shall give effect to the rules of privilege 

unless such privilege is waived. Basic principles of relevancy, 

materiality and probative force shall govern the proof of all questions 

of fact. Objections to evidentiary offers and offers of proof of evidence 

not admitted may be made and shall be noted in the record. 

(b) All evidence, including records and documents in the possession of the 

Commission or which the Commission desires to avail itself, shall be 

duly offered and made a part of the record in the case. Every party 

shall be afforded adequate opportunity to rebut or offer countervailing 

evidence. 

(c) The Commission may take official notice of any generally recognized 

fact or any established technical or scientific fact; but parties shall be 

notified either before or during the hearing or by full reference in 

preliminary reports or otherwise, of the facts so noticed, and they shall 

be afforded an opportunity to contest the validity of the official notice. 

(d) Documentary evidence may be received in the form of copies or 

excerpts, if the original is not readily available. Upon request, parties 

shall be given an opportunity to compare the copy to the original. 

(e) The record in a hearing governed by these Rules shall include: 

(1) All Applications, intermediate rulings and exhibits and 

appendices thereto. 

(2) Evidence received or considered, stipulations and admissions, 

including but not limited to confidential evidence received 

pursuant to Section 6.07 of this Code. 

(3) A statement of matters officially noticed. 

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(4) Questions and offers of proof, objections, and rulings thereon. 

(5) Any decision, opinion, findings or report by the Commission. 

(6) The transcript prepared by a duly certified court reporter. 

Section 6.11 Determinations bv the Commission. 

(a) The Commission shall make all determinations of issues before it by a 

majority vote of at least a quorum of the Commission. 

(b) All determinations made by the Commission involving the grant, 

denial, cancellation or revocation of a License, a finding of a violation 

of this Code, the Rules, the Compact, IGRA, the conditions of any 

License issued by the Commission, any order by the Commission, or 

any other applicable laws, regulations or agreements, and the 

imposition of any sanctions or penalties shall be made by motion and 

on the record. 

(c) A copy of any resolution reached pursuant to Section 6.11(b) of this 

Code shall be served upon the Applicant or Licensee by registered or 

certified mail, or may be served personally. 

Section 6.12 Sanctions. If any party or its attorney fails to comply with any 

provision of this Code, the Rules, the Compact, IGRA, the conditions 

of any license issued by the Commission, any order by the 

Commission, or any other applicable laws, regulations or agreements, 

including, but not limited to any agreement, regarding any matter, 

including, but not limited to, discovery matters and the failure to 

appear at a hearing at the scheduled time, the Commission upon 

.motion or upon its own initiative, may in its discretion impose upon 

such party or attorney, or both, appropriate sanctions in regard to the 

failure(s) as are just, including, but not limited to, the following: 

(a) An order prohibiting the use of any witness, document or tangible 

thing which should have been disclosed, produced, exhibited or 

exchanged pursuant to these Rules or any order of the Commission; 

(b) An order that designated facts shall be taken to be established; 

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(c) An order that the disobedient party may not support or oppose 

designated claims or defenses; 

(d) An order striking out pleadings or parts thereof, or staying further 

proceedings or dismissing the proceeding or any part thereof, or 

entering a judgment by default against the disobedient party; 

(e) A finding against the disobedient party; or 

(f) Any sanction otherwise set forth in this Code. 

CHAPTER VII 

APPEALS 

Section 7.01 Right of Appeal: Appeals Procedures. A Person directly affected by 

any finding of the Commission pursuant to Section 6.11 of this Code, 

or any licensing decision of the Commission under this Code, shall 

have the right to appeal such finding to the Gaming Disputes Court. 

Any such appeal must be filed with the Gaming Disputes Court in 

writing on or before the tenth (10th) day following receipt by such 

affected Person of the written finding of the Commission. The 

Commission shall certify the hearing record to the Gaming Disputes 

Court within thirty (30) days of the date of the filing of the appeal. In 

any case which has been referred to the Gaming Disputes Court for 

final action, the Gaming Disputes Court may determine to review all 

findings of fact and of law of the Commission, or proceed pursuant to 

a de novo standard. The Gaming Disputes Court's decision as to the 

manner of proceeding shall be final, and no further appeal may be had. 

Section 7.02 Sovereign Immunitv of the Commission. The Lytton Band of Pomo 

Indians, acting through the Tribal Council, confers on the Commission, 

its agents, attorneys and employees, all of the Tribe's rights, privileges, 

immunities and sovereign immunity from suit, to the same extent that 

the Tribe would have such rights, privileges, if it engaged in the 

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activities undertaken by the Commission. The Tribal Council hereby 

waives the aforesaid immunity with respect to actions brought before 

the Commission or the Gaming Disputes Court by Applicants and 

Licensees, provided that such waiver shall: (1) operate only to permit 

actions for equitable relief against the Commission and its agents, 

attorneys and employees; (2) permit actions seeking actual or 

compensatory damages against the Commission only up to the limits 

of applicable insurance; (3) not extend to any action for punitive or 

consequential damages. 

CHAPTER VIII 

AUDITING 

AND INTERNAL CONTROL 

Section 8.01 Minimum Procedures for Control of Internal Fiscal Affairs. The 

Commission shall promulgate Rules governing the control of internal 

fiscal affairs of all Gaming Operations. At a minimum, such Rules 

shall require the consistent application of Generally Accepted 

Accounting Principles, and shall: 

(a) prescribe minimum procedures for the safeguarding of a 

Gaming Operation's assets and revenues, including recording 

of cash and evidence of indebtedness, and mandatory count 

procedures. Such Rules shall establish a controlled 

environment, accounting system, and control procedures that 

safeguard the assets of the Gaming Operation, assure that 

operating transactions are properly recorded, promote 

operational efficiency, and encourage adherence to prescribed 

policies; 

(b) prescribe minimum reporting requirements to the Commission; 

(c) provide for the adoption and use of internal audits conducted 

in accordance with generally accepted accounting principles by 

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internal auditors licensed or certified to practice public 

accounting in the State of California; 

(d) formulate a uniform code of accounts and accounting 

classifications to assure the consistency, comparability and 

effective disclosure of financial information. Such a code shall 

require that records be retained that reflect statistical drop 

(amount of cash wagered by Patrons), statistical win (amount of 

cash won by the Gaming Operation), and the percentage of 

statistical win to statistical drop, or provide similar information 

for each type of game in each Gaming Operation; 

(e) prescribe the intervals at which such information shall be 

furnished; 

(f) provide for the maintenance of documentation, (i.e., checklists, 

programs, reports, etc.), to evidence all internal work 

performed as it relates to the requirements of this Section; and 

(g) provide that all financial statements and documentation 

referred to in this Section be maintained for a minimum of five 

(5) years. 

Section 8.02 Oversight of Internal Fiscal Affairs. The Commission shall require 

independent audits of the financial statements of all Gaming 

Operations. Such independent audits must apply and require the 

consistent application of Generally Accepted Accounting Principles, 

and shall: 

(a) be conducted by independent accountants, knowledgeable in 

casino audits and operations and licensed or certified to practice 

public accounting in the State of California; 

(b) include an opinion, qualified or unqualified, or if appropriate, 

disclaim an opinion on the financial statements taken as a whole 

in accordance with standards of the accounting profession 

established by rules and regulations of the California State 

Council of Accountancy and the American Institute of Certified 

Public Accountants; 

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(c) disclose whether the accounts, records and control procedures 

maintained by the Gaming Operation conform with this Code 

and the Rules; and 

(d) provide a review of the internal financial controls of the audited 

Gaming Operation to disclose any deviation from the 

requirements of this Code and the Rules and report such 

findings to the Commission and the management of the audited 

Gaming Operations; and 

(e) provide such other information as the Commission deems 

necessary or appropriate. 

Section 8.03 Conduct of Audit. 

(a) The Commission shall cause to be conducted annually an 

independent audit of Gaming Operations and shall submit the 

resulting audit reports to the NIGC. 

(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 described in Section 8.03(a). 

(c) any other information the Commission deems necessary or 

appropriate. 

Section 8.04 Prohibition Against Embezzlement. Any delay or action of any kind 

which, in the opinion of the Commission, is effectuated by any 

Licensee to unlawfully or improperly divert Gaming or other proceeds 

properly belonging to the Tribe, shall constitute grounds for taking 

disciplinary action against that Licensee. If the Commission finds an 

unlawful diversion was attempted, it may sanction the Licensee, report 

the matter to appropriate law enforcement and gaming regulatory 

agencies for further action and take such other action as it deems 

necessary or appropriate. Sanctions may include the imposition of 

fines, and /or the revocation, suspension, or limitation of, or refusal to 

renew, any License. 

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Section 8.05 Non-Compliance. Failure to comply with any of the requirements of 

this Chapter, or the Rules promulgated hereunder may be found to 

constitute a violation of this Code. 

CHAPTER IX 

EXCLUSION OR 

REJECTION OF INDIVIDUALS 

Section 9.01 Prohibition Against Certain Individuals. It shall be a violation of this 

Code for any Licensee to knowingly fail to exclude or eject from a 

Gaming Establishment any individual who: 

(a) is visibly under the influence of liquor, a drug or other 

intoxicating substance; 

(b) is under the age of eighteen years; 

(c) is displaying disorderly conduct; 

(d) is a known felon; 

(e) is known to have a reputation for cheating or manipulation of 

games; or 

(f) has been personally excluded, or is a member of any group or 

type of persons which has been excluded, for cause from 

Gaming Establishments by a resolution of the Commission. 

Section 9.02 Rinht to Exclude or Remove. If the Commission deems it in the best 

interest of the Tribe, the Commission may exclude or remove any 

persons from the premises of any Gaming Operation. Any person so 

excluded shall be entitled to a hearing as provided for by Chapter 6 

and shall have the rights provided to an "Applicant" therein. The 

Manager of any Gaming Operation shall also have the authority to 

exclude or remove any person from the Gaming Establishment, and all 

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such actions shall be reported to the Commission within 24 hours; the 

Commission may then ratify, reverse or condition the decision of the 

Manager. 

CHAPTER X 

PROHIBITED ACTS 

Section 10.01 Prohibited Acts. In addition to other civil and criminal acts that may 

be regulated or prohibited by this Code, the Compact, other Tribal law 

or applicable federal law, the following shall constitute prohibited 

activities and unauthorized Gaming under this Code and shall subject 

any perpetrator to Commission action, including, but not limited to, 

the imposition of civil penalties, referral to appropriate law 

enforcement authorities for criminal proceedings, and License 

suspension or revocation: 

(a) altering or misrepresenting the outcome of Gaming or other 

event on which wagers have been made after the outcome of 

such Gaming or event has been determined but before such 

outcome is revealed to the players; 

(b) placing or increasing a bet or wager after acquiring knowledge 

of the outcome of the Gaming or event which is the subject of 

the bet or wager, including past-posting and pressing bets; 

(c) aiding anyone in acquiring such knowledge referred to in 

subsection (b) of this Section for the purposes of increasing or 

decreasing any bet or wager, or for the purpose of determining 

the course of play; 

(d) claiming, collecting or taking, or attempting to claim, collect or 

take, money or anything of value in or from a game with intent 

to defraud or claiming, collecting or taking an amount greater 

than the amount actually won in such game; 

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knowingly to entice or induce another to go to any place where 

Gaming is conducted or operated in violation of the provisions 

of this Code, with the intent that the other person play or 

participate in such Gaming; 

reducing the amount wagered or canceling a wager after 

acquiring knowledge of the outcome of the game or other event 

which is the subject of the bet or wager, including pinching bets; 

manipulating, with intent to cheat or defraud, any component 

or part of a game in a manner contrary to the designed and 

normal operational purpose for such component or part, with 

knowledge that such manipulation will affect the outcome of 

the game, or with knowledge of any event that affects the 

outcome of the game; 

defrauding the Tribe, any Licensee or any participant in any 

Gaming; 

participating in any Gaming not authorized by this Code; 

knowingly providing false information or making any false 

statement with respect to an application for employment or for 

any License, certification or determination provided for in this 

Code; 

knowingly providing false or misleading information or 

making any false or misleading statement to the Tribe, the 

Commission or the Gaming Monitor in connection with any 

contract for services or property related to Gaming; 

knowingly making any false or misleading statement in 

response to any official inquiry by the Commission or its 

agents; 

offering or attempting to offer any thing of value, to a Licensee 

in an attempt to induce the Licensee to act or refrain from acting 

in a manner contrary to the official duties of the Licensee under 

this Code, the Rules, or IGRA; 

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(n) acceptance by a Licensee of any thing of value with the 

expectation that receipt of such thing of value is intended, or 

may be perceived as intended, to induce the Licensee to act or 

refrain from acting, in a manner contrary to the official duties of 

the Licensee under this Code, the Rules, or IGRA; 

(0) falsifying, destroying, erasing or altering any books, computer 

data, records, or other information relating to a Gaming 

Opera tion; 

(p) taking any action which interferes with or prevents the 

Commission or the Council from fulfilling its duties and 

responsibilities under this Code, the Rules, or IGRA; and 

(q) entering into any contract, or making payment on any contract 

for the delivery of goods or services to a Gaming Operation, 

when such contract fails to provide for or result in the delivery 

of goods or services of fair value for the payment made or 

contemplated. 

Section 10.02 Prohibition Against Electronic Aids. Except as specifically permitted 

by the Gaming Monitor, with approval of the Commission, no person 

shall possess, with the intent to use in connection with Gaming, either 

individually, or in concert with others, any calculator, computer, or 

other electronic or mechanical device to assist in projecting the 

outcome or odds of such Gaming, to keep track of or analyze cards, or 

to change probabilities of any game or the playing strategies regularly 

utilized in such Gaming. 

CHAPTER XI 

NATIONAL INDIAN GAMING COMMISSION 

AND COMPACT 

Section 11.01 National Indian Gaminn Commission-Regulation. Notwithstanding 

any provision in this Code or the Rules, the Commission is hereby 

fully empowered to comply with all regulations promulgated by the 

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NIGC, including, but not limited to, reporting requirements relating to 

Codes, contracts, license applications, background checks, and other 

information. 

Section 11.02 National Indian Gaming Commission-Assessment. Notwithstanding 

any provision in this Code or the Rules, the Commission is hereby 

fully empowered to comply with all assessments authorized by the 

NIGC. Such assessments shall be payable solely from funds of the 

Tribe derived from Gaming Operation revenues. 

Section 11.03 Comvact with the State of California. Notwithstanding any provision 

in this Code or the Rules, the Commission is hereby fully empowered 

to comply with the provisions the Compact, including, but not limited 

to, any licensing, approval, or monitoring requirements contained in 

the Compact. 

CHAPTER XI1 

GENERAL REQUIREMENTS 

Section 12.01 Securitv and Surveillance. Each Gaming Establishment must provide 

for reasonable security within the Gaming Establishment at all times. 

All security personnel in a Gaming Establishment must be licensed by 

the Commission. The security and surveillance departments of any 

Gaming Operation must be separate and distinct departments. Such - - 

departments shall only interact when necessary to carry out their 

official duties. 

Section 12.02 Compliance with Other Laws. The construction, maintenance and 

operation of any Gaming Operation shall be in a manner which 

protects the environment, public health and safety, and shall comply 

with all applicable Tribal and federal laws relating to environmental 

protection and public health and safety including, but not limited to, 

25 C.F.R. §522.4(b)(7). 

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Section 12.03 Amendments. All provisions of this Code are subject to amendment 

by the Council. All Rules promulgated by the Commission are subject 

to proper revision, repeal, or amendment by the Commission. All 

amendments to this Code shall be effective upon the date of passage 

by the Council. 

Section 12.04 Severabilitv. If any provision any of this Code, or any portion of any 

provision to this Code, is found to be invalid by any court of 

competent jurisdiction, the full remainder of such provision(s) shall 

not be affected. 

Section 12.05 Words and Terms. Tense, number and gender. In interpreting the 

provisions of this Code, save when otherwise plainly declared or 

clearly apparent from the context: 

(a) words in the present tense shall include the future tense; 

(b) words in masculine, feminine and neuter genders shall include all 

genders; and 

(c) words in the singular shall include the plural, and words in the 

. plural shall include the singular. 

Section 12.06 Repeal. To the extent that they are inconsistent with this Code, all 

prior gaming laws, rules, Codes or regulations of the Tribe are hereby 

repealed. 

Section 12.07 Unclaimed Winnings. - 

(a) Any winnings, whether property or cash, which are due and 

payable to a participant in any Gaming Activity, and which 

remain unclaimed at the end of a Gaming session, shall be held 

in safekeeping for the benefit of such participant if his or her 

identity is known. Such winnings shall be held for twelve 

months or such longer period as the Commission deems 

reasonable in consideration of all relevant facts and 

circumstances. The Commission shall make such efforts as are 

reasonable under the circumstances to locate such participant. 

At the end of the safekeeping period, such winnings shall revert 

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to the ownership of the Tribe and shall be transferred to the 

account or place designated by the Council. 

(b) In the event the identity of a participant entitled to unclaimed 

winnings is unknown, the Commission shall use its best efforts 

to learn the identity of such individual and shall follow the 

procedure set forth in Section 12.08 if the Commission is able to 

identify such individual with reasonable certainty; provided, 

however, if after six months from the time the winnings were 

payable, the Commission has been unable to identify the 

individual entitled thereto, such winnings shall revert to the 

ownership of the Tribe. 

Section 12.08 Patron Disputes. Any Person who has any dispute, disagreement or 

other grievance with the Gaming Operation that involves currency, 

tokens, coins, or any other thing of value, may seek resolution of such 

dispute from the following persons and in the following order: (a) a 

member of the staff relevant of the Gaming Operation, (b) the 

supervisor in the area of the relevant Gaming Operation in which the 

dispute arose, (c) the manager of the relevant Gaming Operation, and 

(d) the Commission. 

Section 12.09 Patron Ri~hts regard in^ - - Dis~utes. When a Person brings a dispute 

for resolution pursuant to Section 12.10, the complainant has the right 

to explain his or her side of the dispute, and to present witnesses in 

connection with any factual allegations. At each level, if the dispute 

remains unresolved, the complainant shall be informed of the right to 

take the dispute to the next higher level as set forth in Section 12.10. 

Resolution of any dispute by the personnel of a Gaming Operation 

shall always involve two or more staff members. All disputes, 

whether resolved or not, shall be reported in detail by the staff persons 

involved to their supervisor, or, in the case of the general manager of 

the Gaming Operation, to the Commission. 

Section 12.10 Gamine: Commission Action on Patron Disputes. All disputes which 

are submitted to the Gaming Commission shall be decided by the 

Commission based on information provided by the complainant, 

including any witnesses for, or documents provided by or for, the 

complainant. The decision of the Commission shall be in writing, shall 

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be issued within fourteen (14) days of submission of the matter to the 

Commission, and shall be provided to the general manager of the 

Gaming Operation and to the complainant. 

Section 12.11 Anent for Service of Process. The Council Chair shall be designated 

agent for service of process for the Lytton Band of Pomo Indians. The 

Chair shall promptly report any such service to the Commission, and 

shall promptly provide the Commission with a copy of any complaints 

or other documents served. 

Section Consent to lurisdiction. Any person who applies for a License under 

this Code, applies for employment in any Gaming Establishment, 

enters into any contract or agreement related to Gaming, or 

participates in any Gaming on the Reservation, shall be deemed to 

consent to the civil jurisdiction of the Tribe, the Commission and the 

Tribal Court. Nothing in this Section shall limit the jurisdiction of the 

Tribe, the Commission or the Tribal Court under any circumstances 

not explicitly contemplated in the Section. 

Section 12.13. Comitv and Concurrent lurisdiction. The Commission is empowered 

to seek comity and enforcement of the orders of the Commission by 

the courts of any other jurisdiction whose assistance may be required 

to give effect to the orders of the Commission. The Commission is also 

empowered to issue orders to enforce the lawful orders of other 

gaming regulatory agencies and the courts of foreign jurisdictions. 

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